transcript   Transcript

Ethics, Due Diligence and the Offering Process

Recorded on: Mar. 6, 2017
Running Time: 01:48:18

Full Transcript:



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Taken from the Web Program Securities Offerings 2017: A Public Offering: How it is Done recorded March, 2017 in New York.

Ethics, Due Diligence and the Offering Process [01:48:18]

  • Professional liability provisions and remedies under the Securities Act (MRPC 1.13)
  • Importance of ethics in due diligence in the offering process, including comfort letters, 10b-5 statements and in-house counsel considerations (MRPC 4.1)
  • Role of participants in the offering process, including avoiding ethical pitfalls (MRPC 4.1)
  • Ethical issues in the underwriting process:  Lawyers as gatekeepers (MRPC 1.6)

D. Scott Bennett, David K. Boston, LizabethAnn R. Eisen, Robert Evans III, James A. Harrod, Sophia Hudson

The purchase price of this segment includes the following article from the Course Handbook available online:

  • Lawyers as Gatekeepers in the Underwriting Process (March 2017)
    Sophia Hudson
  • Presentation Material
  • Ethics, Due Diligence and the Offering Process
    D. Scott Bennett, David K. Boston, LizabethAnn R. Eisen, Robert Evans III, James A Harrod, Sophia Hudson
  • Ethics, Due Diligence and the Offering Process
    D. Scott Bennett, David K. Boston, LizabethAnn R. Eisen, Robert Evans III, James A Harrod, Sophia Hudson
  • Ethics, Due Diligence and the Offering Process
    D. Scott Bennett, David K. Boston, LizabethAnn R. Eisen, Robert Evans III, James A Harrod, Sophia Hudson
  • Ethics, Due Diligence and the Offering Process
    D. Scott Bennett, David K. Boston, LizabethAnn R. Eisen, Robert Evans III, James A Harrod, Sophia Hudson
  • Ethics, Due Diligence and the Offering Process
    D. Scott Bennett, David K. Boston, LizabethAnn R. Eisen, Robert Evans III, James A Harrod, Sophia Hudson
  • Important Financial Statements, Accounting Disclosures and Key Securities Offerings Documentation
    D. Scott Bennett, David K. Boston, LizabethAnn R. Eisen, Robert Evans III, James A Harrod, Sophia Hudson
(s)
D. Scott Bennett ~ Cravath Swaine & Moore LLP
David K Boston ~ Willkie Farr & Gallagher LLP
LizabethAnn R Eisen ~ Cravath, Swaine & Moore LLP
Robert Evans III ~ Deputy Director, Legal and Regulatory Policy, Division of Corporation Finance, U.S. Securities and Exchange Commission
Sophia Hudson ~ Davis Polk & Wardwell LLP
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