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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 ...

Securities Regulation Institute 2013 (45th Annual)

On-Demand Web Programs  On-Demand Web Programs    

From the program: Securities Regulation Institute (45th Annual)

Released on: Nov. 22, 2013

PLI’s Annual Institute on Securities Regulation has become the most highly anticipated annual review of the current state of securities, financial regulation and corporate law and practice.  We are pleased to co-chair the 45th edition of this important event, and to present you with this year’s agenda.  As always, we strive to bring you the most up-to-date information in response to the many changes of the past year.  As we continue ...

Featured Faculty/Authors
Michael T. Fishman

Michael T. Fishman ~ Greenberg Traurig LLP

Rebecca S. Eisner

Rebecca S. Eisner ~ Mayer Brown LLP

Tamar Kraft-Stolar

Tamar Kraft-Stolar ~ Director, Women in Prison Project, Correctional Association of New York