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Programs in Regulatory and Administrative Law



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Financial Fraud: Avoiding the Path of the New SEC Investigative Priority

Program Number: 2343 Presenter: Thomas O. Gorman, Esq.

Financial fraud has long been an enforcement priority for the SEC, yet in recent years the number of cases has steadily declined as the Enforcement Division focused on insider trading and Ponzi schemes. Since new SEC Chair Mary Jo White took over, the Commission has indicated that it is preparing to address this critical area and is bolstering its investigative tools by creating new search programs to analyze filings made with it. This is apparently the first step in adding to the SEC’s tools in this area. In this program especially for in-house and outside corporate, securities and white collar attorneys, Tom Gorman helps you prepare your company or clients to avoid being caught up in this new SEC trend. Topics include analysis of historic SEC trends in this area, and the approach being used to develop the new tools and plot future directions that the Enforcement Division is

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Responding to EEOC Investigations and Litigation: An Essential Guide for In-House Corporate and Employment Lawyers and Litigators

Program Number: 2338 Presenter: Eric S. Dreiband, Esq.

Former EEOC General Counsel Eric Dreiband, currently a partner at Jones Day, discusses investigations and litigation by the Equal Employment Opportunity Commission (EEOC) and its priorities, court decisions that address the EEOC's process and challenges to employer policies, and strategies to utilize in responding to EEOC investigations and litigation. NOTE: This course has been approved for Minimum Continuing Legal Education credit by the State Bar of Texas Committee on MCLE in the amount of 1.0 credit hours, of which 0 credit hours will apply to legal ethics/professional responsibility credit.

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Sarbanes-Oxley Whistleblower Claims and Burdens of Proof

Program Number: 2335 Presenter: Courtney Worcester, Esq.

The Second Circuit's recent decision in Bechtel v. Administrative Review Board, No. 11-4918-ag (March 5, 2013), announced that it would also follow the burden-shifting framework adopted by other Circuits to whistleblower retaliation claims under the Sarbanes-Oxley Act. Join Courtney Worcester for a discussion of Bechtel and other Circuit decisions and what they mean for employers facing retaliation claims.

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Mobile Applications: What All Lawyers Must Know to Protect their Clients from the Legal Risks and Pitfalls in Developing and Managing Them

Program Number: 2332 Presenter: Aaron Tantleff, Esq.

With the explosive growth of mobile applications, companies and their counsel are scrambling to keep pace with the myriad compatibility, privacy, licensing, and implementation issues that come with these types of applications. Join Aaron Tantleff of Foley & Lardner LLP as he discusses and shares the legal risks involved in developing, launching and managing mobile applications in 2013 and beyond, including: • Real-life examples of a mobile application program that spun out of control and what can be done to prevent and mitigate the issues; • Issues regarding data collected through applications (i.e., personal data and geolocation), and data-sharing agreements, data collection, and e-discovery issues; • Application store trademarks and copyrights; • Risks companies face regarding ownership, license agreements, developer agreements, transaction processing agreements, and bundling arrangements with carriers and device distributors; • Top factors delaying application launches; • The uncertainties that arise when creating a mobile application and the implications for other departments of a company;

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Top Ten Tips for Conducting a Whistleblower Investigation

Program Number: 2329 Presenter: Roger A. Lane, Esq., Michael Thompson, Esq., Courtney Worcester, Esq.

In the wake of Dodd-Frank, complaints by whistleblowers are on the rise and are unlikely to decrease anytime soon. And as recent events make clear, companies need to be prepared for whistleblowers going to the press. Join Roger Lane, Michael Thompson and Courtney Worcester as they walk through the top ten tips internal and external counsel should follow in conducting an internal whistleblower investigation to mitigate both legal exposure and costs as well as discuss how to deal with, and respond to, leaks and other public incidents of whistleblowing. NOTE: This course has been approved for Minimum Continuing Legal Education credit by the State Bar of Texas Committee on MCLE in the amount of 1.0 credit hours, of which 0 credit hours will apply to legal ethics/professional responsibility credit.

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Venture Capital Firms and Fiduciary Duties: Considerations and Developments for Corporate and Securities Counsel

Program Number: 2328 Presenter: Roger A. Lane, Esq., Courtney Worcester, Esq.

When venture capital firms invest in portfolio companies, it is common for a general partner of the fund to take a position on the company's board. It is understood that the general partner owes a fiduciary duty to the company's stockholders, but what about the venture capital fund itself? Under what circumstances may the fund be found to owe fiduciary duties to the company's other stockholders? What are the limitations on what the fund can do? May the fund exercise its contractual rights with impunity or are there limitations? Join Roger Lane and Courtney Worcester as they explore these questions in this evolving area of the law and provide practical advice for addressing them to counsel who advise venture capital funds and portfolio companies.

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The SEC's Continued Focus on the Private Equity Industry:What their Lawyers Need to Know

Program Number: 2327 Presenter: Roger A. Lane, Esq., Courtney Worcester, Esq.

The SEC is expected to continue its focus on the private equity industry in 2013. In this program of particular interest to attorneys who advise private equity firms, Roger Lane and Courtney Worcester provide: • an overview of several areas that the SEC is expected to concentrate on, including valuation practices during a fundraising period; conflicts of interest; and the fiduciary duties owed by the Chief Operating Officers and Chief Financial Officers of private equity funds, and • best practices to avoid SEC scrutiny or mitigate the risks when you can't.

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Update on Say on Pay Litigation

Program Number: 2326 Presenter: Michael Thompson, Esq., Courtney Worcester, Esq.

Two years ago the Dodd-Frank Wall Street Reform and Consumer Protection Act created Section 14A of the Securities Exchange Act of 1934, which required certain public companies to conduct a shareholder advisory vote on executive compensation. Smaller issuers, those with a public float of less than $75 million, were exempt for two years. That exemption has now expired, meaning that these companies are now facing their first shareholder advisory vote. Luckily, they and their counsel can learn from their larger counterparts' mistakes and successes over the past two years. Join Michael Thompson and Courtney Worcester as they provide an update on say on pay litigation, discuss what guidance companies and their counsel can draw from that litigation, and provide advice for how to survive that first vote (and what to do if they don't).

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Ethical Challenges in Conducting Cross-Border Internal Investigations

Program Number: 2325 Presenter: Edward J. Fishman

Ed Fishman of K&L Gates highlights ethical challenges that are often faced by in-house counsel and outside counsel when conducting internal investigations relating to conduct that has occurred outside the U.S. Such cross-border investigations have become critical for multinational companies that may be subject to a wide range of laws with extraterritorial application, including securities, anti-corruption, export control and international trade laws. However, investigative counsel must be aware of various ethical challenges that can arise when conducting cross-border investigations. The topics covered include the differences between attorney-client privilege rules in the U.S., the E.U. and other jurisdictions; evidence collection challenges as a result of the E.U. Directive on Data Privacy; local employment law considerations when considering disciplinary action against employees outside the U.S.; and the tension that can arise in joint representation situations between Model Rule of Professional Conduct 1.4 (the duty to communicate with

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The Supreme Court Speaks on Same-Sex Marriage: What the Decisions Mean for Employee Benefits and Family Law Counsel

Program Number: 2322 Presenter: Todd A. Solomon, Esq.

In June the Supreme Court will rule on the constitutionality of the Federal Defense of Marriage Act ("DOMA") and California Proposition 8. The Court's rulings will have dramatic implications for employee benefit plans covering domestic partners and the taxation of domestic partner benefits. Join Todd Solomon, a partner at McDermott Will & Emery LLP, and a frequent speaker and writer on employee benefits issues resulting from domestic partnerships and same-sex marriages, as he discusses the Court's rulings, the future of DOMA and Proposition 8, and the implications for benefit plan sponsors. Topics include: • The taxation of domestic partner benefits (Federal and state) after the Court's rulings. • The status of same-sex marriages, civil unions, and domestic partnerships. • Can same-sex couples marry in California? • What policies and procedures should employers and their counsel be updating in light of the Court's rulings?

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