Description

Gain a deeper understanding of best practices for maintaining a code of ethics and compliance.The past decade has seen the financial industry rebound and grow from the low of the 2008 financial crisis. This growth has not only led to increased opportunities for astute financial professionals, but also an increase in the daily intersections between the financial industry and the law. Banking professionals and attorneys who work in the financial industry, both as inhouse and as outside counsel, must understand the importance of maintaining effective ethics and compliance programs, recognize when and how to handle internal and external investigations, and be well versed in the ethical considerations involved in representing bank clients. This topic discusses best practices for maintaining a code of ethics and compliance, when and how to initiate an internal investigation, and what to do in the face of a government investigation, with a focus on antimoney laundering laws and regulations. It will also navigate the myriad ethical considerations involved in representing bank clients, including the attorneyclient privilege, conflicts of interest, negotiations with borrowers, and multiple representation considerations. As the intersections between the financial industry and the law become ever more prevalent, this topic provides financial professionals and attorneys who work in the financial industry with critical tools to navigate the potentially murky waters.

Date: 2023-12-12 Start Time: End Time:

Learning Objectives