Ethical Considerations for Corporate Investigations: Views From All Sides

Originally held on Tuesday, September 30, 2014 | 6:00 p.m. – 9:00 p.m.

PROGRAM CHAIR
Frank Wohl
Lankler Siffert & Wohl LLP


  • This annual updates 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. These issues will be discussed from the point of view of counsel for the corporation, 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 interests, 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 program will also include special issues raised by global investigations, involving multinational entities.

  • Barry A. Bohrer, Schulte Roth & Zabel LLP

    Jessica S. Carey, Paul, Weiss, Rifkind, Wharton & Garrison LLP

    Professor Bruce A. Green, Louis Stein Professor of Law, Fordham University School of Law

    Breon S. Peace, Cleary Gottlieb Steen & Hamilton LLP

    Guruanjan Sahni, Chief, Securities and Commodities Fraud Unit, US Attorney’s Office, SDNY

    Karen Patton Seymour, Sullivan & Cromwell LLP


  • 6:00 – 6:15 p.m. Introduction & Presentation of Program Hypothetical

         Frank H. Wohl

    6:15 – 6:35 p.m. Representing the Company

    • What Happened to the Privilege?
    • How Many Lawyers Does One Company Need?

         Jessica S. Carey        

    6:35 – 6:55p.m. Investigation Counsel – Part I

    • Do I Have a Client?
    • What is the Scope of the Investigation?

         Breon S. Peace

    6:55 – 7:15 p.m. Investigation Counsel – Part II

    • Conducting the Investigation
    • Strategies, Risks and Techniques

         Karen Patton Seymour

    7:15 – 7:30 p.m. Break

    7:30 – 7:50 p.m. Representing Corporate Executives and Other Individuals

    • Representation of Witnesses and Targets
    • Playing Well With Others: Joint Defense Agreements

         Barry A. Bohrer

    7:50 – 8:10 p.m. Representing the Government

    • Government Expectations of Internal Investigations
    • Current Government Policies and Procedures

         Guruanjan Sahni

    8:10 – 8:30 p.m. Ethics Wrap-Up

         Professor Bruce A. Green

    8:30 – 9:00 p.m. Questions &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.


  • Save $$ on DVDs & CDs
    *DVDs – (includes materials):
    $229 Member
    $329 Nonmember

    *CDs – (includes materials): 
    $172 Member
    $247 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.


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  • Sponsoring Association Committee

    Sponsoring Association Committee: White Collar Crime, Karen Patton Seymour, Chair

    Sponsorship Opportunities are Available! Please Contact: 
    Ann Rappleye, Director, City Bar Center for CLE | (212) 382-6606 | ARappleye@nycbar.org or
    ____________________________________________________________________________________________
    Darianne De Leon, Program & Sponsorship Coordinator, City Bar Center for CLE | (212) 382-6731 | ddeleon@nycbar.org