2-Hour Program
See Credit Details Below
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