Market Regulation Series: Critical Ethics Issues for In-House Counsel: How to Avoid Sleepless Nights
Hosted by Foley & Lardner LLP
Location, or Event type: Foley & Lardner LLP 321 North Clark Street Suite 2800 Chicago, IL
Market Regulation Series: Critical Ethics Issues for In-House Counsel: How to Avoid Sleepless Nights
Seminar, Hosted By Foley & Lardner LLP
Wednesday, May 20, 2015 - 8:30 AM
Please join our panel discussion on Critical Ethics Issues for In-House Counsel: How to Avoid Sleepless Nights, presented by Foley’s Securities Enforcement & Litigation Practice.
This program, the latest installment in our ongoing series of market regulation seminars, is an excellent opportunity to gain insight into these issues, while earning valuable Ethics CLE credits.
The panelists — featuring regulators, industry professionals, and Foley attorneys — will discuss the following topics:
Criminalization of Regulatory Violations: A Case Study in Ethics and Criminal Law
Addresses developments relating to criminal indictments for trade practice violations and issues, such as when to attain criminal defense counsel, invoking the Fifth Amendment privilege, and more.
Moderator
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Kathryn M. Trkla, Partner, Securities Enforcement & Litigation Practice, Foley & Lardner LLP
Panelists
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Julie Porter, Criminal Division Chief, U.S. Attorney’s Office in the Northern District of Illinois
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Steven Schweitzer, Regional Head of Enforcement, Chicago, CME Group Inc.
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Lisa M. Noller, Partner and Chair, Government Enforcement, Compliance & White Collar Practice, Foley & Lardner LLP
Avoiding False Steps: Ethical Issues Arising Under the CFTC’s New False Statement Authority and Existing SEC and SRO Rules
Covers formal and informal testimony, enforcement submissions, and compliance certifications.
Moderator
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Lisa L. Tharpe, Partner, Securities Enforcement & Litigation Practice, Foley & Lardner LLP
Panelists
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Susan Gradman, Chief Trial Attorney, Commodity Futures Trading Commission (CFTC)
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Miki Tesija, Senior Regional Counsel, Financial Industry Regulatory Authority, Inc.
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Ellen M. Wheeler, Partner, Securities Enforcement & Litigation Practice, Foley & Lardner LLP
Blowing the Whistle: Ethical Pitfalls for In-House Counsel
Delves into whether in-house counsel can/should advise a potential whistleblower; can a whistleblower be required to inform the firm before the authorities; and more.
Moderator
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Stephen P. Bedell, Partner, Securities Enforcement & Litigation Practice, Foley & Lardner LLP
Panelists
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Patricia Donahue, Chief Compliance Officer and Associate General Counsel, Rosenthal Collins Group, L.L.C.
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Nicholas Wendland, Chief Compliance Officer and General Counsel, Sun Trading L.L.C.
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Phillip M. Goldberg, Partner, Securities Enforcement & Litigation Practice, Foley & Lardner LLP
There is no cost to participate in this program, but pre-registration is required.