2-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 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 regulators)
  • SEC professional responsibility rules for issuer’s counsel
  • Conflicts waivers
  • Internal investigations
  • CFTC anti-evasion rules
  • ABA Formal Opinion 477 (2017): evolving cybersecurity ethics issues for lawyers
  • SEC and CFTC whistleblower provisions: policy and ethical considerations
Industries

Credit Details