This book addresses ethical issues and potential pitfalls that confront investment management lawyers in daily practice, including SEC enforcement actions against attorneys, the conflicts and challenges for attorneys in diversified financial services companies, SOX attorney reporting requirements and challenges, cautionary tales of private fund practice, and government investigations and the attorney-client privilege.
Summary of Contents:
Introduction: Pennsylvania Rules of Professional Conduct | Ethical Issues for Investment Management Lawyers - Conflicting Interests and Dealing with Regulators | “Sarbanes-Oxley Act Standards of Professional Conduct and Their Interplay with the Pennsylvania Rules of Professional Conduct” | Recent Cases Involving Private Funds | Recent SEC Enforcement Actions Against Lawyers.
Number of Pages: 210
