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Ethics in Banking and Financial Services 2014

Seminar  SeminarGroupcast  Groupcast

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 liabilities of outside ...

Featured Faculty/Authors
George M. Wilson, MBA, CPA

George M. Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI

Katie M. Lachter

Katie M. Lachter ~ Hinshaw & Culbertson LLP

Alex Hao

Alex Hao ~ Jun He Law Offices