Ethics for Compliance and Legal Professionals

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About This Course

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.

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