Legal risks posed by corporate access events

Corporate access events, when properly executed, provide opportunities for issuer, broker and money manager. Proper execution requires an understanding of the legal issues that may arise during a corporate access event. This report focuses on those legal issues, including:

  1. the risk of violating Regulation FD;
  2. the risk of violating Rule 10b-5 (i.e., engaging in insider trading);
  3. the legal requirement that companies establish policies and procedures that reduce the chance that material nonpublic information will be misused; and
  4. the risk of using soft dollars to pay for corporate access.

This report concludes by suggesting concrete steps that corporate access participants can take to mitigate the legal risks.

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