Insider Trading from the Perspective of the FBI
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OCT
29
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An Advocacy and Ethics Committee Sponsored Event
One to two percent of employees at hedge funds can be expected to behave wrongly. For those that willingly and knowingly cross the line, the government may deploy an investigation. Mr. Chaves will share with us information about the FBI’s sprawling investigation into insider trading in the hedge fund industry (over 100 arrests so far). He will discuss compliance matters such as “tone at the top”, firm culture, whistleblowers and escalation policy.
Those of us in the financial services industry will learn about best practices and “do’s and don’ts”. We will review the psychology of the inside trader. And finally Mr. Chaves will share with us some case studies including trading at Galleon, SAC Capital and others.
Supervisory Special Agent David A. Chaves | David A. Chaves is a senior FBI Agent assigned to the New York division. He serves as the securities fraud program manager for the most visible securities cases prosecuted over the last decade. He is widely recognized as the chief strategist in coordinating these complex white collar investigations and for infiltrating corrupt participants in the hedge fund industry through the use of sophisticated techniques, undercover operations, and wire taps. He is a securities fraud subject matter expert and lectures to audiences in both the public and private sector on securities fraud cases including Madoff, Galleon, and Perfect Hedge investigations. Prior to joining the FBI he was a civil litigation attorney in Boston, MA.
One to two percent of employees at hedge funds can be expected to behave wrongly. For those that willingly and knowingly cross the line, the government may deploy an investigation. Mr. Chaves will share with us information about the FBI’s sprawling investigation into insider trading in the hedge fund industry (over 100 arrests so far). He will discuss compliance matters such as “tone at the top”, firm culture, whistleblowers and escalation policy.
Those of us in the financial services industry will learn about best practices and “do’s and don’ts”. We will review the psychology of the inside trader. And finally Mr. Chaves will share with us some case studies including trading at Galleon, SAC Capital and others.
Supervisory Special Agent David A. Chaves | David A. Chaves is a senior FBI Agent assigned to the New York division. He serves as the securities fraud program manager for the most visible securities cases prosecuted over the last decade. He is widely recognized as the chief strategist in coordinating these complex white collar investigations and for infiltrating corrupt participants in the hedge fund industry through the use of sophisticated techniques, undercover operations, and wire taps. He is a securities fraud subject matter expert and lectures to audiences in both the public and private sector on securities fraud cases including Madoff, Galleon, and Perfect Hedge investigations. Prior to joining the FBI he was a civil litigation attorney in Boston, MA.
| Registration Fees $20 | $30 (Student) | $60 (Non-Member) |
Payment Information
We accept the following:
If you prefer to pay by check please register online and select "purchase order" as your payment option and enter your last name as the purchase order number.
We accept the following:
If you prefer to pay by check please register online and select "purchase order" as your payment option and enter your last name as the purchase order number.
Mail check to:
CFA Society of Los Angeles, 520 S. Grand Ave, Suite 655, Los Angeles CA 90071.
*Credit card payments will only be accepted through the secure online registration, and not by phone or email.
Cancellations
Cancellations must be received in writing by 9:00 am the day prior to the event. No phone cancellations are accepted. Please fax to the CFALA office at (213) 613-1233 or e-mail info@cfala.org. Member “no-shows” will be billed the non-member fee ($50) for the event which is posted on the CFALA website.
Cancellations must be received in writing by 9:00 am the day prior to the event. No phone cancellations are accepted. Please fax to the CFALA office at (213) 613-1233 or e-mail info@cfala.org. Member “no-shows” will be billed the non-member fee ($50) for the event which is posted on the CFALA website.
Chair:
Dan Pomerantz, CFA
Dan Pomerantz, CFA
