Insider Trading Prevention for Investment Professionals
A program developed with the precious collaboration or expertise of
Chartered Financial Analysts (CFA) or Certified Fraud Examiners (CFE)
CPE / CPD HOURS
This program features the documentary film Collared which premiered at Hot Docs for Continuing Professional Education screening to a sold-out audience in September 2018.
Learn from the story and revealing testimony of an ex-insider trader who is still struggling with the tragic consequences of what was the most prolonged insider trading scheme ever discovered by American and Canadian securities investigators. The intimate insights shared by reformed white-collar criminal Grmovsek complement the discussions with leading scholars and experts, and come together in this original professional education program that serves as a painful reminder of the gravity of the crime, and the importance of prevention and detection. The documentary is followed by a post-screening discussion panel about insider trading prevention and risk mitigation measures for professionals.
This engaging edutainment program will benefit all legal professionals who want to understand how ethical decision-making impacts business and personal lives, and how the line between ethical and unethical decision making can be blurred, complex and confusing process over time.
CPD / CPE ACCREDITATION INFORMATION
This program is an accredited and/or eligible learning activity for investment professionals.
Certified Fraud Examiners (CFE): Certified Fraud Examiners (CFEs) who attend both the screening and the panel discussion following may claim fraud-related continuing professional education (CPE) credit toward their CFE designation.
CHARTERED FINANCIAL ANALYSTS (CFA): A qualified learning activity eligible for 2 CE, including 2 SER, CFA Institute credit hours.
This program may also be eligible towards CPE/CPD requirements for other investment professionals. other. It is recommended that you visit your professional organization’s website to ensure participation in this activity will fulfill your CPE/CPD requirements.
Ethics and Professional Responsibility
- Better understand the duty of professionals to maintain confidentiality and the fiduciary duty obligations towards your client in a professional context
- Review of the key principles of confidentiality and information protection applicable to professionals based on the legislation and other authorities prohibiting information misappropriation and insider trading
Compliance and Risk Management
- Acquire best practices for analyzing ethical dilemmas for ethical decision making in relation to information misappropriation and insider trading
- Understand how your organization can monitor and respond to information misappropriation and insider trading risks through risk management and corporate compliance
POST-SCREENING DISCUSSION PANELISTS AND MODERATOR
Investigations and Defence Lawyer
Emily Cole is an experienced investigation and defence lawyer specializing in crisis management and capital markets regulation. She defends directors, officers and companies in investigations and prosecutions of allegations including corruption, fraud and insider trading before the regulators and in the civil and criminal courts. She also conducts internal investigations for companies and guides individuals and companies through domestic and multi-jurisdiction external investigations conducted under the Corruption of Foreign Public Officials Act (CFPOA), the Foreign Corrupt Practices Act (FCPA) and the Mutual Legal Assistance in Criminal Matters Act (MLAT). She also teaches Director Liability in the Director Education Program at the Rotman School of Management. Emily is admitted to practice in Ontario and New York.
Professor of Finance, Florida Atlantic University and Chartered Financial Analyst (CFA)
Douglas Cumming is the DeSantis Distinguished Professor of Finance and Entrepreneurship at the College of Business of the Florida Atlantic University. His research areas span topics that include law and finance, public policy, entrepreneurial finance, venture capital, private equity, IPOs, hedge funds, and exchange regulation and surveillance. He studies applied topics and make use of a wide range of empirical methods. His work often involves assessment of regulatory and other policy initiatives towards stimulating market activity.
CPA, CA, MBA, CIA, CRMA, CFE
Kelly Ohayon is a senior global executive who worked in a range of industries starting from professional services to manufacturing, telecommunications, mining, renewable energy, infrastructure and commercial real estate and for well known companies such as PwC, Deloitte and Bombardier. She is currently the MD Financial Governance and Controls at BMO Financial Group. Kelly as acquired in-depth expertise in Governance, Risk and Compliance, specializing in Enterprise and Fraud Risk Management, Regulatory Compliance, Anti-Bribery and Corruption Programs and Internal Audit.
Reformed White-Collar Criminal
A former lawyer in Ontario, he is Canada’s first and still only individual who has received a criminal conviction and sentence of imprisonment for illegal insider trading activities. He was incarcerated for close to three years in stays that included two maximum security prisons and has since embarked on a journey toward redemption as a former white-collar criminal.
LLB, JD, LLM, LLCM
A lawyer, scholar and producer, Garrick is a part-time professor at the University of Ottawa Telfer School of Management MBA program in the field of Corporate Governance and Ethics, and a Senior Fellow at the Hennick Centre for Business and Law at York University. Collared is Garrick’s debut feature-length documentary and he oversaw the research and development of the project. He has several peer-reviewed publications in leading American law journals in the field of corporate governance and ethics.