Individual Viewer

Ethical Considerations For Corporate Investigations: Views From All Sides

Length: 2 hours 49 minutes

This annual updates program will explore current issues and recent developments relating to ethical duties and responsibilities of attorneys and other participants in corporate internal investigations involving public companies.  These issues will be discussed from the point of view of counsel for the corporation, investigating counsel, counsel for individual executives and government representatives. The presentation will touch on a broad array of ethical issues, devoting special attention to current developments concerning prosecution and regulatory strategies, conflicts of interests, protection and waiver of the attorney-client privilege, counseling of employee witnesses, the federalization of ethical obligations imposed on attorneys under the Sarbanes-Oxley legislation of 2002, and the impact of the Dodd-Frank legislation of 2010. The program will also include special issues raised by global investigations, involving multinational entities.

CLE credit: New York: 3.0 ethics. New Jersey: 3.0 professional responsibility. California & Pennsylvania: 2.5 professional responsibility. 


6:00–6:15 pm    Introduction and Presentation of Hypothetical
                           Frank H. Wohl

6:15–6:35 pm    Discussion of Hypothetical – Part I
•    Representing the Company
•    What Happened to the Privilege?
•    How Many Lawyers Does One Company Need?
                           Jessica S. Carey

6:35–6:55 pm    Discussion of Hypothetical – Part II
•    Investigation Counsel – I
•    Do I Have a Client?
•    What is the Scope of the Investigation?
                          Breon S. Peace

6:55–7:15 pm    Discussion of Hypothetical – Part III
•    Investigation Counsel -- II
•    Conducting the Investigation
•    Strategies, Risks and Techniques
                           Karen Patton Seymour

7:15–7:30 pm    Break

7:30–7:50 pm    Discussion of Hypothetical – Part IV
•    Representing Corporate Executives and Other Individuals
•    Representation of Witnesses and Targets
•    Playing Well With Others:  Joint Defense Agreements  
                           Barry A. Bohrer

7:50–8:10 pm    Discussion of Hypothetical – Part V
•    Representing the Government
•    Government Expectations of Internal Investigations
•    Current Government Policies and Procedures
                           Guruanjan Sahni

8:10–8:30 pm    Ethics Wrap-Up
                           Prof. Bruce A. Green

8:30–9:00 pm    Questions and Answers

Original Recording Date: 9/30/2014

Produced By:

New York City Bar Association

Course Materials

  • Handout 1
  • Handout 2
  • Handout 3
  • *Ethical Considerations for Corporate Investigations: Views From All Sides
  • Affirmation of Self-Study