Rhode Island MCLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for Rhode Island. Please make your selection below of Rhode Island 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.
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On-DemandOnline & iOS/Android App
Collections in the Age of Covid
We are living through incredible times. No one could have suspected that we would be facing a global pandemic that virtually shut down life as we know it. All too many businesses remain closed or are opening to a fraction of capacity. Many people remain out of work or working part-time. But what can you do if a business entity or person/consumer owes you money? Such receivables could wreak havoc on your own business and its future viability. Being the managing partner of a small law fi... More Info
$751.5General Credits -
On-DemandOnline & iOS/Android App
Guiding Witnesses Through The Minefield of FINRA On-The-Record Interviews (OTRs)
One of the key Investigative Techniques used by the Financial Industry Regulatory Authority (FINRA) are on-the-record interviews (OTRs). This CLE course will discuss in detail the dynamics of FINRA OTRs and how to properly prepare and represent witnesses during these proceedings. What is FINRA really trying to accomplish. What should the witness try to achieve and how can the witness avoid dangerous pitfalls. More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Fiduciary Duty For Lawyers In The Capital Markets
This CLE Course will address the Professional Standards for Lawyers, and other Professionals in the Capital Markets and Financial Service Industry. It will include subjects such as legal opinions, advising the Board with respect to unlawful and unethical conduct and conflicts, and representing the organization and constituents who may have adverse interests. There will be discussion of the overriding concept of Fiduciary Duty, and the Specia... More Info
$751.5Ethics Credits -
On-DemandOnline & iOS/Android App
Enforcement of Judgments in New Jersey and New York
Success in every case ultimately comes down to a collection. Obtaining a Judgment is only half the battle. A client who obtains a Judgment in his/her favor whether by default, motion or trial will not be made whole unless steps are taken to ensure the Judgment is paid. Join attorney Jeffrey H. Ward as he discusses mechanisms for collecting Judgments that are entered in the Courts of New Jersey and New York. Mr. Ward begins with a review of how Judgments can be entered in both states. Th... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Essentials of Corporations, Partnerships and LLC's
This CLE program will provide an overview on the four principal business entities – Corporations, Limited Liability Companies, General Partnerships and Limited Partnerships. Business lawyers Eli Greenberg and Mark Silverstein will discuss organizing, financing and managing entities, mergers and acquisitions and option plans. Additional topics include fiduciary duties and indemnification of those managing an entity’s affairs. More Info
$751.5General Credits -
On-DemandOnline & iOS/Android App
What All Lawyers Need to Know about US Banking Law
Bank regulatory issues can crop up in any lawyer’s practice, whether or not the lawyer represents a bank or has a client who is a counterparty to a bank on a transaction. This CLE program will provide an overview to general practitioners of the complexities of the US banking system and its applicable laws and regulations in order to familiarize them with subjects as who the relevant regulators are and what do they do, how banks are formed and what are they permitted to do, and transaction-rel... More Info
$1002General Credits -
On-DemandOnline & iOS/Android App
Investing in the Cannabis Industry 101
The Cannabis industry is arguably the fastest growing industry in the United States, if not globally. Opportunities abound both with respect to hemp and marijuana, but it’s critical to understand the landscape and nuances that are unique to the industry when considering investment or transactions in the space. Join Brent Johnson, CEO of Hoban Law Group (a leading global law firm dedicated exclusively to the Cannabis space), as he provides a high-level overview of the Cannabis industry, inves... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Mergers & Acquisitions in the Cannabis Industry
The Cannabis industry is arguably the fastest growing industry in the United States, if not globally. Opportunities abound both with respect to hemp and marijuana, but it’s critical to understand the landscape and nuances that are unique to the industry when considering transactions in the space. Join Brent Johnson, CEO of Hoban Law Group (a leading global law firm dedicated exclusively to the Cannabis space), as he provides a high-level overview of the Cannabis industry, conducting mergers... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Effective Corporate Governance and Oversight
Effective corporate governance and oversight is critical for any corporation to mitigate the possibility of governmental prosecutions and enforcement actions, but what exactly does this term mean and what does it require? This presentation will attempt to define the term and describe the critical parts that a board of directors, senior management and other components of an organization play in effecting an effective corporate governance and oversight structure. It will also discuss the element... More Info
$751.5General Credits -
On-DemandOnline & iOS/Android App
Regulation of Banks in the U.S.
This CLE course focuses on the regulation of banks in the U.S. It covers the significant bank regulatory laws from the Great Depression to the 2010 Dodd Frank Act, as well as both federal and state regulatory agencies having jurisdiction over banks. It also discusses various regulatory compliance requirements, including anti-money laundering and several Dodd Frank Act requirements; trends in governmental enforcement actions against banks; the recurring cycles of de-regulation resulting in fina... More Info
$751.5General Credits