Ethics for Compliance and Legal Professionals

Accreditation Wreath Icon CA
California selected on map

California MCLE
Accreditation Info

United Institute for Continuing Legal Education is a CLE provider accredited by the California State Bar, Provider #15390. To view our full accreditation details please .

All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

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. Topics discussed: 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.
Decorative Arc

United Makes CLE Easy

A puzzle in a hand

One.

Select Course Package

  • Unlimited CLE

    Enables you to fulfill multiple CLE cycles with one purchase.

  • One-Stop Bundles

    Our most popular courses bundled to save you time and money.

  • Build-A-Bundle

    Select the courses that interest you most while taking advantage of our bundle discount.

A clipboard with a checklist

Two.

Immediate Access to CLE Courses

Courses are available immediately upon checkout. You will have 24/7 access to your purchased courses during the lifetime of your subscription.

Courses can be started, stopped, and paused at any time.

A certificate

Three.

Instantly Print Your Certificate

You can immediately print your CLE certificate upon completion of a course.

A copy of your certificate will remain in your account and will always be accessible to you.

Decorative Arc

Want Different Options?

For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

Customize OptionsRight ArrowCustomize Options