PLI - Ethics for Financial Industry Lawyers

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Registration Options

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TypeTitleStartEndCLEPrice
Mechanicsburg
PBI Conference Center
5080 Ritter Road, Rossmoyne Exit, Rt. 15, Mechanicsburg PA, 17055
STARTMon., Mar. 11, 2019
9:00 AM
ENDMon., Mar. 11, 2019
11:20 AM
CLE 0 sub/2 eth PRICE $395.00
Philadelphia
The CLE Conference Center
Wanamaker Building, 10th Floor, Suite 1010, Philadelphia PA, 19107
STARTMon., Mar. 11, 2019
9:00 AM
ENDMon., Mar. 11, 2019
11:20 AM
CLE 0 sub/2 eth PRICE $395.00
Pittsburgh
PBI Professional Development Center
Heinz 57 Center, 339 Sixth Avenue, 7th Fl., Pittsburgh PA, 15222
STARTMon., Mar. 11, 2019
9:00 AM
ENDMon., Mar. 11, 2019
11:20 AM
CLE 0 sub/2 eth PRICE $395.00

About

The role lawyers play in the financial industry extends to that as gatekeepers tasked with protecting the public. This informative program will review the professional responsibility issues confronting lawyers who advise clients in connection with securities and derivatives transactions, including the Dodd-Frank Act, and its regulatory reform.

This program is aimed at attorneys at all levels who are involved in securities, corporate, banking and finance, and insurance low, as well as in-house counsel, financial planners, financial advisers, bankers, and accountants.

Topics Include

Examine the policy and ethical considerations of the SEC and CFTC’s whistleblower provisions
In depth discussion on who the client is (organization, not officers); plus conflicts waivers, internal investigations and CFTC anti-evasion rules
Overview of the SEC’s professional responsibility rules
Best practices for cybersecurity ethics issues
What is the lawyer’s role– confidential communicant, whistleblower or gatekeeper?
How to report wrongdoing: Internally (up the corporate ladder and to the Board) and externally (to regulators).
What ethical rules are present in selling ICOs?

Faculty

No speakers have been associated with this event.
Faculty may vary by location.
PBI reserves the right to substitute speakers at all programs.
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