Ethical Considerations for Corporate Investigations: Views From the Side

Originally held on Wednesday, September 27, 2017 | 6 pm – 9 pm


Program Chair:
Helen Gredd
Lanker Siffert & Wohl LLP








  • This annual update program will explore current issues and recent developments relating to ethical duties and responsibilities of attorneys and other participants in corporate internal investigations involving public companies and other entities. These issues will be discussed from the point of view of counsel for the entity, investigating counsel, counsel for individual executives and government representatives. The presentation will touch on a broad array of ethical issues, devoting special attention to current developments concerning prosecution and regulatory strategies, conflicts of interest, protection and waiver of the attorney-client privilege, counseling of employee witnesses, the federalization of ethical obligations imposed on attorneys under the Sarbanes-Oxley legislation of 2002, and the impact of the Dodd-Frank legislation of 2010. The faculty will also discuss special issues raised by global investigations, involving multinational entities.


    DVDs & CDs: $229 Member | $329Nonmember
    On-Demand: $179 Member| $279 Nonmember
    Materials Only (No CLE Credit): $99 Member | $129 Nonmember

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

  • Professor Bruce Green
    Director, Stein Center & Louis Stein Chair of Law
    Fordham University School of Law

    James Meadows
    Head of Litigation for the Americas

    Amy E. Millard
    Clayman & Rosenberg

    Breon S. Peace
    Cleary Gottlieb Steen & Hamilton LLP

    Karen Patton Seymour
    Sullivan & Cromwell LLP

    Lisa Zornberg
    Chief, Criminal Division
    United States Attorney’s Office for the Southern District of New York

  • 6:00 pm – 6:15 pm    Introduction and Presentation of Hypothetical

    6:15 pm – 6:35 pm    Investigating Counsel

    • Qualifications of Investigating Counsel
    • Responsibilities and Risks of Investigating Counsel

    6:35 pm – 6:55 pm    Outside Counsel for the Company

    • Avoiding Conflicts of Interest
    • Handling Surprises

    6:55 pm – 7:15 pm   Outside Counsel for the Company

    • Protecting Client Information
    • Joint Defense Agreements

    7:15 pm – 7:30 pm    Break

    7:30 pm – 7:50 pm    Inside Counsel for the Company

    • International Issues
    • Protecting Company Information

    7:50 pm – 8:10 pm    Counsel for Individuals

    • International Issues
    • Playing Well With Others: Joint Defense Agreements

    8:10 pm – 8:30 pm    Counsel for the Government

    • Current Government Policies
    • Expectations of Investigating Counsel and Companies

    8:30 pm – 8:45 pm    Ethics Wrap-Up

    8:45 pm – 9:00 pm    Questions and Answers

  • This program provides 3.0 credits in ethics for the New York & New Jersey MCLE requirements. California & Pennsylvania credit differs as it is based on a 60-minute credit hour. The live program provided transitional credit to newly admitted attorneys; the recording does not provide transitional credit.

  • Sponsoring Association Committee
    White Collar Crime |Michael S. Schachter, Chair

    Sponsorship Opportunities are Available! Please Contact:
    Maricela Alfonso, Membership and CLE Relations Associate
    (212) 382-6608