2-Hour Program

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Remarkable changes in how and where attorneys conduct their practice have presented unique ethical challenges in representing clients in the broad range of the financial services industry. Created for attorneys at all levels of expertise, this 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.

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

  • Impact of Covid-19 creating ethical issues for attorneys working remotely and counseling clients.
  • What is your role as an attorney? Discuss the legal ethics obligations for when you play the role of a whistleblower, gatekeeper, confidential communicant, or strict legal adviser.
  • Who is the client? Review the ethical 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? How do attorneys report on compliance violations without jeopardizing their duty of confidentiality with the client? Examine how to properly report wrongdoing internally to a board, and how to report wrongdoing externally to agencies like the SEC.
  • 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?
  • What is the efficacy of conflicts waivers? Discuss best practices for conflict waivers and how to avoid ethical pitfalls.
  • What ethical precepts should be followed in internal investigations?

Special Feature

  • 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.

Prerequisites: None

Advanced Prep: None

Credit Details

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