See Credit Details Below
Overview
Why You Should Attend
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?
Who Should Attend
Attorneys at all levels who are involved in securities, corporate, banking, finance, and insurance law.
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
Lecture Topics [Total time 00:02:25]
Segments with an asterisk (*) are available only with the purchase of the entire program.
- Opening Remarks* [00:01:53]
N. Adele Hogan - Ethics for Financial Industry Lawyers [02:03:31]
N. Adele Hogan
The purchase price of this Web Program includes the following articles from the Course Handbook available online:
- Complete Course Handbook
- Rules of Professional Conduct, New York State Unified Court System, Part 1200 (January 1, 2017)
- Basic Ethics for the Negotiating Lawyer
David Rabinowitz - Mom (as Always) Was Right: Don’t Talk to Strangers, NY Business Law Journal, Vol. 22, No. 1 (Summer 2018)
C. Evan Stewart - Mad Dogs and Englishmen: Part Deux, NY Business Law Journal, Vol. 21, No. 2 (Winter 2017)
C. Evan Stewart - The D.C. Circuit: Wrong and Wronger!, NY Business Law Journal, Vol. 19, No. 2 (Winter 2015)
C. Evan Stewart - The New York Court of Appeals Takes the Wrong Fork in the Road on the Common Interest Privilege, NY Business Law Journal, Vol. 20, No. 2 (Winter 2016)
C. Evan Stewart - Finder’s Keepers, Losers Weepers?, NY Business Law Journal, Vol. 20, No. 1 (Summer 2016)
C. Evan Stewart - Caveat Corporate Litigator: The First Circuit Sets Back the Attorney Work Product Doctrine, NY Business Law Journal, Vol. 14, No. 1 (Summer 2010)
C. Evan Stewart - Thus Spake Zarathustra (and Other Cautionary Tales for Lawyers), NY Business Law Journal, Vol. 14, No. 2 (Winter 2010)
C. Evan Stewart - Lawyers and the Border Patrol: The Challenges of Multi-Jurisdictional Practice, NY Business Law Journal, Vol. 15, No. 1 (Summer 2011)
C. Evan Stewart - A Tale of Two Judges, NY Business Law Journal, Vol. 16, No. 1 (Summer 2012)
C. Evan Stewart - Good Golly Miss Molly! The Attorney Work Product Doctrine Takes Another Hit, NY Business Law Journal, Vol. 16, No. 2 (Winter 2012)
C. Evan Stewart - Mad Dogs and Englishmen, NY Business Law Journal, Vol. 17, No. 1 (Summer 2013)
C. Evan Stewart - The End of Conflicts of Interest?: Courts Warm Up to Advance Waivers, NY Business Law Journal, Vol. 17, No. 2 (Winter 2013)
C. Evan Stewart - “Positively 4th Street”: Lawyers and the “Scripting” of Witnesses, NY Business Law Journal, Vol. 18, No. 1 (Summer 2014)
C. Evan Stewart - Pigs Get Fat, Hogs Get Slaughtered: Keeping Lawyers Out of the Slaughterhouse, NY Business Law Journal, Vol. 19, No. 1 (Summer 2015)
C. Evan Stewart - Ohio Takes a Bite Out of the Big Apple, New York Law Journal (September 7, 2012)
C. Evan Stewart - In-House Counsel as Whistleblower: A Rat Without a Remedy?, New York Law Journal (August 21, 2008)
C. Evan Stewart - Navigating State-Based Ethics Rules and Sarbanes-Oxley Requirements, New York Law Journal (September 21, 2015)
C. Evan Stewart - Attorney-Client Privilege: Misunderestimated or Misunderstood?, New York Law Journal, Vol. 252, No. 76 (October 20, 2014)
C. Evan Stewart - Squaring the Circle: Can Bad Legal Precedent Just Be Wished Away?, NY Business Law Journal, Vol. 18, No. 2 (Winter 2014)
C. Evan Stewart - Exes and the Attorney-Client Privilege, NY Business Law Journal, Vol. 21, No. 1 (Summer 2017)
C. Evan Stewart - The Fork in the Road: The SEC and Preemption, New York Law Journal (May 10, 2017)
C. Evan Stewart - Fourth Time a Charm? The Supreme Court Takes Another Whack at Secondary Liability, New York Law Journal, Vol. 260, No. 123 (December 27, 2018)
C. Evan Stewart - Lawyers as Rats: An Evolving Paradigm?, NY Business Law Journal, Vol. 22, No. 2 (Winter 2018)
C. Evan Stewart - New York Lawyers: Be Afraid, Be Very Afraid…!, NY Business Law Journal, Vol. 23, No. 1 (Summer 2019)
C. Evan Stewart - Ethics for Government Lawyers (November 2019)
Karen Griffin - An Ethics Checklist for Securities Lawyers Representing Issuers and Other Entities
Matthew J. O'Hara - Donald Maurice, Lawyer and Non-Lawyer Supervision— A Lesson in Avoiding an Ethical Transgression, The Consumer Financial Services Blog, MauriceWutscher (February 24, 2014), available at: consumerfsblog.com/2014/02/attorney-ethics-supervision-requirements/
David Sarratt,N. Adele Hogan,David Rabinowitz,Karen Griffin,C. Evan Stewart - Protecting Client Confidences in an Age of Emerging Technology and Cybersecurity Threats
James Q. Walker
Presentation Material
- Ethics for Financial Industry Lawyers 2020
N. Adele Hogan
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.
Prerequisites: None
Advanced Prep: None