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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

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 trial practice.

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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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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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Long Live Open Source! Current Developments for IP, Technology, Corporate, and Compliance Attorneys

Program Number: 2728 Presenter: Jason D. Haislmaier, Esq., Matthew Jacobs, Esq.

**** CD's are pre-order only and not available until after the program date - Online is not available until after the program date **** Open source software burst onto the scene over a dozen years ago, and since then, the pervasiveness and importance of open source has only continued to grow. Today, the growth of open source is driving an expanded range of legal and regulatory issues, including: • Addressing open source compliance in cloud and hosted environments • Understanding new open source license enforcement efforts • Vetting open source for IT security concerns • Dealing with open source risk in corporate transactions Keeping pace with these issues poses new challenges, both for companies with established compliance programs and those still relatively new to open source. Join our presenters for a discussion of these issues and solutions to help address them.

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Ethics Developments in IP Practice-2017

Program Number: 2727IP Presenter: Anthony F. Lo Cicero, Esq.

Anthony Lo Cicero of Amster, Rothstein & Ebenstein, LLP, discusses recent developments in the law of ethics as it applies to intellectual property, including such subjects as formation and termination of the client relationship, under, e.g. ABA Rules 1.16, 1.18; duties owed to current and former clients under Rules 1.7-1.9; the bases for disqualification and the ever-challenging issue of subject matter conflicts, including developments after the decision in Maling v. Finnegan Henderson, 473 Mass. 336 (2015).

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Mental Health, Competence, Substance Abuse and Addiction in the Legal Profession: A Focus on Gender Distinctions

Program Number: 2726 Presenter: Joan Bibelhausen, JD

**** CD's are pre-order only and not available until after the program date - Online is not available until after the program date **** Studies show that lawyers are at greater risk for alcohol use disorders, depression, other mental illness and stress than members of other professions or the general population. Women and men attorneys differ in the ways and reasons that these problems develop, their symptoms, their willingness to get help and the types of treatment that are most effective. Stigma is a particular issue for women. Learn about these gender differences and how to recognize problems, reach out to offer help and the resources that are available for men and women in the legal profession.

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