U.S. v. Newman: The Changing Landscape for Insider Trading Liability

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All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

What constitutes criminal insider trading has evolved dramatically in recent years. While the recent decision in U.S. v. Newman, a case against two portfolio managers, provides some clarity, many questions still remain. Central to the topic is the clarity needed in what constitutes “tipper” and “tippee” liability, what personal benefit a tipper must receive as well as the tippee’s understanding when receiving information provided improperly.

This CLE course, designed for investment advisers, broker-dealers, compliance officers and legal professionals will offer a comprehensive guide to navigating this complex area.

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