University of Texas School of Law

eCourse

Gatekeeper Duties and Liabilities (Feb 2016)

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System Test
Session 1: Where Were the Lawyers and Accountants? - Review primary liability under Section 10(b) of the Exchange Act for misstatements or omissions of attorneys, accountants and other secondary actors in the wake of Janus.
 
Session 2: The Intermediaries: Broker and Investment Adviser Duties in 2016 - Explore the latest on broker and investment adviser duties, and gain practical tips on how to navigate the changing landscape. What is the status of these duties today? Where might they be heading? What might a “uniform fiduciary” standard look like? What impact will the new rules for ERISA fiduciaries proposed by the Department of Labor have on advisers and brokers dealing with ERISA, IRA or pension fund clients and the services provided to such clients?
 
Session 3: Litigation and Enforcement in the C-Suite - Hear the latest developments in litigation and enforcement actions against corporate officers and get advice on how to help officers fulfill their fiduciary duties and avoid becoming a target.
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Total Credit Hours:
2.50 | 0.50 ethics     Credit Info

TX MCLE credit expires: 3/31/2019

Includes: Audio Paper Slides

$115  

Preview Sessions
Credit Hours
1. Where Were the Lawyers and Accountants? (Feb 2016)

Mark G. Johnson, Andrew J. Ostapko

0.75 0.50 0.00 0.75 | 0.50 ethics  

Preview Session Materials

You may download session materials
for offline use.

Audio (mp3) 44 mins
Paper (pdf) 13 pgs
Slides (pdf) 9 pgs

Preview limited to first 5 slides
of 18
SESSION 1 — 44 mins, credit 0.75 | 0.50 ethics

Session 1:

Where Were the Lawyers and Accountants? (Feb 2016)

Review primary liability under Section 10(b) of the Exchange Act for misstatements or omissions of attorneys, accountants and other secondary actors in the wake of Janus.

Originally presented at: Feb 2016 Securities and Business Law

Mark G. Johnson, Winstead PC - Dallas, TX
Andrew J. Ostapko, Winstead PC - Dallas, TX

2. The Intermediaries: Broker and Investment Adviser Duties in 2016 (Feb 2016)

John R. Fahy, Chris M. Kang, Eliot D. Raffkind

1.00 0.00 0.00 1.00  

Preview Session Materials

You may download session materials
for offline use.

Audio (mp3) 58 mins
Paper (pdf) 23 pgs
Paper (pdf) 11 pgs
Slides (pdf) 21 pgs

Preview limited to first 5 slides
of 42
SESSION 2 — 58 mins, credit 1.00

Session 2:

The Intermediaries: Broker and Investment Adviser Duties in 2016 (Feb 2016)

Explore the latest on broker and investment adviser duties, and gain practical tips on how to navigate the changing landscape. What is the status of these duties today? Where might they be heading? What might a “uniform fiduciary” standard look like? What impact will the new rules for ERISA fiduciaries proposed by the Department of Labor have on advisers and brokers dealing with ERISA, IRA or pension fund clients and the services provided to such clients? 

Originally presented at: Feb 2016 Securities and Business Law

John R. Fahy, Whitaker Chalk Swindle & Schwartz PLLC - Fort Worth, TX
Chris M. Kang, Haynes and Boone, LLP - Dallas, TX
Eliot D. Raffkind, Akin Gump Strauss Hauer & Feld LLP - Dallas, TX

3. Litigation and Enforcement in the C-Suite (Feb 2016)

C. Shawn Cleveland, Roger L. Mandel, Marc I. Steinberg

0.75 0.00 0.00 0.75  

Preview Session Materials

You may download session materials
for offline use.

Audio (mp3) 47 mins
Paper (pdf) 17 pgs
Paper (pdf) 20 pgs

SESSION 3 — 47 mins, credit 0.75

Session 3:

Litigation and Enforcement in the C-Suite (Feb 2016)

Hear the latest developments in litigation and enforcement actions against corporate officers and get advice on how to help officers fulfill their fiduciary duties and avoid becoming a target.

Originally presented at: Feb 2016 Securities and Business Law

C. Shawn Cleveland, Jones Day - Dallas, TX
Roger L. Mandel, Lackey Hershman, L.L.P. - Dallas, TX
Marc I. Steinberg, Southern Methodist University Dedman School of Law - Dallas, TX