Insider trading and ethical conduct go hand in hand, and ensuring the right ethical standards are established and understood by fund management staff goes a long way toward protecting against insider trading risks. It isn’t just a matter of “tone from the top” or “culture of compliance”, though both weigh heavily on employee conduct. Understanding what motivates insider trading makes all the difference between staff seeing it as a victimless crime or the total breakdown of ethical standards that it is. (Hint: It isn’t just money.)

On March 11, join us for a special conversation with Tom Hardin, a former hedge fund analyst turned key FBI cooperating witness known as “Tipper X” in Operation Perfect Hedge, one of the largest insider trading investigations of a generation. Since resolving his case in 2015, Tom was invited by the FBI's NYC office to speak to their rookie agent class in 2016 and now is a well-recognized global corporate trainer and speaker on conduct risk, ethics, and compliance.

Tom will share his first-hand views on insider trading, as well as his keen insights from training sessions at more than 250 hedge fund managers in six countries. Attendees are welcome and encouraged to ask questions during the session. We hope that you come away from this session with additional perspective to reinforce your firms’ high ethical standards.

Speakers:
Tom Hardin, Founder, Tipper X Advisors LLC
Suzan Rose, Senior Advisor, Government & Regulatory Affairs, AIMA