New York CLE - Practice Management Courses
This is a listing of Practice Management CLE Courses for New York. Please make your selection below of New York CLE courses. Click "Add To Cart" to purchase Individual CLE Courses. For more information about a particular CLE course, click on the "More Info" link. Click the "Preview" button to view a short preview of the course.
CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App!
Instantly Print Your CLE Certificates
-
Ethical Referral Fees: A 50 State Survey
When done correctly, fee sharing is not only ethical–it leads to better outcomes for clients. This CLE program will survey the various regulatory frameworks utilized by states concerning referral fees with the goal of providing lawyers with working understanding of how to employ this tool to benefit their clients and grow their practice. We will discuss: Common misconceptions when it comes to referral fees The ABA Model Rules What it means to be ‘jointly responsible’ What disclosure... More Info
$501Ethics Credit -
How to Handle a Securities Regulatory Investigation
How you handle a securities regulatory investigation is critical, and being uninformed or ill-prepared could lead to significant consequences for your client. It is also important to understand your ethical obligations before, during, and after an investigation, as representation lines may become blurred. During this CLE, our panel of experienced practitioners will discuss: the various stages of a securities regulatory investigation the initial contact demand for documents gathering... More Info
$501Prof Practice -
Pay Equity and Pay Transparency in New York and Beyond
Over the last few years, the second wave of pay equity legislation hit the ground running with numerous states and cities passing pay transparency laws. As New York employers continue to hire employees remotely around the country, this webinar will focus on pay transparency requirements in New York/New York City and other key states, including California and Colorado. We will also focus on additional pay equity compliance considerations that are on the horizon (including pay data repor... More Info
$501Prof Practice -
NYS 2023 Notary Public & Remote Online Notarization Regulations: The Basics and Applications to Real Estate Transactions
On January 25, 2023 the new Part 182.2-182.11 of the Rules and Regulations of the Department of State (Part 182) became effective governing and changing record-keeping requirements for NYS notaries, providing identity verification procedures, authorizing electronic notarization, providing for a separate notarial commission for electronic notary services and repealing remote ink notarization. Our expert panel will discuss the new requirements, their application to real estate transactions... More Info
$501Prof Practice -
Compliance and Legal Trends
Join industry leaders as they discuss trends, key focus areas and strategies that are shaping the industry. Panelists share insights on how these changes will affect compliance, and how firms are evolving and responding to business, regulatory and technology issues. More Info
$501Prof Practice -
Current Issues Under Regulation Best Interest and Form CRS
In an ongoing dialogue, regulators and industry practitioners come together to delve into a wide array of current topics and delve deep into the valuable lessons learned through their experiences with Reg BI (Regulation Best Interest) and Form CRS (Customer Relationship Summary). This collaborative discussion explores the multifaceted aspects of these regulatory frameworks, encompassing not only effective practices implemented within firms but also the examination experiences encountered along... More Info
$501Prof Practice -
Leveraging Regulatory Technology for Your Firm
During this CLE program, panelists discuss how RegTech is impacting the securities industry as well as related benefits, risks and regulatory considerations. The session also covers different RegTech tools available to enhance compliance efforts, such as FINRA's new Machine Readable Rulebook as well as other tools involving the use of artificial intelligence and cloud computing. This session will discuss: Considerations for using Regtech tool such as those incorporating AI for regul... More Info
$501Prof Practice -
Redefining Communications Compliance for the Digital Age
As we rely increasingly on mobile apps, social media, and other digital channels to communicate, how are firms addressing the compliance challenges and opportunities these media offer? Learn with industry and FINRA experts about how to navigate the increasingly complex landscape of firm communications with the public. Panelists cover lessons learned from FINRA’s ”finfluencer” targeted examinations, recent enforcement activity around off-channel communications, and how practitioners are approac... More Info
$501Prof Practice -
The Evolution of Branch Office Inspections
Join us as we delve into a thought-provoking exploration of the invaluable lessons acquired during the transformative journey towards remote branch inspections. Our esteemed panelists will engage in an enlightening discussion, unveiling a wealth of knowledge encompassing a range of crucial topics. Amidst a rapidly evolving regulatory landscape, our distinguished speakers will provide invaluable insights into the impact of FINRA inspections and other regulatory developments. Del... More Info
$501Prof Practice -
The Firm Perspective on Monitoring and Protecting Against Financial Crimes
Join panelists for a comprehensive discussion on financial crimes from the firms' perspective. This CLE session covers a variety of tactics, red flags and mitigation strategies associated with fraud, insider trading, cybersecurity and money laundering. This session will discuss: Effective practices and controls for firms in monitoring, protecting against and addressing AML, cybersecurity and fraudulent activities Provide tips to identify potential “red flags” for fraud and insider tr... More Info
$501Prof Practice