transcript   Transcript

Ethics in the Enforcement Context: Spotting and Solving the Issues

Recorded on: Nov. 13, 2017
Running Time: 01:01:38

Full Transcript:



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Taken from the Web Program 49th Annual Institute on Securities Regulation recorded November 2017

Ethics in the Enforcement Context: Spotting and Solving the Issues [01:01:38]

  • Multiple representation  issues
  • Ethical pitfalls in conducting internal investigations
  • Privilege waiver issues
  • Conflicts of interest
  • SOX Section 307: Rules of Professional Responsibility For Attorneys
  • Lawyers as whistleblowers

Moderator: Simon M. Lorne
Speakers: David M. Becker, William R. McLucas, Robert H. Mundheim, James Q. Walker

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

  • Ethics in the Enforcement Context: Spotting and Solving the Issues: Hypothetical I
    Simon M. Lorne
  • Ethics in the Enforcement Context: Spotting and Solving the Issues: Hypothetical II
    Simon M. Lorne
  • Ethics in the Enforcement Context: Spotting and Solving the Issues: Hypothetical III
    Simon M. Lorne
  • Ethics in the Enforcement Context: Spotting and Solving the Issues: Hypothetical IV
    Simon M. Lorne
  • Ethics in the Enforcement Context: Spotting and Solving the Issues: Hypothetical V
    Simon M. Lorne
  • Ethics on the Enforcement Context: Spotting and Solving the Issues
    James Q. Walker
Presentation Material
  • Ethics in the Enforcement Context: Spotting and Solving the Issues
    David M. Becker, Simon M. Lorne, William R. McLucas, Robert H. Mundheim, James Q. Walker
    (s)
    David M Becker ~ Cleary Gottlieb Steen & Hamilton LLP
    Simon M Lorne ~ Vice Chairman and Chief Legal Officer, Millennium Management LLC
    William R McLucas ~ Wilmer Cutler Pickering Hale and Dorr LLP
    Robert H Mundheim ~ Shearman & Sterling LLP
    James Q Walker ~ Richards Kibbe & Orbe LLP
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