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Created for financial services attorneys at all levels of expertise, this half-day ethics program will provide critical and pertinent guidance on how to handle common scenarios that trigger the legal ethics rules, varying state laws, and regulations, as well as professional responsibility obligations under the SEC's Rules of Practice. The first segment of the program will focus on issues that arise for attorneys in the transactional context. The second segment of the program will provide guidance on areas of focus for the SEC and other enforcement regulators related to the conduct of attorneys and other “gatekeepers”.
Analyze the rules of legal ethics and understand how to navigate scenarios where your knowledge of these rules will make all the difference in your practice. The lessons learned and best practices acquired from years of experience in financial services will help round out the faculty's guidance. Financial services attorneys at all levels of expertise will find this ethics program valuable.
What You Will Learn
After completing this program, participants will be able to:
- Better understand your role as an attorney and what legal ethics rules apply to these roles.
- Have insight on how to report wrongdoing externally to agencies like the SEC.
- Know how attorneys report on compliance violations without jeopardizing their duty of confidentiality with the client.
- Identify ethical precepts that should be followed in internal investigations.
- Know the legal ethics rules that define the duties attorneys have to the entity and better understand why the client is not the stakeholders or officers.
- Identify when attorneys are obligated to report wrongdoing, and the best practices for doing so.
Program Level: Overview
Advanced Preparation: None