See Credit Details Below
Why You Should Attend
The role lawyers play in the financial industry extends to that as gatekeepers tasked with protecting the public. This informative program will review the professional responsibility issues confronting lawyers who advise clients in connection with securities and derivatives transactions, including the Dodd-Frank Act, and its regulatory reform.
What You Will Learn
- Examine the policy and ethical considerations of the SEC and CFTC’s whistleblower provisions
- In depth discussion on who the client is (organization, not officers); plus conflicts waivers, internal investigations and CFTC anti-evasion rules
- Overview of the SEC’s professional responsibility rules
- Best practices for cybersecurity ethics issues
- What is the lawyer’s role– confidential communicant, whistleblower or gatekeeper?
- How to report wrongdoing: Internally (up the corporate ladder and to the Board) and externally (to regulators).
- What ethical rules are present in selling ICOs?
- Earn two hours of Ethics credit
Who Should Attend
This program is aimed at attorneys at all levels who are involved in securities, corporate, banking and finance, and insurance low, as well as in-house counsel, financial planners, financial advisers, bankers, and accountants.
Program Level: Basic
Intended Audience: Attorneys at all levels who are involved in securities, corporate, banking and finance, and insurance law, as well as in-house counsel, financial planners, financial advisers, bankers, and accountants.
Advanced Prep: None