Live in New York and live webcast available.
Jay A. Dubow, a partner with Pepper Hamilton, a member of the firm’s White Collar Litigation and Investigations Practice Group and a co-chair of the Securities and Financial Services Enforcement Group, will be speaking at the Practising Law Institute's program "Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk." Mr. Dubow will be participating on the 9:15–10:45 AM panel titled "The Responsibilities of In-House Counsel and Compliance Personnel."
Key topics include:
- 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?
CLE credit available.