ERISA Counsel and Attorney-Client Privilege: What You Don't Know About the Fiduciary Exception Could Hurt You
Recording of a 90-minute premium CLE video webinar with Q&A
This CLE course will examine ERISA fiduciary exceptions to attorney-client privilege, the majority view, and how some jurisdictions differ. The panel will explain best practices for preserving the privilege given conflicting court rulings on when the fiduciary exception applies and when it does not.
- The attorney-client privilege
- Parameters of ERISA fiduciary exception
- Who is a fiduciary?
- Who is the client?
- Scope of fiduciary functions subject to the exception and limitations of exception
- Work product
- Recent court rulings on the ERISA fiduciary exception
- Best practices for preserving the privilege
The panel will review these and other key issues:
- What lessons do court rulings offer counsel in developing best practices and advising ERISA plan fiduciaries to protect communications with counsel?
- In what circumstances can counsel defend the privilege in fiduciary conduct and communications--and how can counsel navigate the grey areas?
- How is work product distinguished from client communications--and how can counsel keep work product shielded from disclosure?
David R. Johanson
Hawkins Parnell & Young
Mr. Johanson assists clients in general corporate matters and in employee ownership, benefit, ERISA, and related... | Read More
Mr. Johanson assists clients in general corporate matters and in employee ownership, benefit, ERISA, and related business matters, with an emphasis on executive compensation, equity incentive plans, non-qualified deferred compensation, ESOPs, ESOP transactions, mergers and acquisitions and related tax planning, and business succession and estate planning. He defends ERISA fiduciaries, plan sponsors, selling shareholders, and investment advisers in ERISA litigation matters involving ESOPs and business transactions in federal and state courts throughout the country in a wide range of controversies covering ERISA fiduciary responsibilities, ESOP valuation disputes, disclosure obligations, investment issues, and tax matters. He has extensive experience in negotiating ESOP, ERISA, and other issues with government regulatory agencies and in representing ERISA fiduciaries in litigation. Recognized nationally for his experience and expertise in the ESOP and executive compensation field, he is a past chair of the legislative and regulatory advisory committee of The ESOP Association.Close
Craig C. Martin
Willkie Farr & Gallagher
Mr. Martin serves as Chairman, Midwest for the firm, a member of the Executive Committee, and a partner in the... | Read More
Mr. Martin serves as Chairman, Midwest for the firm, a member of the Executive Committee, and a partner in the Litigation Department. A leading national trial lawyer, his clients include major Chicago companies and some of the nation’s most influential families, and he regularly appears as lead counsel in trials and appeals in state and federal courts as well as in domestic and international arbitrations. Mr. Martin also counsels boards and board committees of public and private companies and law firms on a variety of sensitive and complicated matters, and conducts board and management-driven investigations involving various subjects domestically and internationally.Close