June 13, 2007
The Pierre Hotel
New York City
Regional Dealer Fixed Income Legal & Compliance Roundtable
June 12, 2007
4:30 - 6:30 PM Roundtable
6:30 PM Dinner
Global Financial Markets Conference Center
New York City |
Program
Time: | 2:00 - 4:00 PM |
Location: | Global Financial Markets Conference Center
360 Madison Ave., 17th Floor
New York, NY |
Ethical Considerations of an In-House Counsel
A two hour workshop devoted to ethical issues confronting lawyers in the financial securities industry.
Topics to be covered will include:
- Metadata -- Ethical Issues In Electronic Communications
- Candor vs. Confidentiality During Regulatory Investigations
- Conflicts In Joint Representation -- Employee and Corporate Entity
- Communicating With Former Employees -- Ethical Considerations
- Parent-Subsidiary Conflicts
- Multi-Jurisdictional Practice -- Ethical Considerations
Moderator:
Michael Stone
Professor
Cardozo Law School
Panelists:
Pierre M. Gentin
Managing Director
Credit Suisse
Bruce Green
Professor
Fordham University School of Law
Robert Mendelsohn
Partner
Morgan Lewis
Contact Information
For further information about the program, please contact:
Amal Aly
aaly@sifma.org
212.618.0568
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