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The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals

Recorded on: Sep. 7, 2018
Running Time: 01:30:10

Full Transcript:



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Taken from the Web Program Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2018 Recorded September 2018 in New York

The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals [01:30:10]
  • The government’s view on how in-house counsel and compliance officers can and should discharge their duties
  • What does the DOJ consider in evaluating the conduct of in-house counsel and compliance personnel?
  • How do the SEC and FINRA scrutinize the knowledge and actions of in-house counsel and compliance personnel?
  • When is proceeding against an employer for compliance failures not sufficient?
  • When does a lawyer or compliance officer cross the line into criminal behavior?
  • Can lawyers or compliance officers be whistleblowers?

Panel Leader: Linda Chatman Thomsen

Speakers: Joseph K. Brenner, MaryJeanette Dee, Jacquelyn Kasulis, Kevin J. O’Connor

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:
  • The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals
    Linda Chatman Thomsen
  • Michael Delikat, Who Is Blowing the Whistle Now? What We Need to Know and Learn from Bio-Rad (June 26, 2018)
    Richard J. Morvillo
(s)
Joseph K. Brenner ~ Chief Counsel, Division of Enforcement, U.S. Securities and Exchange Commission
MaryJeanette Dee ~ Sheppard Mullin Richter & Hampton LLP
Jacquelyn Kasulis ~ Chief, Business and Securities Fraud Section, U.S. Attorney's Office, Eastern District of New York, U.S. Department of Justice
Kevin J. O'Connor ~ Chief Legal Officer, Point72 LP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
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