FIA Law and Compliance Division Presents:
Conference on the Regulation of Futures, Derivatives and OTC Products
| Thursday, May 14, 2009 at 2:00 PM |
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| 7. Professional Responsibility |
Annapolis Ballroom 1/2
This panel will facilitate a discussion, with hypothetical examples, concerning the professional responsibility and ethical obligations of lawyers for derivatives issuers under the ABA’s Model Rules of Professional Responsibility and the SEC’s Attorney Conduct Rule for Issuer’s Counsel.
Moderator:
Michael Sackheim, Partner, Sidley Austin Speakers:
Alexandra Guest, Compliance Officer, Barclays Capital
Peter Malyshev, Counsel, Winston & Strawn
Richard Nathan, Principal, Nathan Law Office
Michael Spafford, Partner, McKee Nelson
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