Ethics

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From the program: Advanced Swaps & Other Derivatives 2012

Recorded on: Oct. 19, 2012

Taken from the Web Program Advanced Swaps & Other Derivatives 2012 recorded October, 2012 in New York. Lecture Topics  [00:55:34] Derivatives and Professional Responsibility  [00:55:34] Representing an organization SEC Rule of Professional Responsibility for Issuer’s Counsel Reporting wrongdoing up the ladder within an organization Reporting a client’s fraud to regulators Lawyer’s role ...

From the program: Annual Disclosure Documents 2012: Preparation of Disclosure Documents, Annual Meeting and Regulatory Developments

Recorded on: Dec. 6, 2012

Taken from the Web Program Annual Disclosure Documents 2012: Preparation of Disclosure Documents, Annual Meeting and Regulatory Developments recorded December, 2012 in New York. Lecture Topics  [00:57:53] Ethics: Developments and Challenges  [00:57:53] “Appearing and practicing before the Commission” Lawyers as gatekeepers Lawyer challenges coming out of the JOBS Act Whistleblower developments The ...

From the program: Audit Committee Workshop 2012

Recorded on: Jun. 26, 2012

Taken from the Web Program Audit Committee Workshop 2012 recorded June, 2012 in New York. Lecture Topics  [00:57:38] Ethics Issues for Audit Committees and Their Advisors  [00:57:38] When does an audit committee need its own lawyer? If the audit committee hires a lawyer, who is the lawyer’s client? When is a second opinion from another audit firm advisable? How much can audit committees rely on reports and ...

From the program: Delaware Law Developments 2012: What All Business Lawyers Need to Know

Recorded on: Jun. 18, 2012

Taken from the Web Program Delaware Law Developments 2012: What All Business Lawyers Need to Know Recorded June 2012 in New York City Lecture Topics He Did What?! He Said What?! Ethical Issues in Representing Representative Clients [01:00:08] This panel will discuss the challenges counsel face when representing or opposing representative clients - What are the ethical obligations of counsel when they learn facts that may undermine ...

From the program: Doing Deals in and with Emerging Markets: BRIC and Beyond 2012

Recorded on: Jul. 17, 2012

Taken from the Web Program Doing Deals in and with Emerging Markets: BRIC and Beyond 2012 recorded July, 2012 in New York. Lecture Topics  [01:02:03] Ethics and Anti-corruption Enforcement  [01:02:03] Ethical issues for clients and their lawyers facilitating international transactions Varying corporate cultures, and avoiding impropriety The purchase price of this segment includes the following article from the Course ...

From the program: Drafting Securities Filings 2012

Recorded on: Oct. 5, 2012

Taken from the Web Program Drafting Securities Filings 2012 recorded September, 2012 in New York. Lecture Topics  [01:00:50] Ethical Dilemmas in Preparation and Review of SEC Filings  [01:00:50] Ethical considerations in SEC practice Lawyers as “gatekeepers” The SEC’s “reporting up” rules 2(e) (now 102(e)) proceedings Implications of and experience under the 2010 whistleblower rules The ...

From the program: Fundamentals of Investment Adviser Regulation 2012

Recorded on: Jul. 24, 2012

Taken from the Web Program Fundamentals of Investment Adviser Regulation recorded July, 2012 in New York. Lecture Topics  [01:00:38] Compliance and Exams; Ethics for Adviser Lawyers  [01:00:38] Self-reporting Whistleblowers rules CLO/CCO liability The purchase price of this segment includes the following article from the Course Handbook available online: Fundamentals of Investment Adviser Regulation 2012: ...

From the program: Hot Topics in Mergers & Acquisitions 2012

Recorded on: Sep. 10, 2012

Taken from the Web Program Hot Topics in Mergers & Acquisitions 2012 recorded September, 2012 in New York. Lecture Topics  [01:00:27] Ethical Issues for the Corporate Lawyer  [01:00:27] Recognizing conflicts of interest in time Obligations of confidentiality Issues of candor in negotiations The purchase price of this segment includes the following article from the Course Handbook available online:  ...

From the program: JOBS Act 2012: What You Need to Know Now

Recorded on: Jun. 1, 2012

Taken from the Web Program JOBS Act 2012: What You Need to Know Now recorded May, 2012 in New York. Lecture Topics  [00:59:22] Litigation and Ethical Traps in the JOBS Act  [00:59:22] SEC enforcement and private litigation concern Ethical considerations for practitioners The purchase price of this segment includes the following article from the Course Handbook available online: Presentation Material JOBS Act ...

From the program: New Developments in Securitization 2012

Recorded on: Dec. 6, 2012

Taken from the Web Program New Developments in Securitization 2012 recorded November, 2012 in New York. Lecture Topics  [00:59:14] Ethics Issues for Securitization Lawyers  [00:59:14] Disclosure Issues in Synthetic Transactions Proprietary Structures Legal Conflicts The purchase price of this segment includes the following article from the Course Handbook available online: Professional Responsibility ...

From the program: Prison Law 2012

Recorded on: Aug. 8, 2012

Taken from the Web Program Prison Law 2012 recorded August, 2012 in New York. Lecture Topics  [01:00:12] Ethical Issues in Prison Actions  [01:00:12] Ethical issues that arise in the context of representing prisoners in civil rights actions Potential for conflicts of interest in prisoners’ rights actions Ethical issues and client relationships The purchase price of this segment includes the following article ...

From the program: Private Equity Forum 2012 (Thirteenth Annual)

Recorded on: Jul. 12, 2012

Taken from the Web Program Private Equity Forum (Thirteenth Annual) recorded July, 2012 in New York. Lecture Topics  [01:00:26] Conflicts of Interest and Other Ethics Issues  [01:00:26] Conflicts of interest Issues arising among funds with the same adviser Issues arising within the adviser The purchase price of this segment includes the following article from the Course Handbook available online:  ...

From the program: Securities Regulation Institute 2012 (44th Annual)

Recorded on: Nov. 13, 2012

Taken from the Web Program Securities Regulation Institute 2012 (44th Annual) recorded November, 2012 in New York. Lecture Topics  [01:00:38] Ethics: Dealing with Whistleblowers and Investigations  [01:00:38] Mutiny for the bounty Impact on internal compliance programs What is impermissible retaliation? How is the SEC's program working? Lawyers as bounty hunters Who is the client/representing multiple ...

From the program: Understanding the Securities Laws 2012

Recorded on: Dec. 17, 2012

Taken from the Web Program Understanding the Securities Laws 2012 recorded December, 2012 in New York. Lecture Topics  [00:59:25] Ethics and Professionalism in Securities Law  [00:59:25] Lawyers as targets - special issues facing securities lawyers SEC investigations Foreign Corrupt Practices Act (“FCPA”) Attorney reporting responsibility Practical guidance for addressing difficult ethical ...