Corporate and Securities

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Current Ethical Issues for In-House Counsel & Those Who Advise Them

This ethics program is designed especially for in-house counsel and outside counsel advising their in-house clients. Using a stimulating series of hypotheticals based on real-life experience, a panel of experts will review a variety of important professional responsibility issues that affect corporate counsel on a daily basis. More

Original Recording Date: 6/1/2015

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  • $177.00
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Insider Trading 2014: New Developments in Investigating, Prosecuting & Defending Cases

Insider trading continues to be a high enforcement priority for both the SEC and DOJ. Both agencies have devoted unprecedented resources to investigating insider trading violations, continue to employ aggressive investigative techniques, and ventured into new substantive territories and prosecution theories. More

Original Recording Date: 10/20/2014

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  • $118.00
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Insider Trading and Other SEC Enforcement Claims

In the wake of the financial crisis, the SEC, under the Dodd-Frank Act, may now impose a civil penalty in an administrative proceeding against any person or company. Critics claim that the limited discovery, absence of right to a jury trial, and use of "in-house" administrative law judges raise constitutional and ethical questions concerning whether administrative proceedings are adequate forums for insider trading and other SEC enforcement claims. More

Original Recording Date: 3/2/2015

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  • $177.00
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Recent Developments in Document Retention: Legal, Ethical & Practical Advice in the Context of Criminal, Regulatory & Civil Litigation

This program will provide practical advice and ethical guidance for in-house and outside counsel confronted with document retention issues in the context of criminal and regulatory investigations, as well as civil litigation. Experts will discuss the proper design and implementation of document retention policies, the legal requirements that arise in the context of investigations and litigation, and penalties and other sanctions that have been imposed for document retention failures. More

Original Recording Date: 10/21/2014

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  • $177.00
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Representing Clients in Federal & State Criminal Tax Investigations: Defense Strategies & Prosecution Initiatives Every Attorney Needs to Know

This program will focus on strategies that attorneys can use to best represent taxpayers under criminal investigation. Topics to be covered include elements of commonly prosecuted federal and state tax crimes, current IRS and DOJ tax prosecution initiatives, (particularly foreign bank account investigations), voluntary disclosures to state and federal authorities, reacting to the commencement of a criminal investigation, administrative vs. More

Original Recording Date: 6/9/2014

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  • $177.00
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Securities Arbitration & Mediation Hot Topics 2015

Recent rule changes and events in financial marketplaces have brought fundamental changes to securities arbitration and mediation. A premier faculty of experienced practitioners, including senior representatives from FINRA Dispute Resolution, will examine rule changes, decisions, and future developments. More

Original Recording Date: 5/19/2015

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  • $206.50
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The Many Hats of the In-House Counsel

8:00 a.m. Check-in Begins 8:25 a.m. Introductions 8:30 a.m. " The best offense is a good defense." Understanding and safeguarding the attorney-client privledge Moderated by Bonnie Paskvan with Jahna Lindemuth, Dorsey & Whitney LLP; Jon Dawson, Davis Wright Tremaine; Billy Wailand, GCI. More

Original Recording Date: 1/28/2015
CLE Credits (60): 3.0 Total
Ethics Credit (60): 1.0 hours

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  • $109.00