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Pennsylvania CLE - Corporate Law Courses

This is a listing of Corporate Law CLE Courses for Pennsylvania. Please make your selection below of Pennsylvania CLE courses. Our courses are available on Audio CD, DVD, Online, & Smartphone. Click "Add" to purchase Individual CLE Courses. For more information about a particular CLE course, click on a course name.

Corporate Law Courses

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Ethics Credits
0

Breach of Fiduciary Duty

Fiduciary relationships are not limited to trustees and executors. Fiduciary relationships – and fiduciary duties –can be found in the corporate setting, in employment and in many varied business relationships. Sometimes the fiduciary relationship is not obvious. Yet where an individual is found to have a fiduciary’s obligations, the extent of those obligations and the limitations on what the fiduciary can and cannot do are significant. The fiduciary relationship realigns the legal rights and...

General Credits
2
Price$100

Trademark Basics for Corporate Counsel

Look behind any new product launch, co-venture, or marketing campaign - and you're likely to find valuable trademarks. Indeed, the acquisition, protection and licensing of trademark rights is often mission-critical. While most companies have counsel that specialize in trademark law, to do their jobs well, non-IP practitioners need to understand the area too. Join Frankfurt Kurnit's Catherine M. C. Farrelly and Donna A. Tobin for a CLE presentation explaining trademark essentials in plain Engli...

General Credits
1
Price$50

Ethics for Compliance and Legal Professionals

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 stud...

Ethics Credits
1
Price$50

Lessons Learned From Recent AML Enforcement Actions

Attend this CLE program to hear a discussion on hot legal cases and enforcement actions impacting AML programs. Does your AML program meet evolving expectations and address emerging money laundering risks? Join FINRA staff and industry experts as they review hot legal cases and enforcement actions impacting AML programs. Panelists will cover critical regulatory concerns, potential vulnerabilities, and how you can address any pitfalls in your AML program. After attending this session, you...

General Credits
1
Price$50

Market Regulation: Examination Pilot Program and Surveillance Early Remediation Programs

This CLE session provides updates on the small firm examination pilot and early remediation programs. Join FINRA staff and industry panelists as they share thoughts on the process and approach of these programs.

General Credits
1
Price$50

Common Examination Findings and Effective Compliance Practices (Small Firm Focus)

This CLE program will include a discussion of common deficiencies noted during FINRA cycle examinations. The program will also provide guidance on taking corrective action and updating compliance procedures and practices based on lessons learned from common exam deficiencies. After attending this session, you will be able to: Discuss common findings in various regulatory areas and related supervisory deficiencies. Identify controls, procedures and processes that member firms are inco...

General Credits
1
Price$50

Consideration and Practices for Supervising Independent Contractors

This CLE program provides guidance on supervising independent contractors. This panel of FINRA staff and industry members addresses common challenges in supervising independent contractors. The session offers examples and suggestions for firms to use in their everyday supervision and compliance efforts. The panel also discusses existing rules and related guidance, and shares effective industry practices. After attending this session, you will be able to: Understand the risk associate...

General Credits
1
Price$50

Customer Due Diligence Rule: 2017 FINRA Annual Conference

This CLE program provides guidance on Customer Due Diligence Rule. Join FINRA Staff and industry experts as they discuss the proposed rule and steps firms can take to meet the requirements. After attending this session, you will be able to: Summarize and explain FinCEN’s Customer Due Diligence Rule. Understand rule requirements. Identify steps firms have taken to meet the requirements.

General Credits
1
Price$50

Detecting, Preventing, and Investigating Fraud and Misappropriation

This CLE program provides information regarding current fraud schemes from the front line regulators. After attending this session, you will be able to: Understand emerging trends in securities fraud and identify potential threats. Identify potential red flags associated with different types of financial fraud. Know who to contact to report potential fraud.

General Credits
1
Price$50

Enforcement Developments: 2017 FINRA Annual Conference

This CLE session provides and overview of new developments and trends in enforcement, including enforcement priorities, as well as policy changes and clarifications, particularly regarding information requests. 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 enforcement investigations and the disciplinary process. After a...

General Credits
1
Price$50


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