Continuing Legal Education
Many of our events and speaking engagements are CLE accredited.
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We also provide tailored CLE presentations and other training sessions on site for clients and friends of the firm
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June 14, 2023
NYCLA: How to Handle a Securities Regulatory Investigation
Legal Ethics & Professional Responsibility Chair Ronald C. Minkoff is a speaker during the webinar, “How to Handle a Securities Regulatory Investigation,” hosted by the New York County Lawyers Association. The presenters discuss:
-the various stages of a securities regulatory investigation
-the initial contact
-demand for documents
-gathering and distilling data
-on the record interviews (OTRs)
-how to avoid full-blown enforcement actions
-how to protect your client’s public CRD, and
-ethical considerations to avoid conflicts of interest and rule violations
Details here.
