Webinar on Legal Ethics for In-House Counsel

Overview

Join SIFMA, Barry Temkin, Partner at Mound Cotton Wollan & Greengrass LLP and Darya Geetter, Executive Vice President & Deputy General Counsel of LPL Financial, on June 27th from 1:00–2:15 p.m. for a webinar on ethical considerations for in-house counsel in the securities industry.

The webinar will focus on a wide range of issues including attorney obligations regarding conflicts of interest, interviews of non-party witnesses, corporate Miranda warnings, cybersecurity and advertising.

Mr. Temkin specializes in securities regulation and professional responsibility matters. Ms. Geetter manages litigation and arbitration matters for her firm.

Webinar attendees will be eligible to receive 1.5 CLE Ethics Credit.

Program

1:00pm – 1:10pm

Welcome and Introduction

1:10pm – 2:00pm

The discussion on attorney obligations will address a wide range of issues, including: Conflicts of interest Interviews of non-party witnesses Corporate Miranda warnings Cybersecurity Advertising

The discussion on attorney obligations will address a wide range of issues, including:

  • Conflicts of interest
  • Interviews of non-party witnesses
  • Corporate Miranda warnings
  • Cybersecurity
  • Advertising

Participants

Darya Geetter, Barry Temkin

Speakers

Darya Geetter

Executive Vice President, Deputy General Counsel

LPL Financial

Darya Geetter’s Biography

2:00pm – 2:15pm

Q&A

Accreditation

SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York. Fee reduction may be available for qualified registrants.

Attendees of this webinar will be eligible for 1.5 CLE Ethics Credit.

It is the responsibility of the webinar participant to comply with all rules and regulations governing the jurisdictions in which the attendee is seeking credit.

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.

If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities.

SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.