transcript   Transcript

Defending the Gatekeeper: When In-House Counsel and Compliance Professionals are Investigated

Recorded on: Sep. 29, 2017
Running Time: 01:31:04

Full Transcript:

If you are a Privileged Member, just log in and start reading now! If you are not a Privileged Member, please click here to learn how unlimited access to PLI programs may be right for you and your firm.

To access the streaming media of this presentation, please purchase the corresponding seminar segment.

Taken from the Web Program Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2017 recorded September 2017 in New York.

Defending the Gatekeeper: When In-House Counsel and Compliance Professionals are Investigated [01:31:04]
  • How to defend an in-house lawyer or compliance person in a DOJ or SEC investigation
  • Can an in-house or outside lawyer divulge privileged communications in defending themselves?
  • What are the implications on the privilege of such a defense on the investigation and ensuing litigation?
  • When will the government charge an individual versus the employer for compliance failures?
  • Recent government investigations of in-house counsel and compliance professionals and successful defense strategies

Panel Leader: Lee S. Richards, III
Speakers: Samantha Leventhal, Lynn A. Neils, Hank B. Walther, Peter H. White

The purchase price of this segment includes the following article from the Course Handbook available online:

  • Defending the Gatekeeper: When In-House Counsel and Compliance Professionals Are Investigated (Including Attachments 1-5)
    Lee S. Richards
  • Financial Conduct Authority, Conduct Risk 5 Questions (July 6, 2015)
    Lee S. Richards
Samantha J Leventhal ~ Managing Director, Chief Risk Officer - US Wealth Management and Merrill EDGE, Bank of America Merrill Lynch
Lynn A. Neils ~ Baker Botts LLP
Lee S. Richards ~ Richards Kibbe & Orbe LLP
Hank B. Walther ~ Jones Day
Peter H White ~ Schulte Roth & Zabel
Transcript FAQ's
  • How Can I Access Transcripts?
    You must be a Member in good standing.

  • Can I access the Video?
    Yes, you can access the video if you have the Adobe Flash plugin installed. Click on the video camera icon when you mouse over each paragraph. The media will begin playback at that point.

  • Can I get CLE credit for reading the transcript?
    No, CLE credit cannot be earned for reading a transcript. CLE credit is issued only for verified attendance while watching a web program. If seeking credit, please verify the program's eligibility for credit and expiration date in your jurisdiction on the web segment launch page before commencing the program.

  • twitter
  • LinkedIn
  • YouTube
  • RSS

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.