2-Hour Program

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Overview

What you will learn

  • 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 and inside counsel in dealing with client problems?
  • Recent changes in the rules of professional responsibilities: Have the recent changes made the environment better or worse for lawyers?
  • Representing regulated entities in civil litigation: What are the key ethical and practical issues on which litigators need to be focused?
  • The Foreign Corrupt Practices Act and the financial services industry

Credit Details