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Financial Services Industry Regulatory Compliance Forum 2017

Program  Program

Stay Ever Current: Subscribe today to , PLI’s new blog edited by Clifford E. Kirsch. Why You Should Attend Financial services firms’ corporate compliance and ethics programs continue to be under intense regulatory scrutiny. Many new rules have been issued which impact the manner in which financial services firms operate. At this program, attendees will get a solid foundation about the relevant regulatory framework, as well ...

Ethics for Financial Industry Lawyers 2018

Program  Program

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 Dodd-Frank Act. What You Will Learn Lawyers as gatekeepers to protect the public Who the client is - organizations, not officers When to report wrongdoing: internally (up the corporate ladder and to the Board) and externally (to ...


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