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Ethics for Financial Industry Lawyers (PLI Webcast)
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Ethics for Financial Industry Lawyers (PLI Webcast)

Groupcast at the offices of the Atlanta Bar Association

2/20/2015
When: 02/20/2015
12:00 PM to 2:10 PM
Where: Atlanta Bar Association
229 Peachtree Street NE
Suite 400
Atlanta, Georgia  30303
United States
Contact: (404) 521-0781

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Practicing Law Institute and Atlanta Bar CLE will continue working together to bring PLI programs to you! 
 
PLI is dedicated to providing the legal community with the most up-to-date, relevant information and techniques which are critical to the development of a professional, competitive edge. 
 
More of PLI's sophisticated and cutting-edge programs will be webcast live at the Atlanta Bar Association Office through May 2015. 

2 CLE hours

 

The program will review the professional responsibility issues confronting lawyers who advise clients in connection with securities and derivatives transactions, including the implementation of the
Dodd-Frank Act.

What you will learn

  • 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
  • SEC and CFTC whistleblower provisions: policy and ethical considerations

Register online and view more information at www.pli.edu

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