Compliance And Ethics

Discover what happens behind closed doors during settlement negotiations with the SEC. Hypothetical scenarios and role-playing will facilitate a model face-to-face “negotiation” with the SEC, providing insight into negotiating the terms and the language of a settlement order, including penalties, charges, mitigation language, and whether employees are named as defendants or respondents.

This Guide to Conducting an Effective Internal Investigation (“Guide”) sets forth how to investigate effectively matters arising within the company that have been referred to the legal department. This Guide does not address how to determine whether a matter should be referred to the legal department as opposed to another corporate function. Even though this Guide is designed to provide this guidance to the legal department in conducting Investigations, many of the principals in the Guide are universal and could be applied to investigations conducted by non-lawyers.

The goods have your logo, but they aren't your company's products. Learn the best practices that corporate counsel should follow to most effectively protect against the growing problem of counterfeit and gray market goods. We begin with a discussion of the current state of the law including the most relevant cases, key statutory provisions and current governmental policies. Then, we look ahead to discuss current plans and proposals to improve the present protection available to companies. We conclude with the speakers discussing their relevant experiences both in the U.S. and abroad in addressing these problems and the real world solutions they used to achieve success. The course materials included will provide resource materials such as checklists, recommended policies and resource lists, including relevant URLs, bibliographies, essential governmental bodies and articles to help attendees combat these two growing problems.