Celesq® Attorneys Ed Center
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Programs in FinTech

Programs are available online to all firms wishing to assist their attorneys in obtaining their CLE credits. Please email customer.care@celesq.com to obtain a coupon code for your firm. Once an attorney has completed a program, your firm will be billed $30 each for the cost of each certificate which will be issued as a download once the attorney has completed the affirmation for the particular program. CDs will be available for all programs upon request. Please email customer.care@celesq.com to purchase CDs for any course. Cost will be $95.00 per CD, plus shipping and handling.

PROGRAMS ARE NOT AVAILABLE UNTIL AFTER THE PROGRAM DATE – IF THE ONLINE PURCHASE BUTTON IS NOT SHOWING – THE PROGRAM IS NOT YET AVAILABLE FOR LISTENING. PLEASE DO NOT ADD AUDIO TAPE TO YOUR CART AS THE PROGRAM IS NOT YET AVAILABLE. ONLY ADD TO YOUR CART IF YOU SEE ‘ONLINE AUDIO’ - THANK YOU SO MUCH!

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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

Blockchain for Lawyers 101 (01/11/2019)

Program Number: 2909 Presenter: Jason D. Haislmaier, Esq.

Blockchain technology has swiftly risen to become one of the hottest technology (and legal) topics of today. While the "blockchain" is often equated with crypto-currency, the true impact of blockchain technology is being felt across a far wider variety of industries. Join us for this webinar to learn about the history of blockchain technology, how blockchain technology operates, the role it is playing in shaping current and future technologies, and the legal impact of those technologies.

$95.00Online Audio Add to Cart

How Do You Solve a Problem Like E-mail (01/09/2019)

Program Number: 2903 Presenter: Therese Craparo, Esq., Anthony J. Diana, Esq.

For years, e-mail has been both a vital communications tool and a growing liability for many organizations. While e-mail may contain critical business records and data subject to legal hold, years of lax management, exponentially increasing volumes, and changing or aging e-mail systems present significant cyber-security, data privacy, litigation and operational risks. And with the advent of technology platforms that allow for more sophisticated indexing and analysis of data, including Microsoft 365, cleaning-up historical e-mail and developing processes that leverage new technology will be transformative for e-mail risk management. This program will review strategies for managing the risks associated with e-mail, including retention, Records categorization, legal hold implementation, auto-disposal, and centralization and will review case studies on: (i) the use of record classification technology to categorize 1.5 billion e-mail messages; (ii) the centralization of multiple e-mail data sources and billions of e-mail to facilitate retention, legal hold management and automated disposal; and (

$95.00Online Audio Add to Cart

Defensibly Deleting Data (12/07/2018)

Program Number: 2856 Presenter: Anthony J. Diana, Esq.

With the rising risks associated with retaining large volumes of data, such as the regulatory focus on cyber-security and data privacy, organizations (with the urging of board members and investors) have made a priority of disposing of data and documents that are not needed for business or required to meet regulatory and legal obligations. Unfortunately, most organizations have neglected the management of documents and data for many years, and developing a program to routinely dispose of documents and data requires a balancing of risks and costs by a multi-disciplinary team (Legal, Compliance, Records, IT and the business). This program will provide some key lessons learned by a team who has assisted organizations defensibly decommission thousands of legacy systems, defensibly dispose of millions of boxes, and defensibly delete billions of electronic documents.

$95.00Online Audio Add to Cart

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