'The Presence of Justice': A Call to Expand the Humanitarian Exception in ABA Model Rule of Professional Conduct Rule 1.8(e).

2021 ◽  
Author(s):  
Cristina D. Lockwood
Keyword(s):  
Professional Conduct ◽  
Model Rule

Unresolved Business: Federal Corporate Governance Enhancements

2018 ◽  
Author(s):  
Marc I. Steinberg
Keyword(s):  
Corporate Governance ◽  
Insider Trading ◽  
Securities And Exchange Commission ◽  
Federal Courts ◽  
Professional Conduct ◽  
State Law ◽  
Federal Law ◽  
Tender Offers ◽  
Federal Level ◽  
Federal Statute

This chapter analyzes and recommends federal corporate governance enhancements that should be implemented. These enhancements, which should be adopted in a measured and directed manner, are necessary to remediate certain deficiencies that currently exist. Consistent therewith, this chapter focuses on several important matters that merit attention, including the undue deference by federal courts to state law, the appropriate application of federal law to tactics undertaken in tender offers, the need for a federal statute encompassing insider trading, and the propriety of more vigorous oversight by the Securities and Exchange Commission (such as with respect to the “current” disclosure regime, the SEC’s Standards of Professional Conduct for Attorneys, and the Commission’s neglecting at times to invoke its statutory resources). Thus, the analysis set forth in this chapter identifies significant deficiencies that currently exist and recommends measures that should be implemented on the federal level to enhance corporate governance standards.

Monitoring Compliance with Professional Guidance. A Discussion Paper prepared by the Compliance/Peer Review Working Party of the Professional Affairs Board

2000 ◽  
Vol 6 (2) ◽  
pp. 365-431
Keyword(s):  
Peer Review ◽  
Financial Services ◽  
Working Party ◽  
Professional Conduct ◽  
Discussion Paper ◽  
Professional Guidance

ABSTRACTThis is a discussion paper prepared by the Compliance/Peer Review Working Party of the Professional Affairs Board. It considers the monitoring of compliance with the professional conduct standard and guidance notes, how this is being done, and whether changes need to be made to the monitoring in the light of on-going changes to the regulation of financial services.

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