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What In-House, Corporate and Securities Counsel Should Know about System and Organization Controls (SOC) Reports and their Applicability to Reporting on Internal Controls

Program Number: 2743 Presenter: Michael Pinna, CPA

**** CD's are pre-order only and not available until after the program date - Online is not available until after the program date **** In today’s world, almost every type of public or private company needs to assess its internal control environment. This is especially true of public and SEC registered companies which are required to report on their internal control environments in their annual reports and filings. With technological, cybersecurity and other issues that have arisen, System and Organization Controls (SOC) Reports necessarily have become the standard for assessing internal controls as the reporting has become more complex. This program provides a brief history of the SOC reporting landscape; an understanding of the types of SOC reporting (i.e., SOC 1, SOC 2, SOC 3, and the new SOC for Cybersecurity) and their reporting structures and coverages; and an overview of recent changes to the SOC standards.

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What Attorneys Should Know about Advising Boards and Management on How to Avoid Struggles When it Comes to Data Breaches

Program Number: 2742 Presenter: David A. Zetoony, Esq.

**** CD's are pre-order only and not available until after the program date - Online is not available until after the program date **** Boards and senior management often look to attorneys to advise them when a data breach arises. Providing sound and practical legal advice can be complicated if management has not gone through a data breach before, and does not understand the legal implications of the choices that they may make. This program focuses on how attorneys can explain the legal implications of a data breach in order to help management make decisions, either before or after a breach occurs, concerning how the company can position itself.

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Remedies in Trademark Infringement Litigation

Program Number: 2741IP Presenter: Anthony F. Lo Cicero, Esq.

**** CD's are pre-order only and not available until after the program date - Online is not available until after the program date **** When planning litigation for trademark infringement, attorneys should consider the nature of the remedies available, legal and equitable. These remedies, if obtained, will often determine success or failure in the eyes of the client. Anthony Lo Cicero of Amster, Rothstein & Ebenstein LLP explains the ways to obtain available remedies, preliminary and permanent injunctive relief, destruction of merchandise, awards of actual and statutory damages, disgorgement of profits and more.

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How Does Employment Practices Liability Insurance Affect Your Employment Cases? What In-House and Outside Lawyers and Litigators Should Know

Program Number: 2740 Presenter: Ann Kotlarski, Esq., Judicate West

**** CD's are pre-order only and not available until after the program date - Online is not available until after the program date **** Good news: you were just retained to handle an employment dispute. You soon learn the employer has employment practices liability insurance (EPLI). How does EPLI impact the way that you evaluate, litigate, mediate, and try employment cases? Ann Kotlarski, a former successful employment and business/commercial trial lawyer, and currently a mediator and arbitrator, describes the ins and outs of handling EPLI covered claims, provides practical pointers, and addresses the legal issues that arise from the inception to the conclusion of an insured employment case.

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Ethics and Cybersecurity: A Lawyer’s Professional Obligations under New ABA Formal Opinion 477R, Opinion 99-413, and the ABA Model Rules

Program Number: 2739 Presenter: David A. Zetoony, Esq.

**** CD's are pre-order only and not available until after the program date - Online is not available until after the program date **** In addition to complying with data security statutes and regulations, lawyers must comply with ethical obligations under the rules of professional conduct to protect their clients’ privacy and security. In this program, David Zetoony covers the attorney’s ethical considerations including requirements under ABA Model Rule 1.1, Model Rule 1.6(c), new ABA Formal Opinion 477R, Securing Communication of Protected Client Information, and its previous ABA Formal Opinion 99-413, Protecting the Confidentiality of Unencrypted E-Mail (1999).

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Trading in Opaque Markets: False Statements, Materiality and Securities Fraud

Program Number: 2736 Presenter: Thomas O. Gorman, Esq.

The Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) have brought four cases charging six traders from two major firms with fraud. The actions are all similar, claiming that the traders made multiple misrepresentations when dealing with counter parties in either the residential mortgage-backed securities (RMBS) or commercial mortgage backed securities (CMBS) markets. The misrepresentations are detailed in electronic communications. Two criminal cases have, however, ended largely in acquittals. Yet the government continues. In this program, Tom Gorman critically examines these cases, distilling important lessons for trading houses and their compliance professionals while pointing to a likely area of future focus for the SEC inspection program.

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Securities Issues and the Supreme Court: A Look Back and Ahead

Program Number: 2735 Presenter: Thomas O. Gorman, Esq.

**** CD's are pre-order only and not available until after the program date - Online is not available until after the program date **** In the 2016-2017 term, the Supreme Court handed down decisions in cases such as Kokesh and Salman that may well have a far reaching impact on securities litigation and SEC enforcement. This term promises to have additional important decisions. In the October term, the High Court has already agreed to hear cases such as Digital Realty, which will consider a critical issue regarding whistleblowers, and Leidos, regarding whether Section 303 creates an actionable duty to disclose in class actions. Join Tom Gorman as he reviews the key decisions of last term and previews those coming in the term which will start in October 2017.

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Depositions for Discovery and Trial: An Advanced Look

Program Number: 2734 Presenter: Michael H. Ginsberg, Esq., Thomas Jackson, Esq. Retired

**** CD's are pre-order only and not available until after the program date - Online is not available until after the program date **** Tom Jackson and Mike Ginsberg discuss preparing for and taking depositions for the dual purpose of discovery and preparing for trial. The focus is on the different parts of the deposition, including fact gathering, fact development, exhaustion of the witness' knowledge, and theory testing, and special attention is given to the form and precision of the questioning so as to lock in the witness' testimony for summary judgment motions and trial impeachment, if necessary. Topics covered also include: depositions of experts, and the differences between the deposition of an expert and the deposition of a percipient witness or company representative, and depositions of corporate representatives pursuant to Federal Rule of Civil Procedure 30(b)(6) and state equivalents. An essential program for any attorney involved in litigation, discovery and/or

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What In-House Counsel Should Know about the NIST and AICPA Frameworks and other Steps to Mitigate or Avoid Cybersecurity Risks and Threats

Program Number: 2733 Presenter: Michael Pinna, CPA

This program describes the problem of cybersecurity, including common vulnerabilities that can be exploited in order to gain unauthorized access to systems and data, and discusses some common frameworks, such as the National Institute of Standards and Technology ("NIST") Cybersecurity Framework and the new American Institute of Certified Public Accountants (“AICPA") Cybersecurity Risk Management Framework that can be used to understand and address the cybersecurity risks and threats in any type of organization. Also covered are cyber liability insurance which is becoming more prevalent in today’s marketplace, and key steps that organizations should consider implementing to make an immediate impact in their cybersecurity risk profile.

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Representing the Difficult Client: Ethical Considerations for All Attorneys

Program Number: 2732 Presenter: Steven C. Bennett, Esq., Park Jensen Bennett LLP

**** CD's are pre-order only and not available until after the program date - Online is not available until after the program date **** In this important program for all lawyers, Steve Bennett tackles the thorny issue of difficult clients, and covers the ethical considerations for dealing with them. Topics covered include: identifying the difficult client; managing expectations; withdrawal methods; and risk management techniques. ABA Model Rules addressed include: 1.1 (competence); 1.6 (preserving confidentiality); 1.14 (client with diminished capacity); 1.16 (withdrawal from representation); 5.1 (responsibility of supervising lawyers); 5.4 (professional judgment); 6.1 (pro bono service) Opinions discussed include In re Gonzalez, 773 A.2d 1026 (D.C. 2001); In re Shipley, No. D-2827 (S. Ct. 2014).

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