PPT-Professional & Ethical Obligations of In-House Counsel in the Securities Industry

Andrew Fleming Norton Rose Fulbright Canada LLP Marlo Kravetsky TD Bank Group Andrew Matheson McCarthy Tétrault LLP Sarah Shody Torys LLP 1 Overview Professional amp Ethical Obligations. Deborah L. Martin. Heather Anderson. Darren . S. Chiappetta. Wanda M. Morris. SCENARIO. Welcome to the UHOH – the . U. ltimate . H. ome . o. f . H. armony. Female . General Counsel, . Cant . Helpmyself. Micaela Eisman. Shaun Raj. Overview. Introduction. Definitions. Professional Applications. General Professional & Ethical Standards. Whistle-blowing. Case Study . Summary. What is ethics?. “The rules of conduct recognized in respect to a particular class of human actions or a particular group, culture, etc.” [1]. Burt M. . Fealing. Executive Vice President . General Counsel and Secretary . Southwire. Company. Ethical Dilemmas . All lawyers are subject to professional responsibility rules and . a . fiduciary relationship with their clients. . Privilege Issues. 1. Association of Corporate Counsel. © 2015. The information contained in these materials should not be construed . as . legal advice or legal opinion on specific facts, and should not be considered representative of the views of ACC or . Legal Services in the 21. st. Century. Introduction. Bertrand Alexis. Senior Director. Qtel International. Managing Outside Counsel Spend. Leanne Geale. Legal Services Coordinator. Royal Dutch Shell. &. . Ethical Obligations of In-House Counsel in the Securities Industry. Andrew Fleming, Norton Rose Fulbright Canada LLP. Marlo Kravetsky, TD Bank Group. Andrew Matheson, McCarthy Tétrault LLP. Presented . by:. MARIA GRECO DANAHER (Pittsburgh Office). . April 25, 2017 .  . Pittsburgh. OVERVIEW OF BASECAMP. CAREFUL LISTENING. UNDERSTANDABLE SPEECH. COOPERATIVE DIALOGUE. CAREFUL LISTENING – CLIMBING. National Asian Pacific American Bar Association 2017 Convention. Anita B. Bandy, U.S. Securities and Exchange . Commission. Jina. L. Choi, U.S. Securities and Exchange Commission. David C. Lee, K&L Gates LLP. IA ACC Drake CLE. May 30, 2014. Ethics – Attorney-Client Privilege, Other Considerations for In-House Counsel. Matt Carstens – ITC Holdings Corp., Senior Counsel. Practice Group Leader for Capital Projects and Maintenance Group. National Asian Pacific American Bar Association 2017 Convention. Anita B. Bandy, U.S. Securities and Exchange . Commission. Jina. L. Choi, U.S. Securities and Exchange Commission. David C. Lee, K&L Gates LLP. From The . Mundane. To The . Critical. By:  Jesse Linebaugh, Jeff Hicks, and Stacie Gonsalves. Ethical Scenario #1. You are . inhouse. counsel lawyer for Company A and you are licensed in Iowa.  Company A has a small facility in Ohio.  You are negotiating a contract on behalf of that facility in Ohio with an Ohio supplier and the contract is governed by the law of the state of Ohio.  You do not hire local counsel and instead negotiate the contract yourself.  The . Monday, October 17, 2016. 4:30 – 6:00 p.m. . Kali Beyah . Director and Assistant General Counsel. Lewis Wiener. Partner. Eric D. Reicin. VP, General Counsel . and Corporate Secretary. Ona Alston Dosunmu. 3. rd. Annual Corporate Counsel Forum. November 11, 2016. CLE Ethics Approved 1.0. . Emerging Ethics Topics for. In-House Counsel. Timothy J. Hill and Ryan Fisher. Bradley & Riley PC. Agenda. Acting in the Public Interests : Access, Innovation and Accountability Usman M. Sheikh Partner, Litigation Gowling Lafleur Henderson LLP November 5, 2015 Overview of the Presentation Ontario Securities Commission