Professional Education at the Movies
Insider Trading Prevention and Education
February 20, 200
Hot Docs Ted Rogers Cinema
Certified Fraud Examiners (CFE)
Chartered Financial Analyst (CFA)
Chartered Professional Accountants (CPA)
SCREENING AND PANEL DISCUSSION
Visual legal advocacy to promote professional ethics.
Documentary Film Screening
Presentation of the visual legal advocacy documentary film “COLLARED”.
Subject Matter Expert Panel
Discussion on insider trading prevention and education in today’s competitive business environment and the profile of the ethical professional.
Ethics and Professional Responsibility
- Duty to maintain confidentiality for lawyers, accountants and investment professionals.
- Recognizing and fulfilling fiduciary 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 & Risk Management Best Practices
- Best practices for analyzing ethical dilemmas in relation to information misappropriation and insider trading (Identify. Consider. Act.)
- How your organization can monitor and respond to information misappropriation and insider trading risks: Risk management practices to prevent and mitigate information misappropriation and insider trading.
- Encouraging respect for legal institutions or regulating authorities
- Education for the promotion of market integrity
Investigations and Defence LawyerEmily 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.
CPA, CA, MBA, CIA, CRMA, CFEKelly 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.