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. Bob Berry. Nottingham University Business School. 1950s - The . “Golden” . Decade for . Finance?????. Markowitz, H. (1952) “Portfolio Selection” . Journal of Finance. , . 7(March. ), . pp77-91. . 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. . For the Young. For the Mature. Wise Counsel. For the Young. For the Mature. To give . prudence. to the simple, to the young man . knowledge . and . discretion. ” . (Prov. 1:4). Wise Counsel. 1. SRA 6-14. LASSITER V. DEPT. OF SOCIAL SERVICES OF DURHAM COUNTY 425 U.S. 18 (1981). (Parental termination). 2. SRA 6-14. PRESUMPTION OF DEPRIVATION OF LIBERTY. BALANCED AGAINST. 3 PART TEST IN MATHEWS V. ELDRIDGE, 424 U.S. 319 (1976). 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. Kirstin A. Morgan, Andrew Davies, and Alissa . Pollitz. . Worden. American Society of Criminology meeting. San Francisco, November 21, 2014. Literature. Counsel at First Appearance in Law. Rothgery. Supporting an Environment that is free from violence and harassment. Your presenters:. Elizabeth Ogunsola, Title IX Coordinator. Whitney Henley, Wellness Coordinator. Theresa DeWalt, Psychologist. Today’s Agenda. Core Criteria for Ready Now General Counsel. Updated . . July . 2018. 1. The Black GC 2025 Initiative . An Advisory Council of Black GCs has come together to drive an initiative with the following goal:. 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. solicitor, client or any Litigation Friend, of which counsel was not aware and which counsel could not reasonably have anticipated, which materially affects the merits of any substantial issue in the OURT OF HIOhimself in any proceeding in which his impartiality might reasonably be questioned, to avoid impropriety and the appearance of impropriety, and to act at all times in a manner that promotes January Term 2001 proper functioning of the adversarial process that the trial cannot be relied on as having produced a just result Strickland v Washington 1984 466 US 668 686 104 SCt 2052 2064 80 LE . Overview of Securities Markets, Institutions and Instruments - Current and Emerging Investment opportunities. .. Online Certificate Course in Investment Management Level I. By. Dr. V.R. Narasimhan.