Orrick PowerPoint Template. The SEC’s New Rules on Standards of Professional Conduct for Attorneys – What Every Attorney Needs to Know. January 17, 2001. Name of Presenter. May 2003. Introduction . We Expect to Cover the Following:
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The SEC’s New Rules on Standards of Professional Conduct for Attorneys – What Every Attorney Needs to Know
January 17, 2001
Name of Presenter
We Expect to Cover the Following:
Background of the New Rules
QLCC must have the power and responsibility to do the following:
Expectation: Companies may adopt dual process where CLO receives all reports and then chooses whether to refer them to QLCC. CLO can “filter” reports.
A subordinate attorney is defined as an attorney who appears and practices before the SEC in the representation of an issuer on a matter under the supervision or direction of another attorney (other than under the direct supervision or direction of the CLO).