Thursday, September 10, 2015 | 6 pm – 9 pm
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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:
$229 Member / $329 NonmemberIn-house Counsel:
$179 Member / $279 Nonmember -
Program Chair:
Frank H. Wohl
Lankler, Siffert & Wohl, LLPFaculty:
Stephanie Avakian
Deputy Director, Division of Enforcement
US Securities and Exchange CommissionJanet Broeckel
Managing Director & Associate General Counsel
Litigation and Regulatory Proceedings
Goldman, Sachs & Co.Professor Bruce A. Green
Louis Stein Chair of Law; Director, Stein Center
Fordham University School of LawDenis J. McInerney
Davis, Polk & Wardwell, LLPAmy E. Millard
Clayman & Rosenberg, LLPBreon S. Peace
Cleary Gottlieb Steen & Hamilton, LLPKaren Patton Seymour
Sullivan & Cromwell, LLP -
6:00 pm-6:15 pm Introduction and Presentation of Hypothetical
Frank H. Wohl6:15 pm-6:35 pm Investigating Counsel
- Qualifications of Investigating Counsel
- Responsibilities and Risks of Investigating Counsel
Breon S. Peace
6:35 pm-6:55 pm Outside Counsel for the Company
- Avoiding Conflicts of Interest
- Risks of Being Too Efficient
Karen Patton Seymour
6:55 pm-7:15 pm Outside Counsel for the Company
- Protecting Privileges
- Joint Defense Agreements
Denis J. McInerney
7:15 pm-7:30 pm Break 7:30 pm-7:50 pm Inside Counsel for the Company
- Protecting the Company
- Protecting Employees
Janet Broeckel
7:50 pm-8:10 pm Counsel for Individuals
- Targets, Witnesses and Whistleblowers
- Playing Well With Others: Joint Defense Agreements
Amy Millard
8:10 pm-8:30 pm Counsel for the Government
- Current Government Policies
- Expectations of Investigating Counsel and Companies
Stephanie Avakian
8:30 pm-8:45 pm Ethics Wrap-Up
Prof. Bruce A. Green8:45 pm-9:00 pm Questions & Answers
Panel -
CLE Credit:
NY: 3.0 ethics
NJ: 3.3 professional responsibility
CA: 3.0 professional responsibility
PA: 2.5 professional responsibility -
Can’t make it to the program in person? You can attend this program from your office or home. Register and view by clicking on the Casemaker logo below:
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Save $$ on DVDs & CDs
*DVDs: $229 Member / $329 Nonmember
*CDs: $179 Member / $249 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: White Collar Crime, Karen Patton Seymour, Chair
Sponsorship Opportunities are Available! Please Contact:
Ann Rappleye, Director of Programs, City Bar Center for CLE | (212) 382-6606 | ARappleye@nycbar.org
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