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Over the course of representing one’s clients in the financial industry, an attorney’s role can come into question. Are you serving as a confidential communicant? Can you become a whistleblower? Is there a duty to be a gatekeeper? And do the legal rules of ethics change with each role?
This program is designed to educate attorneys at all levels on the ethics rules and professional responsibility issues that arise in connection with the representation of clients in financial industry matters. Learn the best practices for reporting wrongdoing, whether it be up the corporate ladder or externally to regulators, and improve your understanding of the ethics rules in play and how they correlate with the SEC’s professional responsibility rules.
What You Will Learn
• What is the lawyer’s role - confidential communicant, whistleblower or gatekeeper?
• Who is the client - entity, not individual officers?
• How to report wrongdoing: internally (up the corporate ladder and to the Board) and externally (to regulators)
• What is the impact of SEC professional responsibility rules?
• What is the impact of SEC and CFTC whistleblower rules?
• What is the efficacy of conflicts waivers?
• What ethical precepts should be followed in internal investigations?
• What ethical rules are present in cybersecurity matters?
• What ethical rules are present in selling ICOs?
Program Level: Overview
Intended Audience: Attorneys at all levels who are involved in securities, corporate, banking, finance, and insurance law.
Advanced Prep: None