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:

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 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
Michael L Hermsen ~ Mayer Brown LLP
Kenneth R Lench ~ Kirkland & Ellis LLP
Joan E McKown ~ Jones Day
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
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2017 Practising Law Institute. Continuing Legal Education since 1933.

© 2017 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.