Connecticut MCLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for Connecticut. Please make your selection below of Connecticut CLE courses. Click "Add To Cart" to purchase Individual CLE Courses. For more information about a particular CLE course, click on the "More Info" link. Click the "Preview" button to view a short preview of the course.
Connecticut MCLE
Accreditation Info
United Institute for Continuing Legal Education is an accredited sponsor of CLE across the United States. To view our full accreditation details please .
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Disclosure Innovations and Digital Marketing Compliance
With the recent publication of FINRA”s Regulatory Notice 19-31 concerning Disclosure Innovations in Advertising and Other Communications with the Public, even seasoned attorneys need an update. This CLE course will offer insights by industry and FINRA experts on how firms can facilitate simpler and more effective disclosure in digital marketing and other forms of advertising. Presenters will review how firms are using technology to transform their customer interactions within the compliance ru... More Info
$291General Credit -
Doing More With Less: Challenges of a Small Firm Compliance Department
This CLE course will explain how to mitigate regulatory risk while simultaneously fulfilling your duties as officers of the firm. The course will explain how to create a fiscally responsible compliance program and how to ensure commitment to its policies. Presented by FINRA staff and industry practitioners, the course will explain both how to assess and avoid potential risk situations as well as allocate resources for the establishment of a compliance program. The course will cover iss... More Info
$290.75General Credit -
Due Diligence Under The 33 Act: Avoid Disasters in the Middle of an IPO
This CLE course will offer a comprehensive overview of what lawyers and bankers confront during the marketing and distribution process of IPO’s. The course will address potential pitfalls and issues that may arise and provide real-life examples of the many hurdles that could potentially jeopardize your success. Learn about what faces you in the IPO underwriting process and ensure yours and your client's success by anticipating problems and acting strategically. More Info
$551.5General Credits -
Effective Corporate Governance and Oversight
Designed to define and illustrate the impact of corporate governance and oversight in preventing governmental prosecution and enforcement, this CLE course will explain the role that boards of directors, senior management and others in an organization to create an effective corporate governance and oversight structure. The course will also explain ethics programs and enterprise risk management frameworks that these structures may require as well as the types of “independent” directors that a bo... More Info
$291.25General Credits -
Elder Law and Medicaid: An Introductory Guide
Elder Law and Medicaid planning are both critically important areas of law. The extended life span of the average American demands that we attend to their financial and physical well-being for longer than had previously been anticipated. This CLE course is designed to provide a comprehensive overview of Elder Law and Medicaid planning including eligibility requirements and tips and strategies for asset protection against the costs of long-term care. The newly enacted Caregiver Advise, Record and... More Info
$552General Credits -
Enforcement Developments
This CLE course will explain recent updates and developments in enforcement. The course will focus on enforcement priorities and how an issue might find its way to enforcement and the process it undergoes including regulatory and compliance practices. The course will also present important decisions and settlements that offer insight into the process and illustrate the priorities of FINRA. More Info
$291General Credit -
Enforcement of Judgments in New Jersey and New York
Obtaining a judgement in your favor is only a first step toward legal resolution. It’s an important one, obviously, but whether it comes by default, motion or trial, until that judgement is paid, the matter has not been resolved. This CLE course, which provides a thorough introduction for those seeking to collect a debt on their client’s behalf, will explain the mechanisms for collecting judgments in New York and New Jersey. The course will explain how judgments are entered in these states and... More Info
$291General Credit -
Essentials of Corporations, Partnerships and LLC's
Presented by business lawyers Eli Greenberg and Mark Silverstein, this CLE course will offer an overview of the four principle business entities - Corporations, General Partnerships, Limited Liability Companies, and Limited Partnerships. The course will explain the ins and outs of organizing, managing and financing such entities as well as how to deal with mergers & acquisitions and option plans. Fiduciary duties and indemnification of management will also be discussed. More Info
$291.25General Credits -
Estate Tax Repeal Is Not a Temporary or Permanent Certainty: How to Plan Now
With a variety of pending repeals and decisions on tax issues still undetermined, many estate planners have recommended that clients postpone decisions or initiate low risk planning until the estate and GST tax, capital gains upon death and other issues are resolved. However, in light of the recent True case, obvious decisions such as low gift tax exposure may not be so certain. This CLE course will offer guidance on estate planning in this volatile environment and how planners can help advise c... More Info
$291General Credit -
Ethical Considerations of Litigation Funding
Litigation funding, also known as legal funding, provides much needed assistance to accident victims. And yet, critics of the practice claim that it raises extensive ethical issues, and directly impacts the attorney client relationship and issues of privilege. This CLE course will explain litigation funding specifically as it applies to personal injury attorneys and their clients. The course will review the merits of assisting clients, analyze the secondary market that such funding creates, and... More Info
$341Ethics Credit
