Event: Ethics for Financial Industry Lawyers 2019 (NY)

Event: Ethics for Financial Industry Lawyers 2019 (NY)
Date: 2019-03-11
Details: March 11: "Ethics for Financial Industry Lawyers 2019" sponsored by the Practising Law Institute, will be held in New York, NY at the PLI New York Center. 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: an overview of the SEC's professional responsibility rules; in depth discussions on who the client is (organization, not officers), plus conflicts waivers, internal investigations and CFTC anti-evasion rules; and examining the policy and ethical considerations of the SEC and CFTC's whistleblower provisions. For further information and to register for this event, call 800-260-4PLI or visit www.pli.edu

Regis Fee: $395.00.

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