transcript   Transcript

Defending the Gatekeeper: When In-House Counsel and Compliance Professionals Are Investigated

Recorded on: Sep. 7, 2018
Running Time: 01:30:31

Full Transcript:

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Taken from the Web Program Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2018 Recorded September 2018 in New York

Defending the Gatekeeper: When In-House Counsel and Compliance Professionals Are Investigated [01:30:31]
  • How to defend an in-house lawyer or compliance person in a DOJ, SEC or FINRA investigation
  • Can in-house or outside lawyers divulge privileged communications in defending themselves?
  • When should you raise a “reliance on counsel” defense and what happens to the privilege if the defense is explicitly or implicitly waived?
  • What are the implications on the privilege of such a defense on the investigation and ensuing litigation?
  • When will the government charge an individual versus the employer for compliance failures?
  • Recent government investigations of in-house counsel and compliance professionals and successful defense strategies

Panel Leader: Wayne M. Carlin

Speakers: Carrie H. Cohen, Michael D. Trager, Jonathan R. Tuttle

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:
  • Wayne M. Carlin and Carol Miller, Defending the Gatekeeper: When In-House Counsel and Compliance Professionals Are Investigated
    Wayne M. Carlin
  • Michael D. Trager, Joshua R. Martin, and Adam J. Reinhart, Checklist for Responding to Governmental and Regulatory Investigations (June 2018)
    Michael D. Trager
  • Hastings Law Journal, Vol. 69:45, pg. 45–95, “The Big Chill”: Personal Liability and the Targeting of Financial Sector Compliance Officers
    Court E. Golumbic
  • Jonathan R. Tuttle, Ada Fernandez Johnson and Eileen Zelek, Reliance-on-Counsel Defense in the Governmental Investigation Context: Weighing the Perils and Pitfalls (June 28, 2018)
    Jonathan R. Tuttle
Wayne M. Carlin ~ Wachtell, Lipton, Rosen & Katz
Carrie H. Cohen ~ Morrison & Foerster LLP
Michael D. Trager ~ Arnold & Porter
Jonathan R. Tuttle ~ Debevoise & Plimpton LLP
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