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Ethics in Banking and Financial Services 2014

On-Demand Web Programs  On-Demand Web Programs    

From the program: Ethics in Banking and Financial Services 2014

Released on: Aug. 21, 2014

The following topics are discussed:The intersection of banking and brokerage regulation: What are the ethical and practical issues for lawyers in an era of overlapping regulatory jurisdictions?The dangers and pitfalls of broker-dealer enforcement: What are the ethical and practical issues for lawyers in handling enforcement matters? The ethical responsibilities of legal and compliance professionals in regulated companies: What are the duties and potential ...

Featured Faculty/Authors
Mark D. Roellig

Mark D. Roellig ~ Executive Vice President and General Counsel, MassMutual Financial Group

Jodie Berger

Jodie Berger ~ Regional Counsel, Legal Services of Northern California

David G. Wilkins

David G. Wilkins ~ Chief Compliance Officer, SNC-Lavalin Group