ESQ To Hold Special Training On SEC And NSE Reporting Essentials, Compliance, Anti-Money Laundering And Counter Terrorism For Lawyers

Many lawyers learn reporting in Capital Market transactions through on-the-job training that often is piecemeal at best. This training is intended to replace that ad-hoc learning process by helping participants develop an in-depth understanding of the reporting requirements of the Nigerian Laws. Also, solicitors need to be up to speed on the threat of money laundering, Financial Crimes and Terrorism Financing.

According to Lere Fashola, Founder of the ESQ Practical Lawyers Academy, this training is designed for legal professionals. Participants will build the practical knowledge base, skills and tools required to succeed a Capital Market or Finance practice especially the “Filing Reporting Requirements and AML/CFT Compliance under the laws and apply these tools to examples from practice.  Lere Fashola stated that participants will learn the legal foundations and essentials for filling all the necessary Reports as required under the Investments and Securities Act and other Regulations. The course will also reflect on the duties and obligations of lawyers as well as Reporting and compliance duties under the AML/CFT laws including the Economic and Financial Crimes Commission Act, the NFIU Act, Money Laundering Prohibition Act etc. Participants will also gain a thorough understanding of the obligations under the Sarbanes-Oxley Act, the Dodd-Frank Act, FCPA and the UK Bribery Act.

This course offers participants the opportunity to build the foundational knowledge and practical experience necessary to understand, prepare and review periodic and current reports and proxy statements in order to comply with the SEC’s detailed disclosure and reporting requirements as well as develop the understanding of their obligation under the AML/CFT laws. Participants will also learn important rules and techniques for communicating with the public, including what triggers the “duty to disclose,” the importance of “insider trading” policies, and the art of drafting disclosure documents with a view toward limiting potential liability.

What You Will Learn

• Overview of the Financial System
• Responsibilities and Conduct of Capital Market Operators
• Overview of the Legal Framework of the Nigerian Capital Market, Securities Offering, Review of principal regulations, rules and interpretations
• Understanding, Developing and Complying with Insider Trading Policies
• Draft and review of Periodic Reports – Annual Report and Accounts etc
• Compliance, Anti-Money   Laundering   and   Countering   the   Financing   of
• Terrorism Activities in the Nigerian Capital Market
• The Sarbanes-Oxley Act and the Dodd-Frank Act
• Developing and complying with insider trading policies
• Executive compensation reporting and disclosure
• Regulation FD (fair disclosure)
• Reporting Obligations under the Sarbanes-Oxley Act and the Dodd-Frank Act
• Understanding the Reporting Essentials for SEC, NSE and other Capital Market Regulators
• Understanding the AML/CFT Obligations for Lawyers under the Economic and Financial Crimes Commission Act, the NFIU Act, Money Laundering Prohibition Act etc.
• Understanding of the obligations under the Sarbanes-Oxley Act, the Dodd-Frank Act, FCPA and the UK Bribery Act.

Date: 11th – 12th March 21 March, 2021
Time: 9:00am – 4:00pm daily
Venue: Zoom
Course fee: N50,000 (Fifty Thousand Naira Only)

Register here: http://bit.ly/esqreportingessentials

For contact and enquiries about this training, kindly contact Tayo (Tel: 08132676084, Email: t.samuel@esq-law.com) or Tosin (08094403711 – o.solanke@esq-law.com)