Learn the latest on Mastering Internal Investigations & Corporate Compliance with this convenient, 24/7 On-demand Seminar & Complimentary Podcast. Register to obtain CLE & MCLE credit, online access to complete course & reference materials, and attend this on-demand seminar. YOU MAY LISTEN FROM ALMOST ANY TYPE OF COMPUTER OR IPOD. ACCESS TO THE RECORDING AND MATERIALS DOES NOT EXPIRE.

Benefits:

As regulators in the U.S. and around the world strengthen rules governing corporate compliance and oversight, the current economic conditions have intensified the challenges facing in-house, corporate, and litigation attorneys alike. A recent series of white collar prosecutions and internal investigations has underscored the import of this changing and challenging practice. Promoting and maintaining an ethical corporate culture have never been as paramount and complex as now for the survival and success of the modern corporate entity. Our three distinguished speakers bring an extensive background from the Department of Justice, Securities & Exchange Committee and several of the nation’s leading law firms. These nationally recognized experts will give you the tools needed to advance and develop an effective compliance program, as well as ensure that your company or client’s compliance program satisfies the rigorous new standards. You will learn about the effects of recently enacted rulemaking on compliance programs, newly issued expectations for reporting and documenting compliance initiatives, the latest trends and design of internal investigations, developments in internal reporting, alleged accounting irregularities, and other cutting-edge considerations. Registration includes access to course & reference materials.

Agenda:

1. Establishing and Managing Internal Investigations and Compliance Functions:

a. Impact of Heightened Regulatory Compliance Expectations

b. Creating Effective In-house Investigations

c. Successfully Drafting & Implementing of Internal Policies & Procedures

d. Best Practices on Managing In-house Resources

2. Effective Internal Employee Reporting:

a. Understanding Federal Initiatives for Entities for Internal Reporting

b. Creating an Effective & Compliant Ombuds Program

c. Latest Opinions Governing Whistleblower Complaints

d. What Counsel Must Understand about Privileges

3. Investigating Alleged Irregularities:

a. Defining the Goals & Parameters of an Internal Investigation

b. Successfully Gathering Evidence & Interviewing Employees

c. Handling Disclosures & Reporting of Investigation Results

d. Tips on Managing Costs & Fees

4. Recorded Question & Answer Session with the Experts


Biography of Seminar Faculty:

1. Lee G. Dunst is a Partner at Gibson, Dunn & Crutcher, where he is a member of the Firm’s White Collar Defense and Investigations Practice Group. His practice covers a wide range of government investigations and white-collar criminal and regulatory matters, as well as general commercial litigation. His extensive experience includes securities class action cases, accountants’ liability cases, and general business litigation. Mr. Dunst also represents numerous clients, including individuals, companies, accounting firms and special board committees, in connection with criminal and regulatory investigations. He has a particular focus on matters involving alleged violations of the Foreign Corrupt Practices Act. He has been recognized in The Legal 500 US for excellence in practice. He is a highly sought-after author and lecturer on white collar criminal issues, as well as matters concerning civil commercial litigation.

He has represented various corporations, accounting firms and individual clients in connection with white-collar criminal investigations by federal and state prosecutors, as well as related civil investigations by the Securities and Exchange Commission, the Financial Industry Regulatory Authority, the Public Company Accounting Board and various state regulators. His cases have included the representation of senior business executives and corporate entities in connection with criminal and regulatory investigations of various types of alleged corporate fraud and alleged accounting irregularities, as well as alleged violations of the FCPA. He also has conducted numerous internal investigations of alleged misconduct at many United States and international companies and personally has traveled to nearly twenty countries on five continents for these investigations. Prior to joining the Firm, Mr. Dunst served as an Assistant United States Attorney. He is a recipient of the Director’s Award for Superior Performance from the Department of Justice for the successful prosecution of an insurance fraud scheme that resulted in the payment of $20 million in restitution. He is a graduate of Brown University and NYU Law School. Mr. Dunst began his career as a federal law clerk.

2. David Rosenfield practices at Herrick, Feinstein LLP, where is a member of the Firm’s White Collar Defense and Regulatory Enforcement Group, representing individuals, senior executives, and corporations in white collar criminal defense cases, internal and governmental investigations, securities/commodities regulatory matters, food safety cases and civil litigation. Mr. Rosenfield counsels clients in matters involving a wide range of government agencies, including the Department of Justice, U.S. Attorneys’ Offices, the SEC, CFTC, FDIC, Department of Health and Human Services, including the FDA, as well as self-regulatory agencies such as FINRA. His diverse range of cases have included high-profile matters such as defending former Guatemalan President Alfonso Portillo against money laundering conspiracy charges, representing a former senior executive of MF Global in investigations by the DOJ, CFTC, and SEC, and representing several professional cyclists, former teammates of Lance Armstrong, in federal criminal and U.S. Anti-Doping Agency investigations. Mr. Rosenfield is a frequent author and panelist on internal and governmental investigations, government interviews, food safety, securities industry regulation and anti-money laundering compliance. He has been featured on CNBC, Bloomberg Television and PBS. He previously served as Senior Counsel and Manager of Legal Process at one of the country’s most prominent banks, where he provided legal counsel to the Anti-Money Laundering Committee, taught the laws and regulations section of the Advanced Anti-Money Laundering Seminar and conducted internal investigations. He also served as a federal prosecutor for the U.S. Attorney’s Office, focusing on white collar crime and served as a Staff Attorney in the Division of Enforcement of the Securities and Exchange Commission.

3. Renee Phillips is a member of Orrick’s employment law group, where her practice includes a full range of employment litigation and counseling, with particular emphasis on Sarbanes-Oxley/Dodd-Frank whistleblower issues and internal investigations. Ms. Phillips is also the co-author of the leading treatise published on the subject of Sarbanes-Oxley/Dodd-Frank whistleblower law, Corporate Whistleblowing in the Sarbanes-Oxley/Dodd-Frank Era. Ms. Phillips has successfully defended employers in federal and state court litigations as well as administrative proceedings and arbitrations involving claims of discrimination, harassment, wrongful termination, Sarbanes-Oxley whistleblowing, trade secret misappropriation and other employment-related claims. She regularly counsels employers on a variety of employment-related issues and assists clients in creating and implementing human resources policies, whistleblower policies, negotiating and drafting executive contracts and other employment agreements, and conducting internal investigations. She is a graduate of Harvard Law School and a former federal law clerk in the Southern District of New York.

Who should attend this seminar?
Attorneys, judges, paralegals, and legal professionals.

You will receive access to recording, podcast, course & reference material, and information related to CLE/MCLE credit as soon as you register with a credit card or when your check is processed.

CLE ACCREDITATION: Rossdale CLE is a national leader in attorney education and has trained thousands of attorneys, paralegals, and other legal professionals. Attend this convenient, on-demand seminar & podcast for CLE & MCLE credit with the following pending, available, & approved jurisdictions:

Alaska Bar Association for 1.5 CLE Credits *

Arizona State Bar for 1.5 CLE credits**

California State Bar for 1.5 MCLE credits

Colorado Supreme Court Board of Continuing Legal & Judicial Education for 1.8 CLE Credits

Connecticut (CLE credits are not required, but are encouraged)**

District of Columbia (CLE credits are not required)***

Florida Bar for 2.0 CLE credits

Georgia Bar for 1.5 CLE credits

Hawaii State Board of CLE for 1.5 CLE credits

Idaho State Bar for 1.5 CLE credits

Indiana Commission for Continuing Legal Education for 1.5 CLE Credits

Illinois - Supreme Court of Illinois for 1.5 MCLE Credits

Kentucky Bar Association for 1.5 CLE Credits

Maryland (CLE credits are not required)***

Massachusetts (CLE credits are not required)**

Michigan (CLE credits are not required)***

Minnesota State Board of Continuing Legal Education for 1.5 CLE credits

Missouri Bar for 1.8 MCLE Credits

Nevada Board of Continuing Legal Education for 1.5 CLE credits

New Hampshire for 1.5 CLE credits ****

New Jersey Board on Continuing Legal Education for 1.5 CLE credits (per Rule 201:4)

New Mexico Minimum Continuing Legal Education Board for 1.5 CLE credits

New York State Bar for 1.5 CLE credits

North Carolina State Bar Continuing Legal Education for 1.5 CLE credits

Ohio - Supreme Court of Ohio Commission on CLE for 1.5 CLE Credits

Oregon State Bar for 1.5 CLE credits

Pennsylvania Continuing Legal Education Board for 1.5 CLE Credits

Puerto Rico for 1.5 CLE credits (Tribunal Supremo de Puerto Rico)

South Dakota (CLE credits are not required)***

Tennessee Commission on CLE for 1.5 CLE Credits

Texas State Bar for 1.5 CLE credits

Utah State Board of Continuing Legal Education for 1.5 MCLE credits

Vermont Mandatory Continuing Legal Education Board for 1.5 CLE credits

Virginia State Bar for 1.5 MCLE credits

Washington State Board of Continuing Legal Education for 1.5 MCLE credits

Wisconsin Board of Bar Examiners for 1.5 CLE credits

Additional States - call customer service at (888) 626-3462

* Members of the Alaska Bar Association may report 1.5 CLE credits for participating in this course as it has been approved by other mandatory CLE jurisdictions for 1.5 CLE credits.

** The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. This activity may qualify for up to 1.5 hours toward your annual CLE requirement for the State Bar of Arizona, including 0 hour(s) of professional responsibility.

*** States that do not require CLE are indicated above. Rossdale does not apply for CLE in these states as CLE credit is not required.

**** The New Hampshire does not approve or accredit CLE activities for the Continuing Legal Education requirement. Pursuant to NH Supreme Court Rule 53, this activity may be counted for up to 1.5 CLE hours.

For additional questions, please call 888-626-3462.

REGISTER FOR CLE CREDIT AND LISTEN & LEARN AT YOUR CONVENIENCE WITH THIS CONVENIENT 24/7 ON-DEMAND SEMINAR & PODCAST.

You will receive an on-demand download of the seminar, accompanying materials, and information to report the CLE credits as soon as you register with a credit card or when we process your check.