2-Hour Program

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Why You Should Attend 

This half-day program is tailored for financial services attorneys at all levels and will provide pertinent and pragmatic guidance on how to handle common everyday scenarios that trigger the legal ethics rules and regulations, as well as professional responsibility obligations under the SEC’s Rules of Practice. The program will divide it’s focus on the transactional issues for the first half on the enforcement perspective for the second half.  

Attendees will be able to better analyze the rules of legal ethics and how to navigate situations that can best be described as “gray”. The program will provide best practices that attorneys will find most valuable in today’s industry. 

What You Will Learn 

After completing this program, participants will be able to: 

  • Better understand their roles as an attorney and what legal ethics rules apply to these different roles. 
  • Gain insight into how to report wrongdoing externally to government agencies like the SEC. 
  • Confidently report compliance violations without jeopardizing their duty of confidentiality with the client. 
  • Identify ethical precepts that should be followed in internal investigations. 
  • Know when to apply particular legal ethics rules that define the duties of attorneys and better understand why the client is not the stakeholders or officers.  

Who Should Attend

Financial services attorneys at all levels of experience will find this ethics program to be valuable.  

Special Feature(s): none 

Program Level: Overview  

Prerequisites: none 

Advanced Preparation: none 

Credit Details

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