On-Demand Learning

Corporate & Securities

Transcripts

Recorded on: Mar. 18, 2013

CHRISTINE GOULD HAMM: Thank you, Ed. OK. Good morning. We're going to start off nice and easy. I know it's Monday morning at the time change just happened, so it feels much earlier than it is, even. So we'll start off nice and easy and we'll probably get to some more challenging and interesting topics as we move along. So Equipment Financing-- in your course handbook if you're following along there, the materials are at page 127, the presentation ...

Recorded on: Nov. 4, 2011

JOHN F. DELANEY: So we are now at the last presentation. And a cynic might say we put the much-desired desired ethics credit presentation at the very end of the session. But that's not true. But not only are we going to give you one hour of ethics credit over the next hour. But we want the ethics presentation to be directly related to outsourcing. We want it to be directly relevant to what we do as outsourcing lawyers. And toward that end, we are ...

Recorded on: May. 7, 2012

DAVID BRITTENHAM: All right. While John is getting ready, I'll introduce him. John Brady is counsel at Debevoise & Plimpton, since 1998. He has been involved in leading the Lawyer Training Initiatives at our firm, including teaching us all about professional ethics. And he's here today to tell us something about it for the next hour. John. JOHN BRADY: Thank you, David. David has volunteered me again this year to speak about ethics. I'm happy ...

Recorded on: May. 10, 2011

DAVID A. BRITTENHAM: All right, we're back. It's 1:30 and we're now going to have our ethics presentation. It's my pleasure to introduce my colleague, John Brady, to my right. John has been at Debevoise since the late '70s. He practiced law for many years and is now of counsel since 1998. He plays a key role in lawyer training and development at our firm, including teaching us all about ethics. And since I've enjoyed his presentations so much, we ...

Recorded on: Nov. 7, 2011

SPEAKER 1: So why don't we go ahead and get started. So now we're going to move to our next topic of the day. I introduced John earlier, John Hughes, a partner at Howard Rice here in San Francisco. And he's gonna talk to you about ethics. JONATHAN HUGHES: Thanks. So most of what I do, I litigate cases, but mostly what I do is represent lawyers' law firms. And so this discussion that I want to have now about legal ethics in the context of an SEC practice ...

Recorded on: Oct. 5, 2012

STEVE: OK, so as we head into our last topic for the program, I'd like to introduce our newest member of the panel. To my right is Maura Barry Grinalds. Maura is a partner at Skadden, Arps here in New York. And she's-- MAURA BARRY GRINALDS: Who doesn't know how to adjust her chair. STEVE: [LAUGHS] These are the complex issues that lawyers have to face every day. It's amazing we survive. And so Maura is going to talk to us about ethics. MAURA BARRY ...

Recorded on: Sep. 10, 2012

JOHN C. KOSKI: Well welcome everybody. Pleased to be here. Wanted to talk about ethics today from a different perspective. Rather than talking about mergers, I'm going to be talking about movies and hopefully we can all leave with a little bit of a feel good appreciation that no matter how bad a day you've had in your practice, there's been some movie lawyer somewhere who's had it worse. So what we are going to do today is kind of review a few clips. ...

Recorded on: Nov. 8, 2010

JOHN: Why don't I introduce you? So we're at end. When Phil and I first got involved working with PLI, we learned very quickly PLI has a secret. I'll let you in on it. You always put the ethics presentation last. Why? Because people have to stay to the end, because everyone wants and needs ethics credit. But we've always, in addition to-- one thing we've wanted to do with the ethics credit is, in addition to generating ethics credit for you, to make ...

Recorded on: Apr. 5, 2010

So with the goal of preserving the sacred PLI principle of not going past the finishing time for the day, I'll start the introductions as our panelists are making their way up. Pleased to have with us Deirdre Cunnane, who's the general counsel of Advanced Technology Ventures. She joined ATV in 2006 and has more than 20 years of experience in the venture capital and private equity space. Prior to that she had various positions at Bank Boston Ventures, ...

Recorded on: Feb. 29, 2012

NANCY H. WOJITAS: OK, we're going to get started. Our next panel is entitled Ethical Issues Surrounding a Going Private Transaction. So you get all the needed ethics credit, MCLE credit. And it actually will kind of sensitize you to the fact that there are ethical issues when you're dealing with going private transactions. So let me introduce the panel before I turn it over to the three of you. So to my immediate right is Jonathan Levitsky. He is ...

Recorded on: Jan. 17, 2012

SPEAKER 1: OK, so our next session is Ethical Traps for the M&A practitioner. So if it isn't apparent from the title, this is where you get your ethics credit for the two days of the program. And our speaker is James Walker. He's a partner with Richards Kibbe. He concentrates in internal investigations, white collar criminal defense, civil litigation, professional liability, and legal ethics. He has been on the New York City bar's professional ...

Recorded on: Jan. 27, 2011

RICHARD A. GOLDBERG: We're going to move right into our next speaker, James Walker. James Walker is general counsel to Richards Kibbe and Orbe. He's got a long history and background involved in the area of ethics. He's written numerous opinions on ethics. And has represented lawyers and law firms in ethical investigations. He's going to be addressing ethical issues in the context of M&A transactions. JAMES Q. WALKER: Good afternoon. I thought ...

Recorded on: Jan. 29, 2013

RICHARD A. GOLDBERG: James Walker, who is at Richards, Kibbe and Orbe, practices in internal investigations and complex commercial litigation, but also specializes in ethical issues, has been on Bar Association panels for ethics for more than 15 years, and is general counsel to his own firm, dealing with ethical issues for his own firm. And so we have the benefit of hearing his perspective on some ethical issues that come up in the M&A context. ...

Recorded on: Feb. 13, 2012

BARRY BARBASH: OK, folks. It's time for our closing panel, so I call upon our closer, Michael Sackheim who closes us out every year. And I can tell you it is the one panel, year-in, year-out, when I'm not moderating that I attend. Because it's the panel on ethics, and I have to get New York continuing legal education credit. Michael is a partner at Sidley Austin whose real practice is in the derivatives area. But he also has become an expert in ethics. ...

Recorded on: Mar. 15, 2013

PAUL ROYE: OK, we've saved the best for last. We have our ethics discussion with Michael Sackheim. Michael is a partner with Sidley and Austin here in New York. Michael's specialty is an area that is becoming increasingly important to our industry, where he concentrates on exchange trading and over-the-counter derivatives-- regulatory, transactional, and enforcement matters in that area. He's been spending a lot of time, I think, recently on advising ...

Recorded on: Apr. 12, 2010

BARRY BARBASH: Our last panel of the day, or last piece of the day, is a panel on ethics. It's certainly not the least important. It's an incredibly important topic, and not simply because a lot of us who are New York lawyers need the ethics credit. On an ongoing basis in everyday practice, ethical questions come up when we represent clients, and it's important to have some idea of what the law is, and what your responsibilities are. So with that, ...

Recorded on: Feb. 24, 2010

DAVID: Our final panel of the day concerns ethics. And we have two speakers. David Hess who is to my immediate right is an assistant professor of business law and business ethics at the Ross School of Business at the University of Michigan. He specializes in corporate law and business ethics. And his research focuses primarily on the role of the law in ensuring corporate accountability. Simon Lorne, next to him, has a resume that takes too long ...

Recorded on: Mar. 2, 2011

DAVID BECKER: OK. We're all set. This is the panel for ethics credit. I don't want to talk about it as just an ethics panel. We've got two panelists. The first is Marc Steinberg, who is the Rupert and Lillian Radford Professor of Law and Senior Associate Dean for Research at the Southern Methodist University School of Law. Marc is the director of SMU's Corporate Directors Institute. He is widely published in the areas of securities law and professional ...

Recorded on: Dec. 16, 2011

W. HARDY CALLCOTT: So I think the first thing that we were going to spend some time on in the ethics portion of this is the new SEC whistleblower rules, which are a real change for not only all public companies, but anybody who's regulated by the SEC in any way. The headline of the Dodd-Frank whistleblower provisions is that a whistleblower who goes to the SEC and as a result of which the SEC brings an action-- and all these are defined terms-- in ...

Recorded on: Dec. 6, 2012

JOAN E. MCKOWN: So we should jump into the next panel. The next panel we'll be talking a lot about cases against attorneys by the Commission. As Abby said, we'll talk a little bit about the JOBS Act, and lawyers as gatekeepers, and also the whistleblower development, which is always very interesting. In terms of, the topic is appearing or practicing before the Commission, which, of course, is what you can be barred from if you are an attorney if ...

Recorded on: Jul. 26, 2011

JOHN DU: Thank you for coming back. We're finally down to the last panel, which is, in my view, the most important panel on ethics and anti-bribery legislations. Well, I just want to make this-- can someone turn the screen on please? OK, thank you. I want to engage you a little bit, so this is a question which is not so related to this panel in particular, but of course, it's related to BRIC. So name the world's four largest economies in GDP for ...

Recorded on: Jul. 17, 2012

JOHN DU: Shift focus to the substantive issues of FCPA enforcement. So what is the current FCPA enforcement landscape in the US with respect to the emerging markets? Can we start with Mauro? MAURO WOLFE: Yeah thank you, John. I think one of the more important cases, and this one remains to be seen over the next year or so, is the Morgan Stanley case. For those of you who are not familiar with the case, a senior executive at Morgan Stanley named Garth ...

Recorded on: Dec. 17, 2012

N. ADELE HOGAN: Hi. It's 11:30, and I want to make sure that we start on time so that we get the full hour of CLE credit. To my right, I have Iris Chiu. She is at Morgan Stanley, particularly focusing on M&A transactions. Obviously, we have two people here that are highly substantive, so although they are kindly going to speak on ethics today, they're going to bring a lot of their business and legal judgments and practical experience here as well. And ...

Recorded on: Jul. 18, 2011

CLIFFORD KIRSCH: All right we are going to start. And thanks everyone for sticking around. We appreciate it, we're going to have a good discussion. Our last session is on a legal ethics. I'm very pleased that Steve is back from the first panel, and as well as John. So I appreciate them being back here, and sticking out the day here. And what we wanted to do on this session is have a targeted discussion of the role of the chief legal officer at an ...

Recorded on: Apr. 1, 2013

JANET L. SIEGEL: And now it's my pleasure to turn the program over to our two presenters today. Howard Schneider became a senior consultant at Charles River Associates in February of 2013. This is a worldwide business and litigation support consulting firm where he provides business consulting and expert witness services. From 2010 to January of 2013, Howard provided similar services as managing director of Navigant Consulting. And please note that ...