Professional Education at the Movies

Insider Trading Prevention and Education

Earn continuing professional education (CPE/CPD) credits at the movies with this two-hour edutainment event featuring Collared. The documentary screening will be followed by an expert panel discussion about insider trading prevention and risk mitigation measures for Lawyers, Chartered Professional Accountants, Chartered Financial Analysts and other investment or business professionals. 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 event that serves as a painful reminder of the gravity of the crime, and the importance of prevention and detection.
Hot Docs for Professionals
This event is presented in collaboration with HotDocs, North America’s largest documentary film festival.

UPCOMING SCREENINGS

New dates to be announced

CPE/CPD ACCREDITATION

This activity is a valid CPD/CPD learning activity for professionals with Continuing Education (CPD/CPE) obligations such as lawyers, accountants, Chartered Financial Analysts and other investment or finance professionals. Please see the details applicable to your professional organization below. Each professional organization and jurisdiction has its own CPE or CPD requirement. This activity may be a qualified learning activity for professionals not listed below. It is recommended that you visit your professional organizations’ website to ensure participation in this activity will fulfil your CPD/CPE requirements.
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 Analyst (CFA)
A qualified learning activity eligible for 2 CE, including 2 SER, CFA Institute credit hours.
Chartered Professional Accountants (CPA)
Members who attend the screening and panel discussion can put the time towards their verifiable CPD hours (retain a copy of your payment/invoice).
Lawyers (Canada)
ONTARIO: This program contains 2 hours of Professionalism Content.
The Collared screening and panel discussion is an engaging learning activity to expand your understanding of the risks associated with information misappropriation and insider trading.

Collared harnesses the power of storytelling to generate a reflection on how to deal with ethical dilemmas in our professional life.

SCREENING AND PANEL DISCUSSION

AGENDA

Introduction

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.

LEARNING OBJECTIVES
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.
Ethical Advocacy
  • Encouraging respect for legal institutions or regulating authorities
  • Education for the promotion of market integrity

EXPERT PANEL

Emily Cole

Emily Cole

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.
Douglas Cumming

Douglas Cumming

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.
Kelly Ohayon

Kelly Ohayon

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.
PRESENTED BY
Osgoode Hall Law School Logo

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