Ethical Considerations for Corporate Investigations: Views From All Sides

Wednesday, September 21 | 6 pm – 9 pm

Program Chair:

Frank Wohl

Frank Wohl
Lankler 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.

    Live Program & Webcast: $229 Member | $329 Nonmember

    In-House Counsel: $149 Member | $249 Nonmember

  • Katherine R. Goldstein
    Chief, Securities and Commodities Task Force
    US Attorney’s Office, SDNY

    Prof. Bruce A. Green
    Director, Stein Center & Louis Stein Chair of Law
    Fordham University School of Law

    Karen B. Konigsberg
    Executive Director and Counsel
    UBS AG

    Denis J. McInerney
    Davis, Polk & Wardwell, LLP

    Amy E. Millard
    Clayman & Rosenberg, LLP

    Breon S. Peace
    Cleary Gottlieb Steen & Hamilton, LLP

    Karen Patton Seymour
    Sullivan & Cromwell, LLP

  • 6:00 pm – 6:15 pm Introduction and Presentation of Hypothetical
    Frank H. Wohl
    6:15 pm – 6:35 pm Part I – Investigating Counsel

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

    Breon S. Peace

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

    • Avoiding Conflicts of Interest
    • Handling Surprises

    Karen Patton Seymour

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

    • Protecting Client Information
    • Joint Defense Agreements

    Denis McInerney

    7:15 pm – 7:30 pm Break
    7:30 pm – 7:50 pm Part IV – Inside Counsel for the Company

    • International Issues
    • Protecting Company Information

    Karen Konigsberg

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

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

    Amy Millard

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

    • Current Government Policies
    • Expectations of Investigating Counsel and Companies

    Katherine Goldstein

    8:30 pm – 8:45 pm Ethics Wrap-Up
    Prof. Bruce A. Green
    8:45 pm – 9:00 pm Questions and Answers

  • NY: 3.0 ethics
    NJ: 3.3 professional responsibility
    CA: 3.0 professional responsibility
    PA: 2.5 professional responsibility

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

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