Practising Law Institute will present this overview program. In recent years, the government has focused on compliance professionals and in-house counsel, the gatekeepers who are tasked with identifying corporate misconduct. This program is designed for both gatekeepers and lawyers who represent them and will feature experienced in-house and outside counsel, chief compliance officers and government officials who will use hypothetical situations 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 the activities of gatekeepers, including:
- The inherent risks and responsibilities of gatekeepers
- Learn how to identify “red flags” and respond to them adequately
- Limitations exist on privilege in the compliance area
- How to defend a gatekeeper under investigation
- Hear about how the government thinks of the gatekeeper role
- Takeaways from recent gatekeeper investigations
Partner Ronald C. Machen will speak on a panel titled "The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals," which will cover:
- The government’s view on how in-house counsel and compliance officers can and should discharge their duties
- What does the DOJ consider in evaluating the conduct of in-house counsel and compliance personnel?
- How do the SEC and FINRA scrutinize the knowledge and actions of in-house counsel and compliance personnel?
- When is proceeding against an employer for compliance failures not sufficient?
- When does a lawyer or compliance officer cross the line into criminal behavior?
- Can lawyers or compliance officers be whistleblowers?
A live webcast and live groupcasts are also available.