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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, regulations, as well as professional responsibility obligations under the SEC's Rules of Practice. How does SEC Rule 102(e) impact your practice, and what will trigger SEC enforcement actions for professional conduct? What are the best practices on data privacy to ensure that ethics rules are met? Take an in-depth look at these questions and more.
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
- What is your role as an attorney, and what legal ethics rules apply to these roles?
- Examine how to report wrongdoing externally to agencies like the SEC. How do attorneys report on compliance violations without jeopardizing their duty of confidentiality with the client?
- What ethical precepts should be followed in internal investigations?
- Who is the client? Review the legal ethics rules that define the duties attorneys have to the entity and learn why the client is not the stakeholders or officers.
- When are attorneys obligated to report wrongdoing, and what are the best practices for doing so?
- Two hours of Ethics credit!
Program Level: Overview
Intended Audience: Attorneys at all levels who are involved in securities, corporate, banking, finance, and insurance law.
Advanced Prep: None