eCourse
Gatekeeper Duties and Liabilities
Contains material from Feb 2016
Gatekeeper Duties and Liabilities
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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.
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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1.
Where Were the Lawyers and Accountants? (Feb 2016)
Mark G. Johnson, Andrew J. Ostapko
0.75
0.50
0.00
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Slides
(pdf)
9 pgs
Session 1
—44 mins
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: Feb 2016 Securities and Business Law
Mark G. Johnson,
Winstead PC - Dallas, TX
Andrew J. Ostapko,
Winstead PC - Dallas, TX
Show session details
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
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Download session materials for offline use
Session 2
—58 mins
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: 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
Show session details
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
Preview Materials
Download session materials for offline use
Session 3
—47 mins
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: 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