Course Handbook  Course Handbook

Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2017

Publication Date: September 2017 Number of Volumes: 1
ISBN Number: 9781402429897 Page Count: 254 pages


Download: Table of Contents    Index

Table of Contents
Chapter 1: Samuel J. Winer, Brooke D. Clarkson, Jenlain A. Coyle, and Daniel A. Nathan, In-House: SEC Enforcement Actions Against Compliance Officers Daniel A. Nathan ~ Morrison & Foerster LLP
Samuel J. Winer ~ Foley & Lardner LLP
Chapter 2: Sandra M. Hanna, Khiran Sidhu and Lindsay B. Arrieta, Privilege Under Fire: Practical Guidance for Privilege Considerations in Internal Investigations and Government Investigations Sandra M. Hanna ~ Bruch Hanna LLP
Chapter 3: A Lawyer’s Ability to Use Confidential Information to Defend Against Allegations of Misconduct: Relevant New York Ethical Rules James J. Benjamin, Jr. ~ Akin Gump Strauss Hauer & Feld LLP
Chapter 4: MaryJeanette Dee and Sarah Aberg, Communications with Compliance—What’s Privileged and What Isn’t (July 7, 2017) MaryJeanette Dee ~ Sheppard Mullin Richter & Hampton LLP
Chapter 5: Defending the Gatekeeper: When In-House Counsel and Compliance Professionals Are Investigated (Including Attachments 1-5) Lee S. Richards ~ Richards Kibbe & Orbe LLP
Chapter 6: Financial Conduct Authority, Conduct Risk 5 Questions (July 6, 2015) Lee S. Richards ~ Richards Kibbe & Orbe LLP
Chapter 7: Susan L. Merrill and Nathalie Petritis, Trends in Individual Liability for Compliance Officers: What Leads the Government to Sue a Compliance Person or In-House Lawyer? Susan L. Merrill ~ Sidley Austin LLP
Chapter 8: Andrew Ceresney, Director, Division of Enforcement, U.S. Securities and Exchange Commission, Speech, 2015 National Society of Compliance Professionals, National Conference: Keynote Address (November 4, 2015) Richard J. Morvillo ~ Morvillo LLP
Chapter 9: Mary Jo White, Chair, U.S. Securities and Exchange Commission, Speech, Remarks at National Society of Compliance Professionals National Membership Meeting (October 22, 2013) Richard J. Morvillo ~ Morvillo LLP

This Course Handbook was compiled for the program, Storming the Gatekeepers When Compliance Officers and In-House Lawyers Are at Risk 2017.

PLI’s nationally acclaimed course handbooks represent the definitive thinking of the nation’s finest legal minds on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Richard J. Morvillo, Morvillo LLP

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