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 in-house 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 attorney-client 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.
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Why Lorman?
Over 36 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
Agenda
Financial Institutions, Compliance, and Investigations
- Maintaining a Code of Ethics and Compliance
- Handling Internal Investigations
- Handling External Investigations
Anti-Money Laundering Protections
- Basics of the Money Laundering Laws
- Bank Secrecy Act
Ethics in Negotiations With Borrowers
Ethics in Representing Bank Clients
- Attorney-Client Privilege
- Conflicts of Interest
- Multiple Representations
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Why Lorman?
Over 36 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
Credits
OnDemand Course
This course was last revised on January 9, 2023.
Call 1-866-352-9540 for further credit information.
- AK CLE 1.5
- Alaska attorneys may receive 1.5 hours of continuing legal education for completing this program. Please contact the Alaska Bar Association or go to www.alaskabar.org for details regarding reciprocity with other states.
- AL CLE 1.5 including Ethics 0.5
- This course or a portion thereof has been approved by the Alabama State Mandatory Continuing Legal Education Commission for a maximum of 1.5 hours credit.
- Arizona CLE 1.5 including Ethics 0.5
- The Arizona State Bar does not pre-approve or pre-certify MCLE programs. However, records of this program and attendance will be maintained by Lorman Education Services for auditing purposes. This activity may qualify for up to 1.5 hours toward your annual CLE requirement for the State Bar of Arizona, including 0.50 hours of professional responsibility.
- CA MCLE 1.5 including Ethics 0.5
- Lorman Business Center, LLC. is a State Bar of California approved MCLE sponsor and this course qualifies for 1.5 CLE hours of participatory credit, of which includes 0.50 hours of ethics credit.
- CT CLE 1.0 including Ethics 0.5
- Neither the Connecticut Judicial Branch nor the Commission on Minimum Continuing Legal Education approve or accredit CLE providers or activities. This course has been approved for CLE credit in jurisdictions aside from CT and therefore it automatically meets the content and delivery requirements in Connecticut. Credit is based on a 60 minute credit hour and shall be awarded as follows: 1.0 CLE credit(s) including 0.50 hour(s) of ethics credit.
- GA CLE 1.0
- This program has been approved by the Georgia Commission on Continuing Lawyer Competency for 1.0 CLE hours.
- IL CLE 1.25
- This course was approved for a total of 1.25 hours of MCLE Credit by the Illinois MCLE Board.
- NJ CLE 1.8
- This program has been approved by the Board on Continuing Legal Education of the Supreme Court of New Jersey for 1.8 hours of total CLE credit.
- NY CLE 1.5 including Areas of Professional Practice 1.5
- This course has been approved in accordance with the requirements of the New York Continuing Legal Education Board for up to a maximum of 1.5 credit hours in the area(s) of Areas of Professional Practice for 1.50 hours. Each hour may be counted only as satisfying one category of credit. Duplicate credit for the same hour of instruction is not permitted. This course qualifies for both established and newly admitted attorneys. Lorman Business Center, LLC. has a financial hardship guideline. Please contact customer service at 1.866.352.9539 for instructions on how to apply.
- PA CLE 1.0 including Ethics 0.5
- This Distance Learning program has been approved by the Pennsylvania Continuing Legal Education Board for 1.0 hours including 0.50 hours of ethics, professionalism or substance abuse CLE credit.
- RI CLE 1.5 including Ethics 0.5
- This program has been approved by the Rhode Island Mandatory Continuing Legal Education Commission for 1.5 hours of CLE credit, including 0.50 hours of ethics credit.
- VT CLE 1.5 including Ethics 0.5
- This self-study program has been approved by the Mandatory Continuing Legal Education Board of Vermont for 1.5 hour(s) of CLE credit including 0.50 hour(s) of ethics credit. Please note: Attorneys may only claim 12 credits per compliance period in this format. This course is considered "Non-Moderated Programming without Interactivity".
- WA CLE 1.5 including Ethics 0.5
- This program has been approved by the Washington State Board of Continuing Legal Education for 1.5 hours of A/V credit, including 0.50 hours of ethics credit.
- WV MCLE 1.8 including Ethics 0.6
- This program has been approved by the West Virginia State Bar MCLE Commission for 1.8 MCLE hours, including 0.6 hours of ethics credit.
To earn each credit Lorman offers through the OnDemand learning platform, you need to watch 100% of the program. Also, for certain credits you will need to fulfill additional requirements which will be displayed on the "credits" tab when viewing the course.
This program does NOT qualify, nor meet the National Standard for NASBA accreditation.
MP3 Download
This program does NOT qualify, nor meet the National Standard for NASBA accreditation.
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Why Lorman?
Over 36 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
Faculty
Richard A. Barkasy
Schnader Harrison Segal & Lewis LLP
- Partner with Schnader Harrison Segal & Lewis LLP
- Seasoned trial attorney and chair of the creditors’ rights and business restructuring practice group
- Devotes a substantial portion of practice to bankruptcy cases and handles a variety of complex commercial litigation matters
- Member of the firm’s Executive Committee
- Adjunct professor of bankruptcy, products liability, secured transactions, business organizations and construction law at Rutgers University School of Law-Camden
- J.D. degree, with honors, Rutgers University School of Law; B.A. degree, Dickinson College
- Can be contacted at 215-751-2526 or [email protected]
Melissa S. Blanton
Schnader Harrison Segal & Lewis LLP
- Partner with Schnader Harrison Segal & Lewis LLP
- Member of firm’s Executive Committee, chair of the Finance Practice Group and a member of the Real Estate Practice Group
- Represents financial institutions in various types of residential, retail, and office development projects, in syndicated secured real estate credit facilities, and in the structuring, drafting, and negotiation of workout and forbearance agreements
- Significant experience representing landlords and tenants in commercial leasing transactions
- J.D. degree, cum laude, Delta Theta Phi, Dickinson School of Law of the Pennsylvania State University; B.S. and B.A. degrees, summa cum laude, Kutztown University of Pennsylvania
- Can be contacted at 215-751-2409 or [email protected]
Randall Hsia
Schnader Harrison Segal & Lewis LLP
- Partner with Schnader Harrison Segal & Lewis LLP and the firm’s litigation services department
- Practice focuses on criminal defense and internal investigations
- Previously served as a prosecutor with the United States Attorney’s Office in the Eastern District of Pennsylvania, investigated and prosecuted a wide variety of complex matters including: domestic and international money laundering; mail and wire fraud; tax crimes; frauds involving pharmaceuticals, debt collection, and mortgage schemes; corruption; international forced labor trafficking; large scale national and international narcotics trafficking; and war crimes
- Experience includes hundreds of bench trials, over 20 jury trials to verdict, and arguments before the U.S. Court of Appeals for the Third Circuit
- Served in the United States Marine Corps as an artillery officer, where he reached the rank of Captain and deployed to Asia and the Middle East
- J.D. degree, Temple University Beasley School of Law; B.A. degree, University of Pennsylvania
- Can be contacted at 215-751-2462 or [email protected]
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Why Lorman?
Over 36 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
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