Attorney Professionalism in the Capital Markets and Financial Service Industry

Accreditation Wreath Icon AL
SKU: EPR028 Back to Course Listings
Live Webinar LIVE
WEBINAR
June 23
This course aired live on Wednesday, June 23, 2021
for access to this course.

About This Course

This CLE course will explain the role of an attorney in capital markets. The course will explain legal opinions related to public and private offerings, issues related to serving as an advisor on a corporate board and a representative of officers, directors or shareholders in regulatory investigations and government proceedings. SEC Rule 102€, disciplinary proceedings, civil litigation and how to coordinate with other professionals such as CPA’s will all be addressed.

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