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Ethics for Compliance and Legal Professionals

SKU: FR7400
Total Credits
1
Price$50
  • Online Access
  • Smartphone
  • iPad/iPod/Tablets
  • CDs/DVDs

Description

This CLE session focuses on ethical considerations and the significant competing interests that compliance professionals and securities attorneys face on a daily basis. Practitioners discuss the roles and responsibilities of compliance professionals and securities attorneys and the nature and scope of their ethical obligations in different situations.

After attending this session, you will be able to:

  • Discover the impact of misconduct.
  • Define unethical practices; use actual case studies to illustrate.
  • Receive practical steps to establish ethical behavior and good judgment in one's practice. How to monitor and maintain ethical practices among co-workers and colleagues.
  • Understanding the legal issues surrounding conducting internal investigations.
  • Identify the laws and rules that trigger external reporting obligations and the legal issues those regulations create.
  • Apply the ethics laws and rules to a series of hypothetical facts.
  • Obtain tips regarding best practices to follow in conducting internal investigations, cooperating with regulators, handling whistleblowers and entering into joint representations.

Lecturer Bios

Lisa Roth

Lisa Roth is a registered principal with Keystone Capital Corporation; a FINRA member firm headquartered in San Diego, CA. Ms. Roth holds FINRA Series 4, 7, 24, 53 and 65 licenses. Ms. Roth is also the President of Monahan & Roth, LLC, a professional consulting firm offering regulatory compliance consulting, expert witness and litigation support services. Previously, Ms. Roth was the founder and CEO of ComplianceMAX Financial Corp., a regulatory compliance company offering technology and consulting services to more than 1,000 broker-dealers and investment advisers. Ms. Roth’s leadership at CMAX led to the development of audit and compliance workflow technologies now in use by some of the United States largest (and smallest) broker-dealers and investment advisers. Ms. Roth has also served in various executive capacities with Royal Alliance Associates, First Affiliated Securities, and other brokerage and advisory firms. Ms. Roth has served on the FINRA Small Firm Advisory Board, including one year as its chair. She is the past chairman of the National Association of Independent Broker-Dealer (NAIBD), and has served on the Board of the Third Party Marketers’ Association. Ms. Roth has recently completed a two-year term as a member of the PCAOB Standing Advisory Group. She is an active participant in industry forums, including FINRA committees and trade associations. Ms. Roth is a frequent speaker at industry and regulatory conferences, and serves on ad hoc committees as necessary to promote a culture of continuous improvement for compliance and operations among investment services firms. Ms. Roth resides in CA, but is a native of Pennsylvania, where she attained a bachelor’s degree and was awarded the History Prize from Moravian College.

Norm Ashkenas

Norm Ashkenas is Senior Vice President, CCO for Fidelity Brokerage Services, running Broker/Dealer and Insurance compliance for Fidelity Investments’ retail and retirement business. He has been with Fidelity since 2003 in various compliance leadership roles, including field, product and regulatory, internal controls and ASL covering B/D, IA, ERISA/Tax and TA issues. He has also been CCO for Fidelity Distributors Corporation and Fidelity Personal Trust. Previously, Mr. Ashkenas spent 10 years with Prudential Securities as SVP for Regulatory & Compliance Examinations, and VP/Associate General Counsel. Prior to that, he was a litigation attorney with Chemical Bank. He is on the FINRA District 11 Committee and Membership Committee, has served on the Regulatory Advisory Committee, and is on the Board of Directors for NSCP and chair of the NSCP Broker/Dealer Committee. Mr. Ashkenas has spoken frequently at industry conferences such as the FINRA Annual Conference, SIFMA Compliance & Legal Division Annual Seminar and NSCP National & Regional Meetings. He earned a BA from Northwestern University and JD from Fordham Law School, and holds Series 7, 14, 24 & 63.

Thomas M. Selman, CFA

Thomas M. Selman, CFA is Executive Vice President, Regulatory Policy, and Legal Compliance Officer of FINRA. He oversees the departments of Corporate Financing, Advertising Regulation, Regulatory Policy, the Legal Compliance Office, and the Office of Emerging Regulatory Issues. Tom joined the organization in 1996. Mr. Selman also holds the Chartered Financial Analyst ® designation. From 1992 to 1996, Mr. Selman was Associate Counsel at the Investment Company Institute, a trade association for the mutual fund industry. Prior to that time, he served as Special Counsel in the Office of General Counsel at the United States Securities and Exchange Commission, a position he held beginning in 1987. Tom was an Attorney-Advisor to the European Union in Brussels, Belgium, from 1986 to 1987. In addition to his career accomplishments, Mr. Selman has authored articles that were published in Investment Lawyer, The International Lawyer and Insights. Mr. Selman received bachelor's degrees in economics and history from Rice University, and a Doctor of Jurisprudence degree from The University of Texas School of Law, where he was Associate Editor of the Texas Law Review.

Daniel Nathan

Daniel Nathan, a partner at Morvillo LLP, uses his deep enforcement and regulatory experience to represent U.S. and international financial institutions and individuals before financial regulators. With a combined 26 years as a senior enforcement official with the SEC, CFTC and FINRA, three of the country's leading regulatory and enforcement authorities, he is a particularly effective advocate for those facing investigations and/or enforcement action by those regulators. Mr. Nathan’s intimate knowledge of broker-dealer regulation provides clients facing SEC and FINRA examinations and enforcement investigations with detailed guidance and counsel related to broker-dealer supervisory procedures, sales practices, research, anti-money laundering, product disclosure and supervision, and securities and broker registration. He also represents clients in SEC investigations involving financial reporting and insider trading, among other things. His extensive experience includes representing clients in enforcement matters involving the JOBS Act, Dodd-Frank Act, ETFs, and the EB-5 Visa program. He also provides regulatory advice in those areas, and he has led extensive projects to help foreign banks establish programs for complying with the Volcker Rule. On the derivatives side, he has represented energy companies and traders and other market participants in CFTC and derivatives SRO investigations. And Mr. Nathan draws on his extensive investigation experience to conduct internal investigations for companies who suspect, or are suspected of, wrongdoing by their employees. Previously, Mr. Nathan served as the Vice President and Regional Enforcement Director of FINRA. During his five-year tenure, he oversaw 70 lawyers across 15 offices responsible for bringing up to 900 disciplinary actions annually against broker-dealer firms, registered representatives, and associated persons. This included many of FINRA’s most significant nationwide enforcement actions, including actions and sweeps involving mutual fund breakpoints, structured products sales practices and supervision, disclosure and supervision, private placement due diligence and disclosure, mutual fund prospectus delivery, and anti-money laundering procedures. Mr. Nathan also closely collaborated with FINRA’s Member Regulation examination staff. In his 12 years at the SEC, Mr. Nathan served as Assistant Director in the Division of Enforcement, where he supervised federal securities investigations of insider trading, market manipulation, financial fraud and accounting misconduct. In nine years with the CFTC, he served as Deputy Director of Enforcement, with responsibility for oversight of the agency’s Enforcement Division. He also created the CFTC’s Office of Cooperative Enforcement, which dramatically expanded the joint enforcement efforts between the CFTC, the Department of Justice, the SEC, and state authorities. In those roles at the CFTC, Mr. Nathan focused on market manipulation, trade practices, commodity trading advisor practices, and foreign exchange dealer practices. Mr. Nathan speaks and writes frequently on a wide range of topics concerning financial institutions and enforcement. He is a co-Chair of the ABA SEC Enforcement Subcommittee of the Securities Litigation Committee, and a member of the Editorial Advisory Board for the Journal of Investment Compliance.



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