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Current Ethical Issues in Securities Law (Webcast)


Current Ethical Issues in the Practice of Securities Law: Investigating Allegations of Fraud in a Public Company

Wednesday, November 17, 2021 | 9:00 am - 11:00 am

Program Fee:

$149 for Members | $249 for Nonmembers
Members who are Law Students, Recent Law Graduates, Newly Admitted Lawyers (admitted for the first time in any state or country 2019-2021), In-House/Corporate Counsel, Judges, and attorneys that practice within the Government, Academic or Not-for-Profit sectors attend this program for free.

CLE Credit:
New York: 2.0 Ethics
New Jersey: 2.1 Professional Responsibility
California: 2.0 Professional Responsibility
Pennsylvania: 1.5 Professional Responsibility
Connecticut: Available to Licensed Attorneys

This program provides transitional/non-transitional credit to all attorneys

A public company compliance crisis, such as the discovery of possible accounting fraud, can have extreme ramifications, including law enforcement issues, financial reporting and accounting, and ethical complications for counsel – all in a fast-paced scenario in which the company’s survival might hang in the balance. In this high pressure scenario, counsel playing various roles confront difficult judgment calls to protect their clients while recognizing and complying with their own ethical responsibilities.

Using a role playing format that proceeds through a pre-prepared hypothetical, this two-hour program explores the ethical, strategic, and securities law issues associated with handling a major public company compliance crisis that comes to light through an anonymous whistleblower. The panelists present these issues through a pre-prepared series of role-playing vignettes, each proceeding chronologically as the crisis intensifies. We envision five panelists – each playing a specific character in the hypothetical: (1) In-house counsel for the public company; (2) outside counsel for the board’s audit committee; (3) enforcement counsel from the SEC; (4) outside counsel for the public company’s audit firm; and (5) outside counsel for the former CFO who is in the middle of the crisis.

You Will Learn About:
  • Ethical and SEC issues associated with up-the-ladder reporting for in-house/outside counsel
  • How to respond to document and information requests from the SEC in the high-pressure situation of a quickly unfolding corporate crisis
  • How to respond to and manage public company auditors in the high-pressure situation of a quickly unfolding corporate crisis
Click Here to View Program Agenda & Faculty

Program Co-Chairs:
Daniel J. Kramer, Paul, Weiss, Rifkind, Wharton & Garrison LLP
Barry Rashkover, Sidley Austin LLP

Sponsoring Association Committees:
Securities Litigation, Laura H. Posner, Chair
White Collar Crime, Marshall L. Miller, Chair

Online Event

Wednesday, 17 November 2021


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