Ethics in Banking and Financial Services 2012
July 31, 2012
CLE - Live Seminar
- The intersection of banking and brokerage regulation: What are the ethical and practical issues for lawyers in an era of overlapping regulatory jurisdictions?
- The dangers and pitfalls of broker-dealer enforcement: What are the ethical and practical issues for lawyers in handling enforcement matters?
- The ethical responsibilities of legal and compliance professionals in regulated companies: What are the duties and potential liabilities of outside and inside counsel in dealing with client problems?
- Recent changes in the rules of professional responsibilities: Have the recent changes made the environment better or worse for lawyers?
- Representing regulated entities in civil litigation: What are the key ethical and practical issues on which litigators need to be focused?
Practising Law Institute
810 Seventh Avenue
New York, New York
United States of America