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Banking Ethics

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.

Runtime: 88 minutes
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Why Lorman?

Over 32 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 32 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 Webinar

Applications have not yet been submitted for Delaware, Idaho, Kentucky, Ohio, Oklahoma, South Carolina, and Wyoming CLE for this course. However, if you are interested in obtaining CLE for any of the listed states or have any additional credit questions please email us at [email protected] or call us at 866-352-9540.

This course was last revised on October 21, 2019.

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, including 0.5 hours of ethics 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, Inc. 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.
     
  • HI CLE 1.25
     
  • This program was approved by the Hawaii State Board of Continuing Legal Education for 1.25 CLE credit hours.
     
  • IL CLE 1.25
     
  • This course was approved for a total of 1.25 hours of MCLE Credit by the Illinois MCLE Board.
     
  • ME CLE 1.0 including Ethics 0.5
     
  • This course has been approved by the State of Maine Board of Overseers of the Bar. Lawyers who complete this course shall receive 1.0 hours of CLE credit including 0.50 ethics hours under M. Bar R. 12.
     
  • MT CLE 1.5 including Ethics 0.5
     
  • This program has been approved by the Montana Board of Continuing Legal Education for a total of 1.5 CLE credits, which includes 0.50 hours of ethics credit.
     
  • ND CLE 1.5
     
  • North Dakota CLE policy does not allow for pre-approval of any self-study courses. This course may qualify for up to 1.5 hours of CLE credit.
     
  • NH MCLE 1.5
     
  • NH MCLE does not approve or accredit CLE activities for the NH Minimum CLE requirement. Lorman Education Services believes this Ondemand course meets the requirement of NH Supreme Court Rule 53 and may qualify for CLE credit(s). Program Length: 87 Minutes.
     
  • 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.
     
  • NV CLE 1.5 including Ethics 0.5
     
  • This program has been approved by the Nevada Board of Continuing Legal Education for 1.5 CLE hours, including 0.50 hours of ethics credit.
     
  • NY CLE 1.5 including Areas of Professional Practice 0.5
     
  • 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 0.50 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 credit for established attorneys only. Lorman Business Center, Inc. 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.
     
  • TN CLE 1.45 including Dual 0.5
     
  • This program has been approved as a distance learning format by the Tennessee Commission on Continuing Legal Education for a maximum of 1.45 hours of credit, including 0.50 hours of dual credit.
     
  • VT CLE 1.5 including Ethics 0.5
     
  • This program has been approved by the Mandatory Continuing Legal Education Board of Vermont for 1.5 hours of self-study CLE credit, including 0.50 hours of ethics.
     
  • WI CLE 1.5
     
  • This program qualifies for 1.5 hour(s) of ondemand CLE through the WI Board of Bar Examiners.
     
  • 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.
     
The CLE Code is ONLY a requirement when applying for CLE Credit in New York. Other states do not need to supply the CLE Code to apply for CLE 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.

Audio & Reference Manual

  • Arizona CLE 1.5 including Ethics 0.5
     
  • CA MCLE 1.5 including Ethics 0.5
     
  • CT CLE 1.5 including Ethics 0.5
     
  • HI CLE 1.5
     
  • IL CLE 1.5
     
  • ME CLE 1.5 including Ethics 0.5
     
  • MT CLE 1.5 including Ethics 0.5
     
  • NJ CLE 1.8
     
  • NV CLE 1.5 including Ethics 0.5
     
  • NY CLE 1.5 including Areas of Professional Practice 1.5
     
  • VT CLE 1.5 including Ethics 0.5
     
  • WA CLE 1.5 including Ethics 0.5
     
  • WV MCLE 1.8 including Ethics 0.6
     
The CLE Code is ONLY a requirement when applying for CLE Credit in California (for participatory credit), Kansas, New Jersey or New York. Other states do not need to supply the CLE Code to apply for CLE credit.

This program does NOT qualify, nor meet the National Standard for NASBA accreditation.

MP3 Download

  • Arizona CLE 1.5 including Ethics 0.5
     
  • CA MCLE 1.5 including Ethics 0.5
     
  • CT CLE 1.5 including Ethics 0.5
     
  • HI CLE 1.5
     
  • IL CLE 1.5
     
  • ME CLE 1.5 including Ethics 0.5
     
  • MT CLE 1.5 including Ethics 0.5
     
  • NJ CLE 1.8
     
  • NV CLE 1.5 including Ethics 0.5
     
  • NY CLE 1.5 including Areas of Professional Practice 1.5
     
  • VT CLE 1.5 including Ethics 0.5
     
  • WA CLE 1.5 including Ethics 0.5
     
  • WV MCLE 1.8 including Ethics 0.6
     
The CLE Code is ONLY a requirement when applying for CLE Credit in California (for participatory credit), Kansas, New Jersey or New York. Other states do not need to supply the CLE Code to apply for CLE credit.

This program does NOT qualify, nor meet the National Standard for NASBA accreditation.

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More Program Information

Why Lorman?

Over 32 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

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

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

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 32 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.

All of your training, right here at Lorman.

Pay once and get a full year of unlimited training in any format, any time!

  • Live Webinars
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  • MP3 Downloads
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Additional benefits include:

  • State Specific Credit Tracker
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* For audio recordings you only pay shipping

Questions? Call 877-296-2169 to speak with a real person.

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Product ID: 406611
Published 2019
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