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Programs in White Collar



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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.

**** CD's are pre-order only and not available until after the program date - Online is not available until after the program date **** 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.

**** 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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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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Salman v. U.S.: The Supreme Court’s Impact on Insider Trading

Program Number: 2706 Presenter: Thomas O. Gorman, Esq.

In this program covering the impact of the Supreme Court’s decision in Salman v. U.S., the first insider trading case heard by the Court in years, Tom Gorman analyzes the various theories which led to the decision, the positions argued before the Court, and the reaction of the Justices, whose pointers reverberate through the Court’s ultimate opinion. The program also analyzes post–Salman decisions and projects the direction of insider trading enforcement.

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Recent Amendments to the SEC's Rules of Practice for Administrative Proceedings

Program Number: 2653 Presenter: Thomas R. Cushing, Esq., Mark W. Rasmussen, Esq., Evan P. Singer, Esq.

SEC enforcement actions are, more often than not, brought in the administrative forum. At the same time, critics have argued that the SEC's procedural rules for administrative proceedings are unfair, and some have challenged the constitutionality of the rules in federal courts around the country. In the face of these challenges, the SEC has recently adopted amendments to the SEC's rules of practice for administrative proceedings. Join our presenters for an important discussion about what changes have been made and whether they provide adequate procedural safeguards.

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Trends in New York Attorney General Enforcement: Important Developments for All Corporate and White Collar Attorneys

Program Number: 2651 Presenter: Harold K. Gordon, Esq., Lisa M. Ledbetter, Esq.

As the pace of New York Attorney General (AG) enforcement actions continues to accelerate, what are the trends so far and what patterns are emerging for 2016 and beyond? In this program for all corporate and white collar attorneys and litigators with clients having any business activities in NY, our panelists discuss key enforcement actions against financial, retail and manufacturing businesses located in NY and elsewhere, highlighting the unique authority of the NY AG and its regulatory cousin, the NY Department of Financial Services, and offering practical tips for counsel responding to the such enforcement actions.

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