transcript   Transcript

Derivatives and Professional Responsibility

Recorded on: Oct. 25, 2018
Running Time: 01:00:08

Full Transcript:



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Taken from the Web Program Advanced Swaps & Other Derivatives 2018 Recorded October 2018 in New York

Derivatives and Professional Responsibility [01:00:08]
  • Derivatives lawyers as gatekeepers
  • Special gatekeeper issues concerning initial coin offerings
  • Representing the organization
  • Reporting wrongdoing up the ladder within an organization
  • Reporting a client’s violations to regulators
  • SEC Rule of Professional Responsibility for Issuer’s Counsel
  • Relationship between the lawyer and the CCO
  • Whistleblower and anti-retaliation issues
  • Anti-evasion issues
  • Conflicts waivers
  • Email and metadata confidentiality issues

Michael S. Sackheim

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:
  • Key Professional Responsibility Issues for Derivatives Lawyers (October 24, 2018)
    Michael S. Sackheim
  • Bloomberg BNA Securities Regulation & Law Report, 47 SRLR 2182: Derivatives Lawyers: Red Flags—See Something, Do Something (November 16, 2015)
    Michael S. Sackheim
(s)
Michael S. Sackheim ~ Sidley Austin LLP
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