In-House Counsel's Evolving Duties: Statutory, Fiduciary and Ethical
Meeting Attorney Obligations During Investigations, Enforcement Actions, Litigation and Compliance Matters
Recording of a 90-minute CLE webinar with Q&A
This CLE course will prepare in-house attorneys to navigate the statutory, fiduciary and ethical pitfalls inherent in their evolving role. The panel will discuss best practices for in-house counsel to fulfill their duties and minimize liability exposure.
Outline
- Introduction - role of in-house counsel
- Multiple roles and duties of in-house counsel
- Counsel in trouble – cautionary case studies
- Advising on non-legal risks
- Legal duties of in-house counsel
- Fiduciary duties
- Ethical duties
- Sarbanes-Oxley
- Compliance functions
- Minimizing liability exposure
- Reporting of corporate wrongdoing
- Document retention and production
- Representations to government authorities
- Compliance with regulatory requirements and agreements
Benefits
The panel will review these and other key questions:
- What are the legal and ethical obligations of in-house counsel during investigations, regulatory enforcement actions, litigation and compliance matters?
- What privileges are potentially at risk to in-house counsel as a result of the dual role as advisor to and advocate for a company — and how can the in-house counsel avoid compromising any legal protections?
- What are the best practices for in-house counsel to routinely employ to meet their corporate obligations and minimize individual liability?
Following the speaker presentations, you'll have an opportunity to get answers to your specific questions during the interactive Q&A.
Faculty
Jonathan S. Sack
Principal
Morvillo Abramowitz Grand Iason Anello & Bohrer
He has extensive experience representing individuals and companies in federal and state criminal, civil and regulatory... | Read More
He has extensive experience representing individuals and companies in federal and state criminal, civil and regulatory proceedings, and conducting internal investigations. He regularly publishes articles and speaks on varied topics, including ethical and practical aspects of internal investigations. He previously served for many years as a federal prosecutor in the Eastern District of New York.
CloseJohn G. Moon
Partner
Miller & Wrubel
He defends financial institutions, public companies and executives in investigations and enforcement proceedings... | Read More
He defends financial institutions, public companies and executives in investigations and enforcement proceedings brought by the SEC, FINRA, DOJ and other regulatory entities, as well as in civil securities litigation. He has many years of experience as an Enforcement Branch Chief at the SEC, a Federal Prosecutor in the Fraud Section of the U.S. Department of Justice, and a securities attorney.
CloseNoah B. Perlman
Managing Director, Global Head of Special Investigations for Legal and Compliance Division
Morgan Stanley
He conducts and supervises internal investigations for all of the company’s business units and represents the... | Read More
He conducts and supervises internal investigations for all of the company’s business units and represents the Firm in criminal and regulatory inquiries. His group also issues and tracks sales practice related discipline for the Firm’s retail brokerage employees and oversees the Firm’s compliance with various regulatory reporting requirements.
Close