transcript   Transcript

Navigating Ethics and Professionalism Requirements in Securities Law Practice

Recorded on: Jul. 23, 2018
Running Time: 02:00:40

Full Transcript:

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Taken from the Web Program Understanding the Securities Laws 2018 Recorded July 2018 in New York

Navigating Ethics and Professionalism Requirements in Securities Law Practice [02:00:40]
  • Complying with ethics and professional responsibility rules in SEC practice
  • Professional responsibility implications of lawyers as gatekeepers and investigational targets
  • Ethical implications of whistleblower rules and their application
  • Complying with professional responsibility obligations in FCPA and other internal investigations
  • Ethical considerations in counseling clients on disclosure obligations
  • Ethical considerations in preparing SEC filings

N. Adele Hogan, Douglas K. Chia, Ashley Gillespie, Andrew N. Siegel

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:
  • Ethics: Selected Materials, Selected Excerpts from the New York State Rules of Professional Responsibility Effective April 1, 2009 and as Amended through May 1, 2014
    N. Adele Hogan
  • U.S. Securities and Exchange Commission, Public Statement, SEC Chairman Jay Clayton, Statement on Cryptocurrencies and Initial Coin Offerings (December 11, 2017)
    N. Adele Hogan
  • U.S. Securities and Exchange Commission, Public Statement, Divisions of Enforcement and Trading and Markets, Statement on Potentially Unlawful Online Platforms for Trading Digital Assets (March 7, 2018)
    N. Adele Hogan
  • Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order, In the Matter of Panasonic Corporation, Securities Exchange Act Release No. 83128, Accounting and Auditing Enforcement Release No. 3938, Administrative Proceeding File No. 3-18459 (SEC April 30, 2018)
    N. Adele Hogan
  • Department of the Treasury, Office of Foreign Assets Control (OFAC), Risk Factors for OFAC Compliance in the Securities Industry (Updated November 5, 2008)
    N. Adele Hogan
Douglas K. Chia ~ Executive Director, Governance Center, The Conference Board
Ashley Gillespie ~ Executive Director, Investment Management, Morgan Stanley
N. Adele Hogan ~ Partner, Hogan Law Associates
Andrew N. Siegel ~ General Counsel and Chief Compliance Officer, Galaxy Digital LP
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