Storming the Gatekeepers: When Compliance Officers & In-House Lawyers Are at Risk 2019: PLI Boston Groupcast

  • Product Number: 2200052VC1
  • CLE Credits, earn up to:
    7 substantive credits, 0 ethics credits CLE Credit Note
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  • Product Description
  • Agenda & Materials
  • Pricing
  • Product Description

    Product Description

    Why You Should Attend

    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 hypotheticals 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.

    What You Will Learn

    • 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

    Who Should Attend

    This program will be of interest to in-house counsel, compliance professionals and outside lawyers who represent them.

    Program Level: Overview

    Prerequisites: General knowledge of compliance and corporate misconduct issues

    Intended Audience: In-house counsel, compliance professionals and outside lawyers who represent them

    Advanced Prep: None

  • Agenda

    Agenda & Materials

    • 9:00 AM EDT

      Opening Remarks and Introduction

    • 9:15 AM EDT

      The Responsibilities of In-House Counsel and Compliance Personnel

      What are the types of “red flags” that should prompt gatekeepers to take action? What does the government expect from in-house counsel and compliance personnel when they are exposed to “red flags”? What are the risks to in-house counsel and compliance personnel whose responses are viewed as inadequate? How can compliance and legal teams minimize their own liability and protect their employers at the same time? What can and should management do to supervise compliance and legal functions What lessons can be learned from recent government cases
    • 10:45 AM EDT

      Networking Break

    • 11:00 AM EDT

      Is Everything Privileged? Limitations on Privilege in the Compliance Area

      What hat are you wearing: The line between compliance and legal functions of in-house counsel When and how does the work product protection apply in government investigations? How to plan for the possible waiver of arguably privileged communications The reliance on counsel defense: what is it and what are its consequences? The government’s increased reliance on the Crime-Fraud Exception to the Attorney-Client Privilege Recent cases raising privilege issues
    • 12:30 PM EDT


    • 1:45 PM EDT

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

      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
    • 3:15 PM EDT

      Networking Break

    • 3:30 PM EDT

      The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals

      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?
    • 5:00 PM EDT


    Please Note

    MCLE webcasts are delivered completely online, underscoring their convenience and appeal. There are no published print materials. All written materials are available electronically only. They are posted 24 hours prior to the program and can be accessed, downloaded, or printed from your computer.

  • Pricing


    • $1,850.00 - All Registrants