transcript   Transcript

Navigating Ethics and Professionalism Requirements in Securities Law Practice

Recorded on: Jul. 23, 2018
Running Time: 02:00:40

Full Transcript:



If you are a Privileged Member, just log in and start reading now! If you are not a Privileged Member, please click here to learn how unlimited access to PLI programs may be right for you and your firm.

To access the streaming media of this presentation, please purchase the corresponding seminar segment.

Taken from the Web Program Understanding the Securities Laws 2018 Recorded July 2018 in New York

Navigating Ethics and Professionalism Requirements in Securities Law Practice [02:00:40]
  • Complying with ethics and professional responsibility rules in SEC practice
  • Professional responsibility implications of lawyers as gatekeepers and investigational targets
  • Ethical implications of whistleblower rules and their application
  • Complying with professional responsibility obligations in FCPA and other internal investigations
  • Ethical considerations in counseling clients on disclosure obligations
  • Ethical considerations in preparing SEC filings

N. Adele Hogan, Douglas K. Chia, Ashley Gillespie, Andrew N. Siegel

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:
  • Ethics: Selected Materials, Selected Excerpts from the New York State Rules of Professional Responsibility Effective April 1, 2009 and as Amended through May 1, 2014
    N. Adele Hogan
  • U.S. Securities and Exchange Commission, Public Statement, SEC Chairman Jay Clayton, Statement on Cryptocurrencies and Initial Coin Offerings (December 11, 2017)
    N. Adele Hogan
  • U.S. Securities and Exchange Commission, Public Statement, Divisions of Enforcement and Trading and Markets, Statement on Potentially Unlawful Online Platforms for Trading Digital Assets (March 7, 2018)
    N. Adele Hogan
  • Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order, In the Matter of Panasonic Corporation, Securities Exchange Act Release No. 83128, Accounting and Auditing Enforcement Release No. 3938, Administrative Proceeding File No. 3-18459 (SEC April 30, 2018)
    N. Adele Hogan
  • Department of the Treasury, Office of Foreign Assets Control (OFAC), Risk Factors for OFAC Compliance in the Securities Industry (Updated November 5, 2008)
    N. Adele Hogan
(s)
Douglas K Chia ~ Executive Director, Governance Center, The Conference Board
Ashley Gillespie ~ Executive Director, Investment Management, Morgan Stanley
N. Adele Hogan ~ Baker Tilly Virchow Krause, LLP
Andrew N Siegel ~ General Counsel and Chief Compliance Officer, Galaxy Digital LP
Share
Email
Transcript FAQ's
  • How Can I Access Transcripts?
    You must be a Member in good standing.

  • Can I access the Video?
    Yes, you can access the video if you have the Adobe Flash plugin installed. Click on the video camera icon when you mouse over each paragraph. The media will begin playback at that point.

  • Can I get CLE credit for reading the transcript?
    No, CLE credit cannot be earned for reading a transcript. CLE credit is issued only for verified attendance while watching a web program. If seeking credit, please verify the program's eligibility for credit and expiration date in your jurisdiction on the web segment launch page before commencing the program.

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • YouTube
  • RSS

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.