Ethics for Financial Industry Lawyers 2018

Ethics for Financial Industry Lawyers 2018
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  Why You Should Attend: The program will review the professional responsibility issues confronting lawyers who advise clients in connection with securities and derivatives transactions, including the Dodd-Frank Act.

What You Will Learn: 

  • Lawyers as gatekeepers to protect the public
  • Who the client is - organizations, not officers
  • When to report wrongdoing: internally (up the corporate ladder and to the Board) and externally (to regulators)
  • SEC professional responsibility rules for issuer’s counsel
  • Conflicts waivers
  • Internal investigations
  • CFTC anti-evasion rules
  • ABA Formal Opinion 477 (2017): evolving cybersecurity ethics issues for lawyers
  • SEC and CFTC whistleblower provisions: policy and ethical considerations
  • To Register Click Here
    3/12/2018 9:00 AM - 3/12/2018 11:20 AM
    Columbus Bar Association 175 South Third Street Suite 1100 Columbus, OH 43215 UNITED STATES