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Helplines, Investigation and Responding to Misconduct

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Recorded on: Jun. 3, 2014

REBECCA WALKER: All right. Now we're going to get started with our lunch time simulation exercise. As I think has been clear throughout the morning, you can't really talk about one program element without bringing in all the others. So when we talked about audit and assessment just now, we also talked about program structure, we talked about training, and you really need all of the different components of a program to make it work well together. This ...

Board Oversight and Program Structure: The Authority and Independence of a Program

Transcripts  Transcripts    

Recorded on: Jun. 3, 2014

REBECCA: Along those lines, we're going to do some benchmarking in the next day and a half. Not a ton of it I think. At the last Compliance and Ethics Institute I maybe forced a little too much benchmarking at you all and got a little feedback that we don't need to do it for every single panel. So we're cutting back a little bit, but I think it's really very helpful. In part because it informs our discussion here today, and in part because it gives ...

Audit/Assessment: Ensuring the Effectiveness of a Program

Transcripts  Transcripts    

Recorded on: Jun. 3, 2014

REBECCA WALKER: OK, let's get started. Now I know this about this group. I give you guys a little break, and everybody stays in the break room for 20 minutes. This is not good for compliance. But we do need to get started because we want to stay on time, which is important to our compliance with PLI's requirements and your CLE requirements. Before we get going on the next panel, which is on audit and assessment-- actually, if we could get the slide ...

Schuette v. Coalition to Defend Affirmative Action and the Roberts Court's Vision of a Post-Racial America 2014 (Free Audio-only)

Transcripts  Transcripts    

Recorded on: Jun. 3, 2014

AMY TAUB: Thank you. Hello. My name is Amy Taub, and I'm a program attorney with PLI. I would like to welcome you to today's briefing. Schuette versus Coalition to Defend Affirmative Action, and the Roberts Court's vision of a Post-Racial America. Before I begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access ...

Ethics for Compliance Lawyers and Compliance Officers

Transcripts  Transcripts    

Recorded on: Jun. 3, 2014

REBECCA WALKER: Hello, these are for you. We are going into the next panel, ethics for compliance lawyers and compliance officers. And a lot of these issues actually revolve around investigations as well. So we'll probably touch on some of that. And we'll touch a little more on attorney-client privilege issues as well-- who is the client issues. So things that we've already discussed that, I think, helpful to go into in a little bit more detail. To ...

Social Media

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Recorded on: Jun. 3, 2014

REBECCA WALKER: OK. Alright. We're going to get started on our final session of the conference. And it's a good one. It's a great topic. Social media. I noticed on Seth Cohen's list of his PricewaterhouseCoopers risk list, where they had asked compliance officers around the world to rank risks, social media was actually kind of near the bottom. It was like one of the last three or four risk areas. But I do think it's a risk that we are all taking ...

Global Compliance Issues and Compliance for Third Parties

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Recorded on: Jun. 3, 2014

REBECCA WALKER: And I promised this several times yesterday, that we would talk about international issues. And we have obviously been talking about that throughout the last day and a bit. But in this panel, we're going to really focus on the challenges of implementing a program across various regions of the world. There are a host of challenges that present, including the legal and regulatory, cultural, language issues. All kinds of problems arise. ...

Codes, Training and Communications

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Recorded on: Jun. 3, 2014

REBECCA: Ed, you're going to go first. Yes. We go straight into talking about codes and policies and training. I know there's some folks here are fairly new to compliance, so we are trying in the next day and a half to cover the most important elements of the compliance program. When we say program elements, we're talking about really going back to the sentencing guidelines as seven elements of an effective program, the first of which is standards-- ...

Compliance and Ethics Risk Assessments: The Foundation of Effective Programs

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Recorded on: Jun. 3, 2014

REBECCA WALKER: Hey, guys. So, good morning, everyone. Welcome back. I'm delighted to see you all came back after that marathon session we had yesterday. I apologize for that. Although really, truly, it was because the conversation was so good and so rich. It was hard to cut it off. Anyway, it was a great day yesterday. And we're going to continue with that this morning. I promise you a short day-- just a half day today. We talked a little about ...

Hot Topics in Compliance and Ethics

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Recorded on: Jun. 3, 2014

REBECCA WALKER: OK, everyone. We're going to get started with the last panel of the day. First of all, thank you so much to all of you for your amazing questions and contributions. It's been a very fun and active afternoon, and I really appreciate your role in that. I do want to do shout out to the webcast folks. The room here has been wonderful. You've guys have been a little quiet, so if you are on the webcast and you have questions or comments, ...

Multi-Forum Litigation

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Recorded on: May. 29, 2014

STEPHEN P. LAMB: So welcome back. Our next panel, we will be discussing the phenomenon of multi-jurisdictional litigation, which sounds more benign than it is. It's where, in the same set of facts, in the same transaction involving all the same players, lawsuits are filed in many different, or at least several jurisdictions. Attacking the same thing and seeking the same relief. It just creates sort of headaches for everyone about how to manage it. ...

Recent Developments in Delaware Law

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Recorded on: May. 29, 2014

STEPHEN LAMB: The first panel-- I'm going to go down, beginning-- starting out right after Greg-- our first panelist is Paula Howell Anderson, who is a partner at Shearman & Sterling in New York. This is, I think, the second or third time Paula has graced this panel with her presence. Am I wrong? Is it more than that? PAULA ANDERSON: No, it's not more than that. STEPHEN LAMB: Good. Next to Paula is Hank Gallagher-- oh, wrong, sorry. Next to ...

JOBS Act Implementation Update 2014 (Audio-only)

Transcripts  Transcripts    

Recorded on: May. 29, 2014

AMY TAUB: Thank you. Hello. My name is Amy Taub, and I'm a program attorney with PLI. I would like to welcome you to today's briefing, the JOBS Act Implementation Update. Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to materials for this briefing via the course material tab in the program ...

Appraisal Litigation

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Recorded on: May. 29, 2014

GREGORY P. WILLIAMS: Let's go ahead and get started. As I said this morning, there has been increased attention in Delaware to the vehicle of appraisal. Section 262 provides for the court to determine the fair value of shares as of the date of the merger, and we've seen more and more stockholders interested in pursuing that remedy. And so we're going to discuss that. And we have a really expert panel to do so. To my immediate left is my partner, ...

Recent Developments with LLCs and Limited Partnerships

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Recorded on: May. 29, 2014

GREGORY P. WILLIAMS: All right, folks. We're going to start back. Not everybody has made their way back from lunch. It will be their loss if they miss any part of this next panel. Let me start, though, by making a clarification I've been asked to make on behalf of one of our speakers this morning. There was a statement made to the effect that the Committee of Corporate Attorneys that recommends changes to the corporate law unanimously adopted, voted ...

Before Series A - Convertible Note and Series Seed Funding for Startups 2014 (Audio-only)

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Recorded on: May. 27, 2014

AMY TAUB: Hello. My name is Amy Taub, and I'm a program attorney with PLI. I would like to welcome you to today's briefing, "Before Series A-- Convertible Note and Series Seed Funding for Startups." Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to materials for this briefing via ...

Information Security Issues

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Recorded on: May. 23, 2014

STEVEN B. ROOSA: Hello, everybody. Welcome to this morning's session here. We're going to talk about the recent OCC guidance from fall of last year, the NIST framework, and also a little bit on mobile security. We've got 60 minutes, so buckle up. It's going to be a little bit of a whirlwind. We're going to self-introduce here. I'm going to start with myself. I am the co-chair of the privacy and data security team in Holland & Knight. I'm also ...

Impact of Dodd-Frank Act

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Recorded on: May. 23, 2014

MODERATOR: Our next panel is Impact of Dodd-Frank Act, Managing Outsourcing Risk. And to my immediate left, your right, is Jane Shahmanesh. Jane, in her 25 years of securities, corporate, and a compliance lawyer, mostly in house at a who's who of financial institutions, has seen almost every legal situation and worked with every regulator. She understands the interplay and rules of markets, negotiates complex regulatory environments, shapes, and deals, ...

Consultants to Financial Services Industry

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Recorded on: May. 23, 2014

RICHARD: Welcome back. And this is our last session. But it's a good one. It's What's the Consultant's View to the Financial Services Industry. And we have with us as a speaker Dennis Conley, who's a managing partner of Transition Partners. Dennis is in the management consultancy headquartered in Reston, Virginia. He's a senior business and information technology executive and transformation leader with over 20 years of broad corporate and consulting ...

Risks of Social Media

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Recorded on: May. 23, 2014

RICHARD: So all these regulations in the last six months, where did they come from? Again, my opinion. On February 12, 2013 President Obama issued Executive Order 13636 improving critical infrastructure at cybersecurity. And I just pulled out two sentences from that executive order. "Repeated cyber intrusions into critical infrastructure demonstrate the need for improved cybersecurity. The cyber threat to critical infrastructure continues to ...

Strategic Alliances -- Ownership of IP and Data

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Recorded on: May. 23, 2014

RICHARD RAYSMAN: OK. Welcome back to our afternoon session for Financial Services IT: Avoidance of Risk. And I think we had a great morning session. Of course, I'm a little biased, but I think it was actually quite good. And I think we have a great afternoon session. Our first topic for the afternoon is Strategic Alliances-- Ownership of IP and Data. And we're going to run this as a panel discussion. It'll be interactive. I wanted to introduce the ...

Vendor Service Providers to Financial Institutions

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Recorded on: May. 23, 2014

RICHARD: Welcome back for our next session. We thought we'd give you, we had some customer side viewpoints, and actually, this afternoon, we'll also have some more customer side viewpoints. But what do all these obligations mean for the service providers that are going to be providing services? What kind of demands are going to be made on them? Lou Ricciardi, earlier today at the last session, talked about the OCC compliance management. So the customers ...

Medical Provider Claims and ERISA Litigation 2014 (Audio-only)

Transcripts  Transcripts    

Recorded on: May. 22, 2014

AMY TAUB: Hello, my name is Amy Taub. And I am a program attorney with PLI. I would like to welcome you to today's briefing, Medical Provider Claims and ERISA litigation. Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to materials for this briefing via the course materials tab in the program ...

Adjusting Your American Advertising Campaign for the International Stage

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Recorded on: May. 21, 2014

RANDI W. SINGER: While everybody's getting settled, here, I'm going to go ahead and start introducing them. So now we're going to talk about adjusting your American advertising campaign for the international stage. Because increasingly, nobody bothers to put together an amazing campaign if it's only going to be the Americas, because brands are increasingly global, and the internet is, obviously, a global medium. So what we want to talk about is, how ...

The Plaintiff's Side

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Recorded on: May. 21, 2014

JEREMY FEIGELSON: OK, good morning again. It's 10:45, and welcome back to those on the web, and those in the room. We are going to start now with our panel, the Plaintiff's Side. I think it's probably fair to say that most of us who've registered for this program are-- sitting either in person or on the web-- tend to represent advertisers. But there is obviously a whole other side to the world of advertising law, and that is the plaintiff's side, ...

Featured Faculty/Authors
Jan Witold Baran

Jan Witold Baran ~ Wiley Rein LLP

Kenneth A. Gross

Kenneth A. Gross ~ Skadden, Arps, Slate, Meagher & Flom LLP

Chip Nielsen

Chip Nielsen ~ Nielsen Merksamer Parrinello Gross & Leoni LLP