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Ethics

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Recorded on: Aug. 13, 2013

Taken from the Web Program ERISA: The Evolving World 2013 Recorded August, 2013 in New York401(k) Plan Fundamentals, Employer Securities in Qualified Plans, and Fiduciary Responsibility and Prohibited Transactions [02:45:58] B. 401(k) Fundamentals Basic design features Special nondiscrimination rules Special distributuion rules C. Title IV - Defined Benefit Plans: Design Funding, the PBGC, Plan Terminations and Multiemployer Plans Basics ...

Recorded on: Dec. 18, 2012

Taken from the Web Program Staying out of Trouble: What Every Attorney Must Know about Ethics 2012 Recorded December, 2012 in New York An Unpleasant Surprise - Unexpected Actions Against Law Firms [01:07:03] Hear about developments regarding unusual lawsuits against law firms, including fraud, breach of fiduciary duty, RICO and aiding and abetting lawsuits (but excluding malpractice lawsuits). The purchase price of this segment includes the following ...

Recorded on: Mar. 20, 2013

Taken from the Web Program Ethics in Social Media 2013 Recorded March, 2013 in New York Attorneys and Social Media [00:56:13] Informal discovery Recent bar association opinions from state bars Public social media data Judges and social media Disciplinary procedures The purchase price of this segment includes the following article(s) from the Course Handbook available online: New York Rules of Professional ...

Recorded on: Mar. 5, 2013

Taken from the Web Program IP Issues in Business Transactions 2013 Recorded March, 2013 in San Francisco Common Ethics Issues in IP Transactions [01:00:29] Potential unlicensed practice of law Ethical obligations relating to non-clients When are conflicts unwaivable? Attorney misconduct and duty to report The purchase price of this segment includes the following article(s) from the Course Handbook available online:  ...

Recorded on: Sep. 19, 2013

Taken from the Web Program Hedge Fund Management 2013 Recorded September, 2013 in New YorkCompliance and Operational Issues [01:00:07] Major operational and legal risks for hedge funds Information walls - when are they needed? Valuation issues Risks regarding expert networks Developing effective compliance programs The purchase price of this segment includes the following article(s) from the Course Handbook available online: Letter from ...

Recorded on: Jul. 1, 2013

Taken from the Web Program Internal Investigations 2013 Recorded June, 2013 in New YorkConducting the Investigation: A) Considerations, Processes and Procedures, B) Privilege Issues and Ethical Traps in Conducting the Investigation [01:34:57] A. Considerations, Processes and Procedures Gathering documents Employee interviews Employee issues and obligations: advice, rights and liability in light of recent cases Former employee interviews ...

Recorded on: Jul. 10, 2013

Taken from the Web Program Fourteenth Annual Private Equity Forum Recorded July, 2013 in New YorkConflicts of Interest and Other Ethics Issues [01:00:00] 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(s) from the Course Handbook available online: Ethical Issues and Conflicts of Interest Considerations for Private Equity ...

Recorded on: May. 14, 2013

Taken from the Web Program Antitrust Institute 2013: Developments & Hot Topics Recorded May, 2013 in New YorkCorporate Compliance and Ethics [01:02:23] Designing an effective compliance program Sentencing Commission Guidelines Attorney-client privilege including Akzo-Nobel Monitoring, auditing and reporting mechanisms Conflicts of interest The purchase price of this segment includes the following article(s) from the Course Handbook ...

Recorded on: Mar. 4, 2013

Taken from the Web Program Venture Capital 2013: Nuts and Bolts Recorded February, 2013 in New York Crisis Management and Tough Judgment Calls in Representing Emerging Growth Companies [01:00:59] Inevitable conflicts: representing both the company and an investor Crisis management: advising the board and investors Best practices The purchase price of this segment includes the following article(s) from the Course Handbook ...

Recorded on: Jun. 11, 2013

Taken from the Web Program International Employment Law 2013 Recorded June, 2013 in New YorkCross-Border Investigations & Ethical Issues [01:01:54] Update on international enforcement of SOX, Dodd Frank, FCPA and UK Bribery Act Investigating employment law claims across borders Attorney-client privilege Privacy and discovery: workplace e-mails, social media and other electronic data Interacting with witnesses: cultural issues The purchase ...

Recorded on: Oct. 26, 2012

Taken from the Web Program Advanced Swaps & Other Derivatives 2012 Recorded October, 2012 in New York Derivatives and Professional Responsibility [00:56:20] 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 in complex structured finance transactions  ...

Recorded on: Jan. 28, 2013

Taken from the Web Program Securities Products of Insurance Companies in the Course of Regulatory Reform 2013 Recorded January, 2013 in New York Distribution of Insurance/Securities Products; Advertising; and Ethics [00:57:20] FINRA and social media Suitability Advertising standards Ethical practices in distribution The purchase price of this segment includes the following article(s) from the Course Handbook available online:  ...

Recorded on: Mar. 25, 2013

Taken from the Web Program Securities Offerings 2013: A Public Offering: How It Is Done Recorded March, 2013 in New YorkDue Diligence and the Offering Process [00:00:01]The purchase price of this segment includes the following article(s) from the Course Handbook available online:

Recorded on: Jan. 14, 2013

Taken from the Web Program Understanding Financial Products 2013 Recorded January, 2013 in New York Ethical Challenges and Other Hot Topics in Financial Products [01:04:18] Special responsibilities of counsel: delivery of legal opinions, responses to auditors and attorney reporting requirements Rating agency perspectives FINRA’s new suitability and know your customer rules Anticipated rule-making regarding broker-dealer ...

Recorded on: Jun. 25, 2013

Taken from the Web Program Audit Committees and Financial Reporting 2013: Recent Developments and Current Issues Recorded June, 2013 in New YorkEthical Challenges for Audit Committees and Their Advisors: Look Out...the SEC and DOJ are Watching [01:00:27] How to deal with tough disclosure and financial reporting issues without getting your fingers burned When does the audit committee need its own counsel? Outside audit advice? What do you tell, ...

Recorded on: Sep. 20, 2013

Taken from the Web Program 44th Annual Estate Planning Institute Recorded September, 2013 in New YorkEthical Considerations [01:03:32] Conflicts – who is your client? Retainer agreements Representing fiduciaries The purchase price of this segment includes the following article(s) from the Course Handbook available online: Ethical Considerations in Estate PlanningHon. John M. Czygier, Jr.

Recorded on: May. 15, 2013

Taken from the Web Program Leveraged Financing 2013 Recorded May, 2013 in New YorkEthical Considerations in Leveraged Financings [01:01:04] Conflicts of interest and conflict waivers Who is the client; prospective and former clients Client confidences Candor in negotiations Contact with other parties represented by counsel The purchase price of this segment includes the following article(s) from the Course Handbook available online: Selected ...

Recorded on: Mar. 25, 2013

Taken from the Web Program Advanced Licensing Agreements 2013 Recorded March, 2013 in New York Ethical Considerations in Licensing [01:00:27] Drafting in anticipation/avoidance of litigation What happens when a friendly deal turns litigious Deceit and candor Cross-border transactions Communications with adverse parties The purchase price of this segment includes the following article(s) from the Course Handbook ...

Recorded on: Sep. 11, 2013

Taken from the Web Program California Employment Law Update 2013 Recorded September, 2013 in San FranciscoEthical Considerations in Trade Secret Litigation: A California Employment Law Case Study [01:03:04] Joint representation issues The attorney-client privilege: who holds it and to what does it apply? Potential conflicts minefields Whether Plaintiff or Defendant: different considerations? The purchase price of this segment includes the ...

Recorded on: Apr. 10, 2013

Taken from the Web Program Pension Plan Investments 2013: Current Perspectives NY Recorded April, 2013 in New YorkEthical Considerations [01:00:36] Attorney-Client Privilege Potential Conflicts of Interest: Participant Lawsuits Document Retention The purchase price of this segment includes the following article(s) from the Course Handbook available online: Professional Responsibility and the ERISA LawyerGlenn E. Butash Ethical Issues ...

Recorded on: Mar. 18, 2013

Taken from the Web Program Taking and Defending Depositions 2013 Recorded March, 2013 in New York Ethical Dilemmas Arising With Depositions [01:01:28] The attorney client privilege and work product doctrine Protecting your witness and staying within ethical boundaries Improper/proper use of objections Conferring with witnesses during a deposition Remedial measures Practice Tip: What to do if you suspect your ...

Recorded on: Oct. 3, 2013

Taken from the Web Program Securities Filings 2013: Practical Guidance in a Changing Environment Recorded September, 2013 in New YorkEthical Dilemmas in Preparation and Review of SEC Filings [01:01:16] Ethical considerations in SEC practice Lawyers as “gatekeepers” and targets The SEC’s “reporting up” rules 2(e) (now 102(e)) proceedings Experience under the Dodd-Frank whistleblower rules The purchase price of this segment includes the following ...

Recorded on: Oct. 22, 2012

Taken from the Web Program Negotiating Commercial Leases: How Owners & Corporate Occupants Can Avoid Costly Errors 2012 Recorded October, 2012 in San Francisco Ethical Gaps, Mishaps and Traps in Real Estate Practice [01:04:44] Engagement letter gap Conflicts issues arising from outside counsel's dealings with inhouse counsel acting as owner/officer of property management company and independent counsel versus in-house counsel acting ...

Recorded on: Nov. 13, 2012

Taken from the Web Program 14th Annual Commercial Real Estate Institute Recorded November, 2012 in San Francisco Ethical Issues Facing Real Estate Attorneys [01:03:29] Conflicts of interest - What conflicts can be waived? - Use of internal screens Duty of confidentiality Metadata and other computer pitfalls for the unwary A case study showing potential ethical issues in a real estate deal The purchase price of ...

Recorded on: Aug. 13, 2013

Taken from the Web Program Mental Health Issues & the New York State Courts Recorded August, 2013 in New YorkEthical Issues in Cases Involving Litigants with Mental Illness [01:00:50] Legal issues regarding retention hearings and medication Ethical issues that arise in representing criminal defendants with mental illnesses The purchase price of this segment includes the following article(s) from the Course Handbook available online: New ...