Connecticut MCLE - Corporate Law Courses

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  • Representing the Foreign Company Doing Business in New York

    Join our panel of experts for a program aimed to erase and demystify what is required for companies who are not in the United States to establish a physical or virtual presence here. Our panelists will lay out the steps necessary for entities large and small to conduct business here, as well as allay the fears of startups who falsely assume that only big, established, wealthy companies can be present in the U.S. Some of the topics to be discussed include: why having a prese... More Info

    $50
    1.25General Credits
  • Effective Corporate Governance and Oversight

    Effective corporate governance and oversight is critical for any corporation to mitigate the possibility of governmental prosecutions and enforcement actions, but what exactly does this term mean and what does it require? This presentation will attempt to define the term and describe the critical parts that a board of directors, senior management and other components of an organization play in effecting an effective corporate governance and oversight structure. It will also discuss the element... More Info

    $50
    1.25General Credits
  • The New York State Sexual Harassment Prevention Laws: Two New Laws for the “Me Too” Era

    On April 12, 2018, New York Governor Andrew Cuomo signed a budget bill, which included a broad anti-sexual harassment legislative package. The new state law requires all New York employers to: (1) adopt a Sexual Harassment Prevention policy with very specific requirements by October 9, 2018 and (2) commence annual employee training by January 1, 2019 (later extended to October 9, 2019) The law also (a) prohibits NYS employers from including nondisclosure clauses in sexual harassment settlement... More Info

    $125
    2.5General Credits
  • Enforcement Initiatives, Developments and Priorities: 2019-2020 Update

    This CLE will highlight some of the changes that Enforcement has recently implemented to its business process. Panelists will also discuss developments and trends in enforcement, including enforcement priorities and the principles that guide Enforcement’s decision-making. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities, and provide guidance on regulatory and compliance practices. Panelists will also provide information and insight on navigating enfo... More Info

    $50
    1General Credit
  • FINRA’s Suitability Rule and SEC’s Proposed Regulation Best Interest

    This CLE program will focus on the key issues regarding FINRA’s suitability Rule 2111 and the SEC’s Proposed Regulation Best Interest Rule, including a review of their differences. Panelists provide practical advice on how firms and registered representatives can better understand customers and securities in order to comply with FINRA’s suitability obligations and prepare for the SEC’s proposed Regulation Best Interest Rule. More Info

    $50
    1General Credit
  • Emerging FinTech Trends: 2019-2020 Update

    Join FINRA staff and industry representatives as they discuss how recent developments in financial technology (FinTech) are disrupting the securities industry. Topics include RegTech (regulatory technology), artificial intelligence, identity authentication tools, big data/cloud computing and other advances in FinTech. Upon completion of this CLE, you will be able to: Discuss the main areas of FinTech that are driving industry change. Represent efficient practices around reacting to the... More Info

    $50
    1General Credit
  • Outside Business Activities and Private Securities Transactions: 2019-2020 Update

    Outside business activities (OBAs) and private securities transactions (PSTs) are regulatory and examination priorities, as they can both result in conflicts of interest that firms must understand and, as necessary, mitigate. Join industry practitioners and FINRA staff, in this advanced session, as they cover conflicts arising from OBAs and PSTs, and keys to handling them and complying with regulatory requirements, including situation involving dually registered advisors. Panelists also discus... More Info

    $50
    1General Credit
  • Business Divorces: What to Know and Do When a Partnership Ends

    In a business divorce, one or more owners of a privately held business determine to legally separate their interests through a buy-out or dissolution of the existing business. In this CLE lecture, attorney Michael Firestone will discuss the processes, strategic considerations and key legal concepts involved in representing a client going through a business divorce, as well as litigation tactics which business owners can use to advance their positions. More Info

    $50
    1General Credit
  • How to Prepare for a Wage-Hour Audit or Lawsuit

    Today employers are facing increased challenges to their wage-hour employment practices. Federal and state departments of labor are active and conducting unannounced audits throughout the nation. Class actions seeking and winning millions of dollars are on the rise. For in-house counsel and HR Directors the antidote to assure your employment practices withstand scrutiny is to prepare for an audit or lawsuit by implementing the tips provided in this lecture. Before you receive a knock on yo... More Info

    $75
    1.75General Credits
  • Introduction to Property and Business Interruption Insurance Law

    With catastrophes impacting businesses on a regular basis across the country, whether man-made or natural disasters – hurricanes, wild fires, earthquakes, and so on - it is critical for the corporate attorney or litigator to be familiar with insurance law. This CLE program introduces the practitioner to fundamental concepts of property insurance law, and the more complex nuances of business interruption insurance. Critically important in any insurance claim is an understanding of the typical ins... More Info

    $50
    1.25General Credits

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