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:



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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
(s)
Samantha J Leventhal ~ Managing Director, 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
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