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
TX MCLE credit expires: