Seminar  Seminar

Ethics in Banking and Financial Services 2012


Why you should attend

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?

Who should attend

Morning Session:  9:00 a.m. - 12:00 p.m.  (E.D.T.)

(Please note: There will be a 15-minute break at 10:45.)

  • 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?
Chairperson(s)
C. Evan Stewart ~ Zuckerman Spaeder LLP
Speaker(s)
Michael J. Dell ~ Kramer Levin Naftalis & Frankel LLP
Stacey R. Friedman ~ Sullivan & Cromwell LLP
Program Attorney(s)
Grace E. O'Hanlon ~ Practising Law Institute

New York City Seminar Location

PLI New York Center, 810 Seventh Avenue at 53rd Street (21st floor), New York, New York 10019. Message Center, program days only: (212) 824-5733.

New York City Hotel Accommodations

The New York Hilton & Towers, 1335 Avenue of the Americas, New York, NY 10019. 1 block from PLI Center. Reservations 1-800-HILTONS or, 1-877-NYC-HILT. Please mention that you are booking a room under the Practising Law Institute Corporate rate and the Client File # is N495741. Reservations on line at www.hilton.com and enter the same Client File # in the Corporate ID # field to access Practising Law Institute rates.

The Warwick New York Hotel, 65 West 54th Street New York, NY 10019. 1 block from PLI Center. Reservations 800-223-4099 or, hotel direct 212-247-2700. Please mention that you are booking a room under the Practising Law Institute Corporate rate. Reservations on line at www.warwickhotelny.com Click reservations in menu bar on left. Select desired dates. In 'Special Rates' drop down window select Corporate Rate. In 'Rate Code' enter PLIN. Click search and select desired room type and rate plan. Or, you may email reservation requests to: res.ny@warwickhotels.com

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Special Note: In New York, newly admitted attorneys may receive CLE credit only for attendance at "transitional" programs during their first two years of admission to the Bar. Non-traditional course formats such as on-demand web programs or recorded items, are not acceptable for CLE credit. Experienced attorneys may choose to attend and receive CLE credit for either a transitional course or for one geared to experienced attorneys.  All product types, including on-demand web programs and recorded items, are approved for experienced attorneys.

Please Note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. PLI programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.

If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.

Credit will be granted only to the individual on record as the purchaser unless alternative arrangements (prearranged groupcast) are made in advance.

Item# 34793
Location:  New York, NY
We are sorry, but this program is no longer available for purchase online. For more information please call our Customer Service Department at (800) 260-4PLI.

Seminar attendance includes course handbook and associated course materials. A downloadable course handbook will also be available several days prior to the program start for your review.