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Recent Trends in the SEC Whistleblower Program and Tips for Addressing Whistleblower Complaints

Program Number: 2811 Presenter: Elaine Drodge Koch, Esq., Jennifer Kies Mammen, Esq., Mark A. Srere, 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 this program of particular interest to in-house lawyers and litigators at public companies, our presenters address the SEC’s Dodd-Frank Whistleblower Program and recent trends in whistleblower actions, and offer practical tips for compliance programs and policies to address and mitigate whistleblower complaints.

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SEC Enforcement 2018: New Directions and Challenges

Program Number: 2810 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 **** Tom Gorman examines the new direction laid out for the SEC’s Enforcement Program by Chairman Clayton, trends emerging as the new year begins and significant challenges the Division will face. Emerging trends include the declining number of actions being brought along with a continuing drop in those cooperating with the SEC. Key issues the Division will face include forum selection and the use of ALJs, the impact of the Supreme Court’s decision in Kokesh holding disgorgement to be a penalty, the upcoming decision of the Court in Digital Realty on whistleblowers, and the impact of Martoma on insider trading.

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Confidentiality, Privilege and other Ethics Issues after the Merger: What to Do When You're in Post-Acquisition Dispute Litigation

Program Number: 2809 Presenter: Jasmine Coo, Michael Thompson, Esq.

**** CD's are pre-order only and not available until after the program date - Online is not available until after the program date **** Mergers, acquisitions, and asset sales raise a number of ethical issues, including who controls the confidentiality and privilege after the deal closes. These questions become that much more important when the buyer and seller are embroiled in litigation after the deal, at which time shared confidentiality and privileges and use of such information as evidence can pose complicated and expensive challenges for all parties involved. On top of these considerations, lawyers must abide by additional rules concerning, e.g., loyalty to clients. In this program, Michael Thompson and Jasmine Coo review the legal and ethical authorities concerning attorneys’ confidentiality, privilege and other ethical obligations (including ABA Model Rules 1.6 (Confidentiality of Information), 1.9 (Duties to Former Clients), 2.1 (Advisor), 3.7 (Lawyer as Witness) and ABA Informal Op. 857 (Attorney as Witness); discuss such

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Common Post-Acquisition Disputes and How to Avoid Them: Practical Guidance for In-House and Corporate Attorneys

Program Number: 2808 Presenter: Jasmine Coo, Michael Thompson, Esq.

**** CD's are pre-order only and not available until after the program date - Online is not available until after the program date **** Mergers, acquisitions, and asset sales often have many moving parts that require clients to engage subject matter experts to review both proposed terms and due diligence on a host of topics from environmental matters to tax and employment matters. But what about the rest of the contract? Often issues arise post-closing that were not fully anticipated during the transaction. The culprits are usually boilerplate terms (such as arbitration, choice of law, force majeure, and integration clauses) and terms designed to mitigate future risk (such as earn outs and indemnities). In this program, Michael Thompson and Jasmine Coo take you through the contract terms that are most commonly disputed after the closing of a merger, acquisition, or asset sale and provide tips to help you avoid expense and heartache

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Negotiation And Settlement Of Disputes: Ethical Issues for All Attorneys

Program Number: 2807 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 **** Ethics issues abound in the negotiation and settlement of disputes, and can lead to the undoing of agreements, disciplinary charges and even claims of malpractice. In this program for all attorneys, Steve Bennett addresses practical issues in negotiation and settlement, such as the basic question: “who is the client?”, questions of “puffery” in negotiation, bad faith, threats, and other questionable behaviors, and the ethical issues that arise therefrom. Model Rules discussed include: Rule 1.2: Duty of consultation Rule 1.4: Duty to keep client informed Rule 4.1: False statements Rule 8.4: Dishonesty Ethics opinions discussed include: ABA Opinion 06-329 ABCNY Formal Op. 2017-3 Florida Bar v. Rodriguez, 959 So.2d 150 (Fla. 2007) In re J.T. Thorpe, Inc. (Mandelbrot v. J.T. Thorpe Settlement Trust), No. 15-56430 (9th Cir. 2017)

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Ethical Conundrums in Cross-Border Corporate Investigations

Program Number: 2806 Presenter: Robert J. Anello, Esq., Benjamin S. Fischer, Esq., Kostya Lantsman, 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 ever-expanding field of corporate investigations, some of the thorniest issues arise not only at home, but also abroad. Partners Robert J. Anello and Benjamin S. Fischer and associate Kostya Lantsman of New York litigation boutique and white collar law firm, Morvillo Abramowitz Grand Iason & Anello P.C., discuss recent developments in cross-border corporate investigations and the ethical conundrums posed to in-house and outside counsel. Topics covered include the limits of prosecutors’ ability to rely on foreign compelled testimony, the limits for electronic surveillance and searches in the U.S. and abroad, and the complexities presented by the differences in recognition of the corporate attorney-client privilege particularly as it relates to in-house counsel across various jurisdictions. ABA Model Rules and other ethical authorities related to these issues

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Not #metoo: Sexual Harassment and How to Prevent Being the Latest Headline

Program Number: 2805 Presenter: Donald L. Samuels, Esq.

The headlines have been full of claims of sexual harassment and sexual assault. In this time of heightened interest and scrutiny regarding this topic, Don Samuels discusses what is sexual harassment and sexual assault; who is responsible for it; what are the legal liabilities and the costs, both economic and non-economic; and best practices for recognizing, addressing and preventing sexual harassment. A must program for all attorneys, particularly in-house counsel and litigators, about the legal issues surrounding sexual harassment and misconduct in the workplace.

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How to Investigate #metoo Claims: A Nuts and Bolts Guide for In-House Employment and Corporate Counsel

Program Number: 2804 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 **** Sexual harassment and sexual misconduct in the workplace are high profile issues for all attorneys and conducting prompt and thorough investigations into a “#metoo” claim is essential. Join Ann Kotlarski, who provides a nuts and bolts discussion for conducting proper investigations that can convince a jury (and your client’s other employees) that you have done the right thing, including: determining what to investigate; formulating an investigation plan; conducting interviews; assessing witness credibility; documenting the process; making recommendations; remediating wrongdoing; minimizing the likelihood of retaliation claims and avoiding similar claims in the future.

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Confidentiality and Privilege: Ethics for In-House and Deal Lawyers

Program Number: 2803 Presenter: Jasmine Coo, Michael Thompson, Esq.

**** CD's are pre-order only and not available until after the program date - Online is not available until after the program date **** Confidentiality and other ethical obligations, as well as the attorney-client privilege and other privileges, are a part of everyday life for a litigator. Transactional and in-house attorneys, however, often advise their clients on business and legal matters. As a result, it can be difficult to know which communications and documents are confidential, privileged and/or subject to other ethical considerations. In this program, litigators Michael Thompson and Jasmine Coo review key legal and ethical authorities governing confidentiality, privilege, and other ethical obligations (including ABA Model Rules 1.6 (Confidentiality of Information), 2.1 (Advisor), and 5.1 – 5.3 (Responsibilities of a Partner or Supervisory Lawyer, Responsibilities of a Subordinate Lawyer; Responsibilities Regarding Nonlawyer Assistance), and ABA Formal Ethics Opinions 95-390 (Conflicts of Interest in the Corporate Family Context), and 98-410 (Lawyer Serving as Direct of

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Ending the Discriminatory Consequences of Age Bias in the Legal Profession

Program Number: 2802 Presenter: Alton (Al) B. Harris, Esq. (2018), Andrea S. Kramer, Esq. (2018)

**** 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 timely and important program, Andrea S. Kramer and Alton B. Harris explain the nature and operation of age stereotypes, those about both younger and older lawyers, which result in discriminatory biases against persons at both ends of the age spectrum. They convincingly explain why it is so important for legal organizations to combat age discrimination and then present a series of effective, practical practices, policies, and techniques that legal organizations can use to eliminate age bias and improve generational harmony. They also review the Age Discrimination in Employment Act of 1967, the status of litigation under this Act, and the likely impact of ABA Model Rule 8.4(g) on age discrimination. Topics include: the nature and operation of age stereotypes and the biases that flow from them; how

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