Current Ethical Issues in the Practice of Securities Law

This program will address ethical and legal issues that corporate and outside counsel face in advising corporations, directors and officers, handling shareholder and derivative suits, and  responding to government investigations. The program will present a scenario involving the discovery of possible accounting irregularities at a public company in which panelists will role play various parts, including that of corporate counsel, outside counsel, auditor’s counsel, and SEC counsel. Topics will include attorney- client privilege when representing a corporate entity, multiple representations, issues regarding internal  investigations, responses to client misconduct, issues dealing with outside auditors, and the impact of the Sarbanes-Oxley legislation.

Live Program (includes download of materials): 
$235 Member (add $25 for a hard copy of the materials) 
$345 Nonmember (add $25 for a hard copy of the materials)

Walk-in Registration (includes materials): 
$260 Member 
$370 Nonmember

Joanna C. Hendon, Spears & Imes LLP

Barry W. Rashkover, Sidley Austin LLP

Andrew E. Tomback, General Counsel, Scientific Games Corporation

Michael R. Young, Willkie Farr & Gallaghar LLP

9:00 – 9:10 a.m.  Introduction
Daniel J. Kramer

9:10 – 9:30 a.m.  Issues for In-House Counsel
Panel

9:30 – 9:50 a.m.  Issues Regarding Outside Auditors
Panel

9:50 – 10:15 a.m.  Issues Regarding Civil Litigation
Panel

10:15 – 10:30 a.m.  Issues Regarding the SEC
Panel

10:30 – 10:45 a.m.  Issues Regarding the Board
Panel

10:45 – 11:00 a.m.  Questions & Answers

New York, California & New Jersey Credit: 2.0 ethics
Pennsylvania Credit: 1.5 ethics

Save $$ on DVDs & CDs
*DVDs – (includes download of materials):
$325 Member
$415 Nonmember

*CDs – (includes download of materials): 
$285 Member
$355 Nonmember

*Materials Only (no CLE credit):
$105 Member
$135 Nonmember

* New York residents will be charged the New York sales tax for all audio visual purchases.

Can’t make it to the program in person?  Now you can attend this program from your office or home.  Register and view by clicking on the Casemaker logo below: