On-Demand Learning

Ethics/Professional Responsibility

Transcripts

Recorded on: Aug. 27, 2013

JANET SIEGEL: And now it's my pleasure to introduce to you the chair of this afternoon's program, David Lewis. David Lewis is a partner in the firm of Hinshaw & Culbertson, and he's also the chair of the New York City Bar Association's professional responsibility committee. Mr. Lewis advises individual lawyers and law firms on all aspects of professional ethics and risk management. He serves as go-to outside ethics counsel for a diverse range ...

Recorded on: Aug. 22, 2013

JANET SIEGEL: And now it's my pleasure to introduce to you our program chair for this morning's program. Evan Stewart is a partner at Zuckerman Spaeder, here in New York City. Mr. Stewart was featured by the New York Law Journal in the top trials of 2005, and more recently, Mr. Stewart prevailed against the Securities and Exchange Commission after three-week bench trial in Federal Court in May of 2013. He has substantial experience in the financial ...

Recorded on: Jul. 30, 2013

N. ADELE HOGAN: OK, thanks. OK, we're going to go ahead and get started, because this is the all-important one-hour of ethics, which is often hard to get. But we're going to cover it in a very interesting way with a lot of substance interspersed with ethics. So it's not a typical boring-- hopefully-- reporting up seminar. We're really going to cover a lot of interesting issues, particularly in the labor field. Because there's a lot of new developments ...

Recorded on: Jul. 23, 2013

LARRY CIRELLI: So we're going to move right on to our last topic of the day and our last topic of this class, Current Topics and Professional Ethics for Accountants and Attorneys. And with us is J. Michael Matthews. Mike is sitting down there at the far end because he contracted some form of the plague in the last day. And we're not letting him sit anywhere near us. If you have a question, stay over there, because he's got a really bad cold going ...

Recorded on: Jul. 18, 2013

CLIFFORD E. KIRSCH: Welcome back. And our next session is part III of adviser regulation. You're the final part, and then we have a break. And then we look at adviser to private fund issues. And on this session, we want to really go-- take a pretty deep dive into some of the concepts we mentioned at the earlier session, the requirements regarding a compliance program, record keeping and exams. What are the requirements with respect to advisers with ...

Recorded on: Jul. 12, 2013

JOHN DU: So we're moving to the next topic of ethics. This has been a traditional topic for the past, at least seven years for this program. And the predecessor of this program. And very often, it has led to great discussion and a lot of participation from the audience. We hope to repeat our success in the past sessions. And we're still missing one panelist. And he emailed. And he should be here very, I believe, momentarily. But PLI has its rules, ...

Recorded on: Jul. 9, 2013

YUKAKO KAWATA: OK. So we're switching over now to our ethics panel. So everybody stay in your seats. [BACKGROUND CHATTER] YUKAKO KAWATA: So, moving on to our last panel for this morning. This is the panel where you get ethics credit. And this panel will be talking about conflicts of interest and other ethics issues. And for that, to my right is Laura Friedrich. Laura is a partner in the investment funds group at Shearman & Sterling. And she ...

Recorded on: Jun. 28, 2013

CLIFFORD E. KIRSCH: All righty. In this next panel, what we're looking to do is lay out for you the rules that apply to supervisory programs, what requires a broker dealer to supervise. Supervise its business, supervise its representatives. And the rules applying to broker dealers compliance programs. Broker dealers are required to establish and maintain compliance programs, which are separate and distinct from the supervisory obligations. And we ...

Recorded on: Jun. 26, 2013

RICHARD MORVILLO: OK, welcome back. Thank you. I have the distinct honor of introducing most of my panel. The guy on the right there is related to me, so I don't know if it's such an honor. But let me start on the other end with Mike Delikat. Mike has become a fixture at these programs over the course of the last few years. Nancy and I had the foresight to ask him to join us, even before the whistleblower rules were published by the SEC. But Michael ...

Recorded on: Jun. 24, 2013

JOHN F. OLSON: This is the last panel of the day. And as Laura has said, we're going to do it a little bit differently from the others. I think I mentioned that to those of you who were on early this morning when we started hours ago. We're going to be interactive. And you'll find in front of you a hypothetical fact situation which I will go through, and it consists of a number of different slides. Forget about the slide with our names on it. That's ...

Recorded on: Jun. 12, 2013

REBECCA WALKER: OK, we're going to get started. You can continue-- OK, not yet. OK. Now we're going to get started. You can continue eating your cookies and drinking your coffee. I think somebody needs to be a compliance monitor for me, and prohibit me from having any more coffee after that one, because I think I'm pretty much running on caffeine fuels at this point. But it's good, because it gives me more energy for you guys. The next topic is Helplines, ...

Recorded on: Jun. 11, 2013

PHILIP M. BERKOWITZ: OK, everyone, I guess we're ready to start for our final panel. This is going to be a real fascinating presentation. I'm very pleased to introduce you to Ed O'Callaghan. Ed is the moderator of this particular panel. Ed is a partner in Clifford Chance's litigation and dispute resolution practice in New York. He has, as will become evident, extensive litigation experience. Ed was assistant US attorney in the Southern District of ...

Recorded on: Jun. 11, 2013

TANYA FORSHEIT: The last panel of the day, the final presenter of the day on ethics, and this is the credits everybody's been waiting for, so the best part of the day. We are very fortunate to have Merri Baldwin with us. Merri is a shareholder at the San Francisco office of Rogers Joseph O'Donnell PC. Her practice focuses on business litigation and matters related to attorney conduct, legal malpractice, professional responsibility and ethics, and ...

Recorded on: Jun. 10, 2013

JONATHAN L. MECHANIC: Welcome back, everybody. We have the piece de resistance for today, which is the ethics panel. Where we have two fabulous professors, retired professors and people very knowledgeable in the world of ethics, who've decided to dip their toes into the world of real estate and talk about the kinds of things that we face as real estate lawyers. So we have with us Bonnie Host, who's a conflicts attorney at SNR Denton and counsels ...

Recorded on: Jun. 5, 2013

RAJ TANDEN: OK, I think people are still streaming in. But we need to get started. We are going to be covering practical and ethical considerations for corporate transactions today. There's a handout, a PowerPoint that we'll be going through. Hopefully each of you has received this. I did put copies at the right side of the tables. If you could hand those down if you haven't gotten them. They're all over the place. So hopefully you get your hands ...

Recorded on: Jun. 5, 2013

SPEAKER 1: --for the Pocket MBA program, which is securities fraud litigation, recent trends and practical tips. We're lucky to have Dan Dooley, Sr., CPA, who was a former partner retired in the firm of PricewaterhouseCoopers, where he was the global leader of the firm's securities litigation and investigations consulting practice. As an audit partner, he performed examinations of companies in a wide-range of industries and sectors, including computers ...

Recorded on: May. 29, 2013

LAN HOANG: OK, we're going to start again. It's 11:40. On the schedule we have is the New Jersey Professional Responsibility & Ethics portion. This is your one credit ethics live. Our presenters are Stephen Falanga and Sheila Rafferty Wiggins. Stephen has over 18 years of experience in commercial law and expertise in insolvency law specifically. He heads his firm's bankruptcy reorganization and creditors rights practice groups. Stephen was also ...

Recorded on: May. 20, 2013

JEREMY FEIGELSON: Great. OK. Good afternoon again, and welcome to the ethics session. This is going to be highly interactive. The materials include the opportunity for you to vote on a series of ethics questions. We're going to crowd source at least the initial response to the ethics questions. Just a technical note. On the iPad, you have the little button at the bottom that says Polling, and then you also have access to the presentation. We're going ...

Recorded on: May. 17, 2013

PETER: All right, we're in the home stretch now. If everyone could take a seat please, and we'll finish up for the day. Before we finish up, I would like to remind you that there is an evaluation form online. It is very useful for you to fill out that evaluation form. Let me know and Mark know what your evaluation of the program, each of the speakers, any comments you make, and any changes or additions you'd like. I know this sounds like it's talk, ...

Recorded on: May. 15, 2013

DAVID BRITTENHAM: We turn to our final presentation by Ed Smith on ethics. And Patrick, maybe you can tell us a little bit about Ed? PATRICK RYAN: Ed is joining us today. Ed is a partner in the New York City and Boston offices of Bingham McCutcheon. And he's also a member of the teaching faculty at Boston University Law School and has a great passion for ethics, which we're going to share with him today. EDWIN SMITH: A great passion for it. Thank ...

Recorded on: May. 9, 2013

YVONNE S. QUINN: All right. Welcome back from the afternoon break. You've done a great job. You're heading into the home stretch here. Or maybe you've rounded third. I don't know. I'm bad at sports analogies. But as we try to do throughout this program, we like to come up with true experts, not just antitrust lawyers, but true antitrust lawyers who are expert in things to come in and talk to you. And we've done it again for this last session, which ...

Recorded on: May. 6, 2013

MARK F. MENDELSOHN: Bring your cup of coffees back in. We're going to make this interesting for you. Our next panel is, number one, your opportunity to get ethics credit for your attendance today. But more importantly, we're going to try to address what are actually some very real world and sometimes difficult issues to navigate in connection with FCPA and anti-corruption internal investigations. Let me briefly introduce our panelists, and then we'll ...

Recorded on: May. 1, 2013

JONATHAN K. YOUNGWOOD: --panel of the day is not on a specific part of the case, as the prior panels have all been. It's a panel that's going to focus on an ethical issues that really surround each of the topics that we've talked about today. And you actually may see that some of the things we discuss have in some way or another been discussed by earlier panels. But we're going to try and take a different angle on them. We're going to really focus ...

Recorded on: Apr. 10, 2013

HOWARD PIANKO: Our last hour, we're going to go into ethical considerations for ERISA lawyers both outside lawyer and also the kind of questions that come up working in-house. We're really pleased to have Howard Shapiro with us. Howard, from Proskauer, is a litigator who many of us have heard of and worked with. And Liza LeAndre from Colgate-Palmolive is here to talk to us from the in-house perspective. I'll turn it over to-- who's starting? You? ...

Recorded on: Apr. 8, 2013

WILLIS J. GOLDSMITH: I hesitate to say we've saved the best for last, but maybe we have. We have an ethics presentation that as in the past, I know is today going to be just terrific. Just to introduce people, to my right is Jill Rosenberg, John Gaal to her right, Laura Schnell, and Karen Mitchell. Again, the biographical materials are in the handout. And I commend you to read them, as well as the general materials that they've prepared. And so with ...