RCA ECO 2014 Symposium Offers Insight from Top SEC Officials on Cybersecurity, Reg M, Examinations, Insider Trading Investigations, the Newman Appeal, Expert Networks and Political Intelligence (Part Two of Two)

This is the second article in a two-part series covering the Regulatory Compliance Association’s Enforcement, Compliance and Operations 2014 Symposium, held on May 1, 2014 in New York City.  This article summarizes the key insights offered at the Symposium by top SEC officials and industry participants with respect to cybersecurity, Rule 105 of Regulation M, hedge fund manager examinations, evolving investigative techniques used in criminal investigations of insider trading, insider trading doctrine and the appeal in United States v. Newman, expert networks and political intelligence.  The first article in this series dealt with regulatory transparency, custody, conflicts raised by serving simultaneously as a broker and investment adviser, what the SEC’s Division of Trading and Markets does, interaction between the SEC’s Office of Compliance Inspections and Examinations and its Enforcement Division, broker registration of in-house marketing departments, alternative mutual funds and the JOBS Act.  See “RCA Enforcement, Compliance and Operations 2014 Symposium Offers Insight from Top SEC Officials on Custody, Conflicts, Broker Registration, Alternative Mutual Funds and the JOBS Act (Part One of Two),” Hedge Fund Law Report, Vol. 7, No. 22 (Jun. 6, 2014).

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