The field of corporate compliance law – a relatively new field of legal practice – has spawned a unique set of ethical challenges for corporate compliance attorneys. The compliance field has, at the same time, grown into a profession unto itself, with its own set of (still developing) ethics principles. The web cast will explore the ethical challenges facing compliance lawyers, as well as the interplay of legal ethical standards and compliance industry professional standards.
Please join us for this web cast, which will examine a number of professional responsibility issues that corporate compliance lawyers face, including those relating to:
• Risk assessment, program assessment and attorney-client privilege
• Complaint handling, escalation and investigations
• Who-is-the-client issues
• Lawyers and whistleblower bounties
• Sarbanes-Oxley Section 307 reporting requirements
• Compliance programs for law firm risks
YOUR SPEAKERS:
Jeff Kaplan and Rebecca Walker are partners, respectively, in the Princeton, NJ and Santa Monica, CA offices of Kaplan & Walker LLP, a firm whose practice is entirely devoted to compliance and ethics matters. They have each practiced in this area of law for many years – Jeff since 1991, Rebecca since 1999 - and have helped companies in nearly every major industry develop and implement compliance and ethics programs, including conducting risk assessments, drafting codes and other policy documents, designing training and other communications and establishing compliance and ethics offices. They have also conducted many compliance and ethics program assessments, both for companies and for government agencies; have frequently trained boards of directors in this area; and conduct independent investigations for companies.
They are, as well, very frequent speakers at industry and professional conferences and are prolific authors – in addition to having published many articles on compliance and ethics, each has authored or co-authored a book for Thomson Reuters in the field. Rebecca and Jeff both co-chair PLI’s Compliance and Ethics Institutes, and Jeff is Adjunct Professor of Business Ethics at NYU’s business school.
