transcript   Transcript

Ethics and Whistleblower Developments: Challenges to Be Aware of When Preparing and Reviewing Disclosure Documents

Recorded on: Dec. 14, 2016
Running Time: 00:57:26

Full Transcript:



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Taken from the Web Program Annual Disclosure Documents 2016 recorded December, 2016 in New York.

Ethics and Whistleblower Developments: Challenges to Be Aware of When Preparing and Reviewing Disclosure Documents [00:57:26]
  • Appearing and practicing before the Commission – an update on Rule 102(e) proceedings
  • Renewed focus on lawyers as gatekeepers and their related liabilities under the securities laws
  • Whistleblower developments under Section 21F of the Securities Exchange Act of 1934
  • SOX 307 and the SEC’s up-the-ladder attorney reporting requirements
  • Impact of these issues and challenges on lawyer’s obligations with respect to ethical behavior, competence, conflicts of interest and other professional responsibilities

Speakers: Michael L. Hermsen, Kenneth R. Lench, Joan E. McKown


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

  • SEC Proceeding Against Attorneys FY2016 (August 12, 2016)
    Joan E. McKown
  • SEC Announces First Enforcement Action Against Company for Stifling the Whistleblowing Process by Improperly Using Restrictive Language in Confidentiality Agreements, Cleary Gottlieb Alert Memorandum (April 2, 2015)
    Sandra L. Flow, Elizabeth (Lisa) Vicens
  • Relevant New York Rules of Professional Conduct (January 1, 2014)
    Michael L. Hermsen

Presentation Material

  • Ethics: Developments and Challenges
    Michael L. Hermsen, Kenneth R. Lench, Joan E. McKown
(s)
Michael L Hermsen ~ Mayer Brown LLP
Kenneth R Lench ~ Kirkland & Ellis LLP
Joan E McKown ~ Jones Day
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