transcript   Transcript

Navigating Ethics and Professionalism Requirements in Securities Law Practice

Recorded on: Jul. 18, 2017
Running Time: 01:59:35

Full Transcript:



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Taken from the Web Program Understanding the Securities Laws 2017 recorded July, 2017 in New York.

Navigating Ethics and Professionalism Requirements in Securities Law Practice [01:59:35]

• Professional responsibility implications of lawyers as gatekeepers and investigational targets
• Complying with ethics and professional responsibility rules in SEC practice
• Ethical implications of whistleblower rules and their application
• Complying with professional responsibility obligations in FCPA and other internal investigations
• Ethical considerations in drafting SEC disclosure

Speakers: N. Adele Hogan, Ashley Gillespie, Andrew N. Siegel

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

  • Links to Material Relevant to Navigating Ethics and Professionalism Requirements in Securities Law Practice
    N. Adele Hogan
  • U.S. Securities and Exchange Commission, Recordkeeping and Internal Controls Provisions Section 13(b) of the Securities Exchange Act of 1934 (May 28, 2003)
    N. Adele Hogan
  • U.S. Securities and Exchange Commission, Anti-Bribery Provision, §30A of the Securities Exchange Act of 1934 (March 19, 2002)
    N. Adele Hogan
  • U.S. Securities and Exchange Commission, National Exam Program, Office of Compliance Inspections and Examinations, Examination Priorities For 2017
    N. Adele Hogan

Presentation Material

  • Navigating Ethics and Professionalism Requirements in Securities Law Practice
    Ashley Gillespie, N. Adele Hogan, Andrew N. Siegel
(s)
Ashley Gillespie ~ Executive Director, Morgan Stanley Investment Management
N. Adele Hogan ~ Director , Deutsche Bank AG
Andrew N Siegel ~ Chief Compliance Officer, Chief Regulatory Counsel and Partner, Perella Weinberg Partners
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