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Programs in White Collar



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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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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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Blockchain Technology and Digital Currencies: Key Legal Issues for the Financial Industry

Program Number: 2747 Presenter: David Andrew Kern, Esq., Mark W. Rasmussen, Esq.

Business of all sizes, from start-ups to Fortune 500 companies, are quickly seeing the benefits of Blockchain technology and digital currencies and are putting them to use. This is especially true for companies in the financial sector which are deploying these technologies to help with everything from capital raising to securities trading to asset tracking. At the same time, lawmakers and regulators have their eyes on the benefits and risks associated with these emerging technologies and are adopting new laws and regulatory guidance both to facilitate their use and to protect the public. Join Mark Rasmussen and David Kern as they explain the fundamentals of Blockchain technology and digital currencies, describe how they are being utilized in the financial industry, and discuss key legal issues for all companies.

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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.

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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Representing the Client under the Common Interest or Joint Defense Privilege: How Attorneys Should Meet their Ethical Obligations

Program Number: 2731 Presenter: Evan P. Singer, Esq., Arielle S. Tobin, Esq.

The common interest privilege, also known as the joint defense privilege, the allied litigant doctrine, the pooled information privilege, and others, generally allows “persons who have common interests to coordinate their positions without destroying the privileged status of their communications with their lawyers.” Restatement (Third) of the Law Governing Lawyers § 76 cmt. b. In this program, Jones Day partner Evan P. Singer and associate Arielle Tobin: (1) discuss the source and history of the common interest privilege, (2) define the elements required to establish the privilege; and (3) address the ethical issues confronting attorneys, including maintaining the confidentiality of client communications, avoidance of conflicts and not acting adversely to the client’s interest. ABA Model Rules covered include 1.6, 1.7(b)(4), and 1.13. Ethics opinions covered include District of Columbia Ethics Opinion 349 and ABA Opinion 95-395. Cases include Hanover Insurance Company v. Rapo & Jepsen Insurance Services (Massachusetts), Jedwab v. MGM Grand Hotels, Inc. and Zirn v. VLI

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Recent Developments in M&A Litigation

Program Number: 2730 Presenter: Evan P. Singer, Esq.

In this program of particular interest to in-house, corporate, securities and transactional counsel and litigators, Jones Day partner Evan P. Singer discusses key cases like Aruba Networks, Trulia, Walgreens and Gordon v. Verizon, as well as recent developments regarding the common interest privilege under New York law.

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Conducting Effective Witness Interviews: A Guide to Understanding the Legal and Privilege Considerations and Practical Tips and Considerations

Program Number: 2720 Presenter: David Silva, Esq., Evan P. Singer, Esq.

In this program for all in-house and corporate counsel and litigators, Evan Singer and David Silva provide an in-depth discussion of issues to consider when conducting witness interviews for purposes of internal investigations or litigation. Topics include the potential application of attorney-client privilege (such as the Upjohn warning); practical tips and strategies for conducting the interview; and some post-interview considerations and strategies.

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Bitcoin and Blockchain Technology: Legal Issues and Emerging Trends

Program Number: 2707 Presenter: James A. Cox, Esq., Tyson M. Lies, Esq., Mark W. Rasmussen, Esq.

While many people have heard of Bitcoin and other digital currencies, few understand the technology that powers them—the digital ledger system called blockchain. And fewer still appreciate that Fortune 500 companies, governments, and start-ups alike are all racing to develop their own custom blockchain systems to use for their projects, such as capital raising, title tracking, document management, securities trading and settlement, or management of smart contracts, just to name a few. Join our presenters as they explain the fundamentals of blockchain technology and digital currencies, including key legal issues to keep your eye on and emerging trends that are on the horizon.

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