Celesq® Attorneys Ed Center
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Programs in FinTech

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Everything You Wanted to Know About Blockchain But Didn’t Know to Ask (02/19/2021)

Program Number: 3110 Presenter: Dr. Sharon Meit Abrahams, Valerie Pennacchio, Esq., Teresa Walker, Esq.

You may be familiar with Bitcoin or other cryptocurrencies but do you know anything about the underlying technology and why it will become so important to the legal industry? Of all the emerging technologies, blockchain, also referred to as distributed ledger technology (DLT) might be the least understood. We are all searching for truth these days and to find resources upon which we can depend, especially in the legal industry. Learn about how blockchain technology is already in use in the legal industry and consider ways in which it will continue to grow in the industry.

$95.00Audio Tape Add to Cart

Fintech 2020 and Beyond: The Decade of Regulatory Collaboration (03/17/2020)

Program Number: 3073 Presenter: Joann Needleman, Esq.

The past two decades have seen rapid expansion and exponential growth of financial services technology (“fin-tech”) and financial services innovation. After a decade of intense regulation of the financial services industry, regulators are now looking to promote financial innovation through regulatory engagement. This webinar will explore the opportunities financial services entities have both at the state and federal level to engage regulators with new ideas that can promote new ways to deliver financial services product and services.

$95.00Online Audio Add to Cart

Blockchain and Digital Assets: A Review of 2019 Legislative, Regulatory and Legal Developments and What to Expect in 2020 (03/02/2020)

Program Number: 3072 Presenter: Caroline A. Morgan, Esq. , Antonia Savaria, Esq.

In this CLE you will learn about the regulatory and legislative changes in 2019 that impacted the blockchain and digital assets space on the federal level and highlights of New York developments. We demystify the rules, regulations and the law and explain the complex interplay businesses face between innovation and regulatory/legal compliance. Join us as we discuss these key developments and what is to come in 2020. In addition to lawyers, this seminar is relevant for both FinTech startups and more mature firms.

$95.00Online Audio Add to Cart

How Technology Impacts the Role of Lawyers: A FinTech GC’s Perspective (04/29/2020)

Program Number: 3029 Presenter: Ksenia Sussman, Esq.

Ksenia Sussman, a General Counsel of a digital assets broker, will provide a practical overview of the challenges and issues that attorneys face in the era of technological revolution and digitization. The overview will address major considerations in the areas of blockchain technology, digital assets, smart contracts, and artificial intelligence and big data. While it would be impossible to address all issues, the audience should expect to walk away with a practical understanding and a new perspective on the ways to spot and the tools needed to resolve issues in their own coverage areas.

$95.00Online Audio Add to Cart

Evaluating the Evolving Climate of ESG Disclosures (10/27/2020)

Program Number: 30261 Presenter: Katayun (Kathy) Jaffari, Esq., Lindsey Stillwell, Esq., Christine Zoino, Esq.

The topic of ESG has garnered significant attention in recent years as investors have increasingly used ESG criteria as a means of evaluating the growth potential and future viability of public companies. Despite the increased attention to ESG disclosures, public companies have not uniformly adopted ESG disclosure techniques and thresholds. This presentation discusses the current disclosure requirements and guidance issued by regulatory authorities to examine best practices for companies determining appropriate ESG disclosures in future reports.

$95.00Audio Tape Add to Cart

Going the Distance: Fighting Charges Brought by FINRA’s Department of Enforcement (09/24/2020)

Program Number: 30208 Presenter: Andrew St. Laurent, Esq.

Defending a client against charges brought by FINRA’s Department of Enforcement presents unique challenges for practitioners. Attorneys will learn how to respond to FINRA discovery requests, prioritize the competing demands that clients face in balancing employment, regulatory, and criminal defense objectives, and understand FINRA’s expectations for registered representatives and broker-dealers. The program will provide guidelines and techniques concerning each phase of such a proceeding, the pre-charge investigation, the acceptance, waiver and consent (AWC) process, Wells submissions, discovery in anticipation of hearing, and the hearing itself, as well as post-hearing appeals and proceedings.

$95.00Audio CD Add to Cart

Ethics-Attorney Client Privilege for In-House Counsel (02/12/2019)

Program Number: 2948 Presenter: Carole Buckner, Esq.

The program will cover important considerations regarding the duty of confidentiality, the attorney client privilege and work product doctrine, from the perspective of the in-house lawyer, including operating in dual roles involving both business and legal advice. We will also touch upon privilege in international communications and differences in privilege and confidentiality between states, and between state and federal jurisdictions. Finally, we will address email practices in light of the above.

$95.00Online Audio Add to Cart

Structuring Options for ESOP Transactions: Advanced Techniques for ERISA Counsel and Plan Sponsors (02/27/2019)

Program Number: 2920 Presenter: David R. Johanson, Esq., Roberta Casper Watson, Esq.

An employee stock ownership plan or “ESOP” can be an extremely useful tool in terms of tax and employee benefits that it provides and in the contexts of business succession planning and corporate mergers and acquisitions. The design and structure of ESOP transactions and the administration of ESOPs in general, however, remain subject to heightened scrutiny. To help ERISA counsel, accountants, and corporate directors and officers understand the statutory and regulatory framework that governs ESOP transactions, our panel will discuss applicable laws and regulations impacting ESOP transactions, available regulatory guidance, and other critical considerations for structuring ESOP transactions. This program on advanced structuring alternatives for ESOP transactions will address the available financing alternatives for ESOP transactions, ESOP transaction structure alternatives, how management incentive plans may factor into transaction planning and procedures, clawbacks and earn-outs in ESOP transactions, and potential conflicts of interests in structuring ESOP transactions.

$95.00Online Audio Add to Cart

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