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The challenges confronting corporate gatekeepers continue to mount in 2022, with disruptions from the pandemic still prevalent and the sense of global volatility compounded by the toll of the war in Ukraine. Businesses, employees, and third-party partners continue to operate under sustained pressure. History shows that an uptick in fraud-related investigations and enforcement typically follows periods of upheaval and 2022 seems primed to follow suit. Corporate accountability remains an enforcement priority for the DOJ and SEC, and both authorities have recently also renewed their focus on individual liability for gatekeepers, such as lawyers, accountants, underwriters, and auditors, who the authorities view as the first line of defense against misconduct. Faced with this reality, what should gatekeepers know in order to best protect their companies and themselves?
This program is designed for corporate gatekeepers and the lawyers who represent them. It features experienced in-house and outside counsel, chief compliance officers, and both recent and current government officials who will use hypotheticals to discuss a variety of topics concerning the responsibilities and conduct of gatekeepers and provide practical advice dealing with the government’s increased policing of gatekeepers.
What You Will Learn
- Know the responsibilities of and inherent risks to gatekeepers
- Aligning internal protocol with the government’s expectations of gatekeepers
- Understand the role and function of external auditors as gatekeepers
- Strategies for defending gatekeepers in civil and regulatory litigation and enforcement actions
- Navigate privilege challenges
- Ethical considerations for gatekeepers
- **Hot Topic** What you should know about the DOJ’s new policy on CCO certifications in settlements
Analyze hypothetical scenarios through a fun and informative animation depicting real issues faced by corporate officers.
Program Level: Overview
Prerequisites: Some experience with federal regulatory compliance matters
Intended Audience: Intended Audience: In-house counsel, defense counsel with focus on government investigations, human resources professionals, executive managers, compliance officers
Advanced Prep: None