5d. ALL – When Legal & Ethical Considerations Collide (Advanced)

This advanced level session will explore what compliance and legal professional experience when a decision falls under legal guidelines, but violates ethical considerations, or vice versa. The panelists will address decisions that need to be made and how to document the process when rules and ethics collide.

Learning Objectives:

  • Identify the conflict of legal versus ethical and determine the best approach
  • Discuss factors to consider when making a decision between ethics and legal issues
  • Review the relationship between law and ethics and share best practices
  • Evaluate unique scenarios and discuss the bigger picture of ethics in compliance and implications for firms


Sponsored by:

Advanced                        Program Level: Date: October 20, 2020 Time: 10:00 am - 11:15 am John Hunt Maureen Kiefer-Goldenberg

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(860) 672-0843 info@nscp.org