IMAS will be holding a special morning talk featuring Tom Hardin, also known as “Tipper X”, one of the youngest professionals charged in the insider trading cases in the hedge fund industry brought in 2009 to 2012 in the U.S.
Coming to Singapore for the first time, Tom will share his story of crossing from unethical into illegal activity as a young analyst and discuss the psychological traps which can pull individuals into a spiral of rationalization in the investment management industry.
He will discuss the pitfalls of compliance at his firm, how compliance professionals today can better engage with investment teams, provide takeaways from his experience, as well as the past three years of speaking to over 200 organizations, for key indicators that identify trends and the potential for conduct risk in the organization.
About the Speaker
As a junior partner at a hedge fund, Tom Hardin was charged with felony securities fraud and became the FBI’s most productive witness in Operation Perfect Hedge – a sting operation by the U.S. government targeting the hedge fund industry.
The sting branched out into the largest insider trading investigation in 25 years, leading to over 80 guilty pleas or convictions. Since resolving his case in 2015, Tom was invited by FBI-NYC to speak to their rookie agent class in 2016 and now consults and speaks on insider trading, conduct risk, ethics and compliance issues from his former frontline perspective.
Session Details
| Date | 25 September 2019 (Wednesday) |
| Time | 10.30am – 1.15pm Agenda: 10.30am: Registration 11.00am: Sharing starts 12.00pm: Sharing ends/Q&A 12.15pm – 1.15pm: Lunch |
| Venue |
NUSS Suntec City Guild House Guild Room |
| Entry |
Complimentary for IMAS Member Firms and Invited Guests |
*Please confirm your attendance by registering on the IMAS20 Mobile App
This event is proudly sponsored by:
Lymon Pte Ltd
