Ethics for Compliance and Legal Professionals

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Michigan CLE
Accreditation Info

CLE is voluntary for Michigan attorneys. 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.
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