Professional Responsibility for Attorneys in Securities Transactions

Pillsbury

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03.01.13

Pillsbury attorney, Bob Robbins presented on Fundamentals of Securities Regulation and Ethics and Professional Responsibility for Attorneys in Securities Transactions at The American Law Institute Continuing Legal Education conference on March 14-16, 2013.

Topics in the outline include:

The Corporation as Client
SEC Final Rule Section 205.3
Duty to Maintain Client Confidences
Professional Codes of Ethics Duties to Maintain Confidences
SEC Rules of Confidentiality
General Duty to Respond to Client Misconduct
Effect of the Sarbanes Oxley Act: “Reporting Up” and “Reporting Out”
Alternative Proposal
Special Issues in Corporate Compliance Programs
Whistleblower Protection
Final Rule Section 205.6: Sanctions and Discipline

Download: Ethics and Professional Responsibility for Attorneys in Securities Transactions

Ethics and Professional Responsibility For Attorneys in Securities Transactions