Insider trading: The risks financial service firms face today and how they can protect the franchise

Introduction

In light of the pace of regulatory change for financial services firms, PwC is now providing a series of webcasts on current regulatory issues that impact our financial services clients.

This webcast will address insider trading, an area of particular regulatory focus, and will describe steps that financial services firms can take to protect themselves and address the risks of insider trading.

During the webcast, Lori Richards, Tom Biolsi, Anthony Conte and Duer Meehan will discuss:

• The current landscape: regulatory focus and new strategies used by regulators;
• Common pitfalls and weaknesses in firms' controls; and
• How firms can meet regulatory expectations and protect the franchise.

For those who cannot participate in the live broadcast, a recording will be available afterwards and will be shared with invitees and posted online on pwcregulatory.com.

For questions, comments or concerns, please contact Steven Gruber at steven.b.gruber@us.pwc.com.