Sales Practices: A Case Study Approach

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About This Course

This CLE program addresses a wide range of topics drawn from recent enforcement cases, including supervisory procedures related to outside business activities, recent exams findings and the disciplinary process. They also highlight potential “red flags” and provide suggestions to help avoid compliance issues.

By the end of this session, you will be able to:

  • Identify the areas of focus from a District perspective.
  • Understand how the investigative and disciplinary process works.
  • Discuss some compliance tips and red flags drawn from advertising and supervision enforcement cases.
  • Key areas of focus from a District examination perspective.
  • How the investigative and disciplinary process works.
  • Some compliance tips and red flags drawn from recent advertising and supervision cases

*This course qualifies as a Transitional course and can be taken by both Experienced and Newly Admitted attorneys in NY.

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