transcript   Transcript

Legal Ethics: The Lawyer’s Role When Something Goes Wrong in Financial Services

Recorded on: Nov. 15, 2016
Running Time: 00:59:25

Full Transcript:

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Taken from the Web Program Financial Services Industry Regulatory Compliance & Ethics Forum 2016 recorded November, 2016 in New York.

Legal Ethics: The Lawyer’s Role When Something Goes Wrong in Financial Services [00:59:25]
  • Self-reporting: Do lawyers (in-house counsel or compliance officers or employees in compliance) have an ethical duty to report or disclose client conduct that the attorney believes violates the law?
  • Dealing with collateral consequences: Hear directly from a whistleblower
  • Remediation: Identify best practices for attorneys and compliance officers in deciding whether to report and how to report without violating ethical obligations

Benjamin Gruenstein

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

  • Laying the Foundation: The Regulatory Landscape
    Savaria B. Harris

Presentation Material

  • Legal Ethics: The Lawyers Role When Something Goes Wrong
  • Legal Ethics: When Something Goes Wrong
    Benjamin Gruenstein
Benjamin Gruenstein ~ Cravath, Swaine & Moore LLP
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