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Our Best Practices to Prevent Insider Trading and Protect Non-Public Information Interactive Seyfarth Shaw at Work Course



In association with Seyfarth Shaw LLP, Seyfarth Shaw at Work (SSAW), the firms dedicated training and compliance communications subsidiary, offers an interactive and practical live training course entitled: Inside Information Outside Risks: Our Best Practices to Prevent Insider Trading and Protect Non-Public Information. After the financial crisis, there has been a renewed emphasis on white collar crime. And with federal prosecutions and penalties for insider trading steadily increasing, employers and its employees are at a significant risk. This memorable and sophisticated session provides practical information to all levels of your organization on the handling of non-public information and the importance of keeping material, non-public (aka "inside") information strictly confidential. The latest risks regarding insider trading are fully explored, including the expansive misappropriation theory of insider trading. For appropriate levels, the course dynamically reviews U.S. insider trading laws, regulations and courts decisions that impact investment and other activities. The course also can analyze latest key trends, liabilities and legal mandates and how a compliance program can address these issues and effectively deter, detect and remediate actual and potential violations. SSAW's uniquely engaging certified attorney trainers bring a high level of credibility to the sessions, while ensuring an informative, entertaining experience for all participants. Through memorable adult learning methods, tools and mantras, the Inside Information Outside Risks course thoroughly defines and examines key insider information terms, answering such questions as: Who is an insider? When is insider trading illegal? What does material mean? What is non-public information and how do we protect it? What does personal benefit mean? What are the use and knowing possession standards? How do we reduce all the skills and prevention strategies to three simple, memorable statements? By assessing a number of customized, engaging scenarios, participants will quickly come to appreciate when and how employees are deemed to be aware of inside information, or become a constructive/imputed insider or tipper, and may be at risk for misappropriating information. Further, as appropriate, the course compares legal insider trades with inappropriate ones and analyzes who, in fact, are insiders. Subtle inadvertent actions that implicate insider trading laws are emphasized and stressed throughout the course. Fiduciary and other duties and responsibilities to the organization are also highlighted as well as the importance of escalating issues internally. Finally, the course can also dive deeper into your organizations specific confidentiality concerns. From NonDisclosure Agreements to general Confidentiality Agreements, the course can utilize your organizations pertinent policies and issues to emphasize the importance of keeping all critical, non-public information safe, even information that doesnt directly or indirectly impact securities. Dont risk non-public information turning into a very public incarceration. The Inside Information Outside Risks course not only will help your organization build and imprint best practices today, but it will support your best defenses into the future. As with all SSAW live courses, the session and scenarios/examples are tailored to each organizations particular environment and activities.

Our Competitive Difference

u Course content developed by Seyfarth Shaw, one of the nations preeminent law firms. u Training focuses on your organizations Code of Conduct and any policies related to insider trading or non-public information. Utilizes training templates and methods approved by the Equal Employment Opportunity Commission and Department of Justice Monitors in the context of specific consent decrees. u Presenters are all skilled attorneys with extensive experience in securities regulation and compliance and SSAW's team includes former litigators with improvisation or professional theatrical training. u Uses innovative and lively, interactive tools and techniques, which are the hallmark of Seyfarth Shaw at Works courses, to develop judgment about material, non-public information. Tools include group exercises, role-playing and discussion of real-world case studies. u Incorporates Seyfarth Shaw at Works valuable workscripts, which give participants thoughtful, legally sound responses to sensitive questions. u Customization of course content, including threading your organizations policies throughout chosen topics, selecting special materials for participants guides, and/or using personalized conduct cards.

Course Logistics:
Inside Information Outside Risks
(other delivery options may be utilized to capture individuals unable to attend in-person)


Executive Briefing Manager Employees

1.5-2 hours


Attendance Sheets Policy

Content Source
Seyfarth Shaw

Based on Sessions/ Number of Presenters

2-3 Hours 2-3 Hours

Acknowledgement Forms Participation Forms Participation Evaluations

Content Contributors:
Robert Bodansky, Esq., Seyfarth Shaw Partner, managing partner Seyfarth Shaws Washington, D.C. office. Michael Dunn, Esq., Seyfarth Shaw Partner, author of several articles on the SEC and its rules and regulations. Christopher Robertson, Esq., Seyfarth Shaw Partner, former Senior Counsel with the SECs Division of Enforcement. Philippe Weiss, Esq., Managing Director, Seyfarth Shaw at Work. Jeff Polisky, Esq., Director of Research and Development, Seyfarth Shaw at Work.

Rachel Geinosky: