1-Hour Program

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Overview

Why you should attend

The program will review the professional responsibility issues confronting lawyers who advise clients in connection with securities and derivatives transactions, including the implementation of the Dodd-Frank Act.

What you will learn

  • Who the client is - organizations, not officers
  • When to report wrongdoing: internally (up the corporate ladder and to the Board) and externally (to regulators)
  • SEC professional responsibility rules for issuer’s counsel
  • Conflicts waivers
  • Internal investigations
  • SEC and CFTC whistleblower provisions: policy and ethical considerations

Credit Details