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

Groupcast at the offices of the Atlanta Bar Association

When: 02/19/2016
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 2016. 

2.10 CLE hours, including 2.10 Ethics 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

  • 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
  • Confidentiality issues concerning emails and metadata
  • SEC and CFTC whistleblower provisions: policy and ethical considerations

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