2-Day Program

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Overview

Why You Should Attend

Designed for attorneys at all levels who are looking for an in-depth introduction to financial products, this two-day fundamentals program has been updated to also reflect the recent market and investment trends, in addition to the impact of serving clients remotely and virtually. Experienced financial services attorneys will explain the varying kinds of financial products, their individual structures and uses, and the impacts of recent regulatory and legislative developments. This comprehensive program is especially helpful for those needing a primer on dealing with the more common financial investment products in the marketplace today.

New this year is a segment focused entirely on ESG: environmental, social, and governance factors by which investors measure the sustainability of a company. Investors' priorities have sharply changed in recent years, and even in recent months, leaving companies looking for new guidance on what is reported to their investors. Analyze how the events of 2020, the evolution of social priorities, and governance transparency have impacted investment mandates.

Also, discover what legal ethics issues attorneys should anticipate in the current environment of working remotely and appearing virtually. This program will offer an ethics segment dedicated to the legal ethics rules commonly in play within the financial services industry.

What You Will Learn

  • Overview of the various financial products, their creation, and use.
  • Key regulatory considerations: securities, commodities, insurance, and others.
  • New! Discuss the evolution of ESG and what it will look like in 2021.
  • What has been the impact of the COVID-19 pandemic on the market?
  • What are structured notes and exchange-traded notes?
  • Learn the basic economics of derivatives: use of swaps, options, futures, and forwards to hedge portfolio positions.
  • What are the commercial law issues that arise in transactions involving cryptocurrencies and crypto-assets?
  • Review the fundamentals of private equity, venture capital, and secondary funds.
  • How are mutual funds created and operated? What is their organizational structure?
  • Discussion of legal ethics rules commonly in play when working on client matters within the financial services industry.
  • What are the ethics rules that come into play when working remotely and virtually?

Special Features

  • New! ESG analysis and how the events of 2020 impacted environmental and societal priorities for investors.
  • Earn one hour of Ethics credit
  • NY Transitional Attorneys: Earn Professional Practice credit

Who Should Attend

Attorneys at all levels who are involved in securities, corporate, banking and finance, and insurance law. Other professionals in banking and finance will find this program valuable.

 

Program Level: Overview

Intended Audience: Attorneys at all levels who are involved in securities, corporate, banking and finance, and insurance law. Other professionals in banking and finance will find this program valuable.

Prerequisites: An interest in financial services and learning the nuances of securities and finance.

Advanced Prep: None

Credit Details

Schedule & Location

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