Celesq® Attorneys Ed Center
Print Catalog:

Programs in Insider Trading

Programs are available online to all firms wishing to assist their attorneys in obtaining their CLE credits. Please email customer.care@celesq.com to obtain a coupon code for your firm. Once an attorney has completed a program, your firm will be billed $30 each for the cost of each certificate which will be issued as a download once the attorney has completed the affirmation for the particular program. CDs will be available for all programs upon request. Please email customer.care@celesq.com to purchase CDs for any course. Cost will be $95.00 per CD, plus shipping and handling.

PROGRAMS ARE NOT AVAILABLE UNTIL AFTER THE PROGRAM DATE – IF THE ONLINE PURCHASE BUTTON IS NOT SHOWING – THE PROGRAM IS NOT YET AVAILABLE FOR LISTENING. PLEASE DO NOT ADD AUDIO TAPE TO YOUR CART AS THE PROGRAM IS NOT YET AVAILABLE. ONLY ADD TO YOUR CART IF YOU SEE ‘ONLINE AUDIO’ - THANK YOU SO MUCH!

Filter by State
Filter by Category
 
 

The Law of Insider Trading: Why It Is Such a Mess (05/05/2020)

Program Number: 3085 Presenter: Tai H. Park, Esq.

This program will explain the principles of the insider trading law under Section 10(b) of the Securities Exchange Act and describe why it has proven to be so difficult to apply consistently. In recent years, the underlying, conceptual problem in the law was highlighted when judges of the Second Circuit sharply disagreed with each other in two high profile cases. In U.S. v. Newman, a unanimous panel reversed the conviction after trial of two hedge fund portfolio managers, declaring that their alleged insider trading conduct was in fact not illegal. Just a few years later, in U.S. v. Martoma, a different panel of Second Circuit judges affirmed the conviction of another portfolio manager as it disagreed with the thrust of the Newman opinion. A dissenting judge in Martoma wrote a vigorous dissent accusing the majority of flatly contradicting Newman. This split remains unresolved. In a new Second Circuit

$95.00Online Audio Add to Cart

Second Circuit Endorses New Criminal Theory for Insider Trading Prosecution (02/18/2020)

Program Number: 3060 Presenter: John Carney, Esq., Jonathan Forman, Esq., Jonathan New, Esq.

This program will discuss the recent groundbreaking decision United States v. Blaszczak in which the United States Court of Appeals for the Second Circuit affirmed – for the first time ever – an insider trading conviction without proof of a personal benefit to the insider or tipper. Attendees will learn how this decision builds on recent insider trading decisions to further expand insider trading liability in significant ways and how they should respond to it to bolster their companies’ compliance programs.

$95.00Audio Tape Add to Cart $95.00Online Audio Add to Cart

The Six Stages of Trade Secret Misappropriation Protection (11/18/2020)

Program Number: 30246 Presenter: David L. Cohen, Esq., Michael J. Kasdan, Esq. - Wiggin and Dana LLP, Donal O'Connell

This presentation examines considerations for an effective trade secret asset management through the prism of trade secret misappropriation, examining how to approach the question of what to protect as a trade secret and how and whether a company would safeguard and enforce its IP if there were a misappropriation. There are six sequential stages of consideration: Recognition, Detectability, Provability, Specificity, Correlation, and Mitigation. (Any similarity to “The Six Stages of Grief” is purely coincidental. In fact, following these six stages is designed to avoid grief on the part of the trade secret holder when the time arises to pursue a claim of trade secret misappropriation.)

$95.00Audio CD Add to Cart

Don’t Buy a Pig in a Poke: Minimizing FCPA Risks in International M&A (10/19/2020)

Program Number: 30238 Presenter: Dr. Sharon Meit Abrahams, David W. Simon, Esq., Rohan A. Virginkar, Esq.

Experienced FCPA practitioners David Simon and Rohan Virginkar of the law firm Foley & Lardner LLP discuss recent examples of acquisitions gone bad as a result of bribery and corruption at target companies and outline practical strategies to minimize FCPA risk, including effective approaches to compliance due diligence, deal structure and contract language, and compliance integration. The conversation will also address recent DOJ and SEC guidance and expectations for acquiring companies, considerations if issues are identified at a target, and outline strategies for managing the enforcement authorities.

$95.00Audio CD Add to Cart

More Money, More Problems: Cannabis-Related Businesses Targeted by Shareholders (09/14/2020)

Program Number: 30207 Presenter: Christopher Gismondi, Esq., David Jaroslaw, Esq., Keelin Kavanagh, Esq.

Cannabis is a nascent industry facing a number of legal, regulatory, and commercial uncertainties. This program reviews the issues facing the industry, and discusses a series of shareholder lawsuits that have attempted to leverage these uncertainties into claims against publicly-traded cannabis-related corporations for violations of securities laws. We will discuss the types of public statements that have been targeted, defenses to such claims, the current trend of this litigation, and proactive steps that can reduce the risk of such lawsuits.

$95.00Audio CD Add to Cart

Ethics-Attorney Client Privilege for In-House Counsel (02/12/2019)

Program Number: 2948 Presenter: Carole Buckner, Esq.

The program will cover important considerations regarding the duty of confidentiality, the attorney client privilege and work product doctrine, from the perspective of the in-house lawyer, including operating in dual roles involving both business and legal advice. We will also touch upon privilege in international communications and differences in privilege and confidentiality between states, and between state and federal jurisdictions. Finally, we will address email practices in light of the above.

$95.00Online Audio Add to Cart

Highlights of SEC Updates for Upcoming Form 10-K and Proxy Season (11/20/2019)

Program Number: 29180 Presenter: Chelsea Belote, Esq., Matthew Fry, Esq., Bruce Newsome, Esq.

Discussion of the SEC’s updates affecting the upcoming Form 10-K and proxy season. This presentation will focus on the following: (i) the additions, modifications, and eliminations of specific SEC required disclosures; (ii) the required hedging disclosure in upcoming proxy statements; (iii) recent SEC enforcement actions regarding misleading risk factor disclosure; and (iv) the recent SEC proposed additional disclosure modifications.

$95.00Online Audio Add to Cart

The Shifting Landscape of Federal Insider Trading Jurisprudence (12/06/2018)

Program Number: 2854 Presenter: Peter R. Dubrowski, Curtis B. Leitner, Jonathan S. Sack, Esq.

The government has brought charges for illegal insider trading primarily under the federal securities laws, chiefly Section 10 of the Securities Exchange Act and Rule 10b-5. In a small number of cases, the government has taken a different approach -- charging insider trading in violation of not only Rule 10b-5 but also Section 1348 of Title 18. That was the case in the the high-profile SDNY prosecution in United States v. Blaszczak et al., which involved trading on the basis of confidential information about prospective changes to Medicare reimbursement rates. In that case, the defendants were acquitted on the Rule 10b-5 charges but convicted on the Section 1348 charges, even though the charges related to the same securities trading. In this program, Jonathan Sack – a former chief of the criminal division in the U.S. Attorney's Office for the Eastern District of New York –will discuss the evolving jurisprudence of illegal insider trading, including

$95.00Audio CD Add to Cart $95.00Online Audio Add to Cart

Categories