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Ethical Challenges

MP4 - Mobile Video Seg  Video Download (MP4)    

Recorded on: Jan. 31, 2017

Taken from the Web Program Understanding Financial Products 2017 recorded January, 2017 in New York. Ethical Challenges [01:08:03] The Policy Framework: Lawyers as Gatekeepers The Legal Framework: Rule 102(e) and Sarbanes-Oxley Attorney Conduct Rules Corporate/Securities Counsel Liability for "Failure to Supervise" Collateral Consequences: Attorneys as Witnesses SEC Focus on Defense Counsel Attorneys as Whistleblowers ...

Ethics, Due Diligence and the Offering Process

MP4 - Mobile Video Seg  Video Download (MP4)    

Recorded on: Mar. 6, 2017

Taken from the Web Program Securities Offerings 2017: A Public Offering: How it is Done recorded March, 2017 in New York. Ethics, Due Diligence and the Offering Process [01:48:18] Professional liability provisions and remedies under the Securities Act (MRPC 1.13) Importance of ethics in due diligence in the offering process, including comfort letters, 10b-5 statements and in-house counsel considerations (MRPC 4.1) Role of participants ...


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