This Webinar provides in-depth analysis of the Department of Justice's new revisions of its Principles of Federal Prosecution of Business Organizations.
A panel of experts examines the DOJ's strategies for investigating, indicting, and prosecuting business organizations and its continued use of attorney-client information. Find out what has changed in the wake of the Filip Memorandum, and what hasn't.
Topics addressed include:
- An overview of the revised Principles
- The effect on "cooperation" when corporations pay for employees' counsel fees
- DOJ requests for waiver of attorney-client or work-product privilege as a condition of leniency
- The interplay between state prosecutions and cooperation
- The prospects of the Attorney-Client Privilege Protection Act (ACPPA) in Congress
Securities Enforcement: The Filip Memorandum and Beyond concludes with a question and answer session enabling you to raise your own particular concerns.
Agenda
I. Introduction
- Panelists
- Developments Precipitating Change
II. Overview of the Principles
- Business Entities
- DOJ Application
- Specific criteria
III. Analysis of the changes to the Principles by the Filip Memorandum
- Provision of legal fees
- Cooperation
- Attorney-Client and Work-Product Privileges
IV. The continued use of privileged material
- Use by corporations as a sword
- Individual issues
- Internal investigations and audits
V. The use of privileged material by other regulators, e.g., states, SEC, CFTC and FINRA
- SEC Seaboard guidelines
- FINRA and SRO practices
- State practices, e.g., the New York State Attorney General
- Routine uses
VI. The Future and the ACPPA
- Legislation
- New administration
- Financial Crises
VII. Q&A
Speakers:
Ernest E. Badway
Ernest E. Badway is a partner with Fox Rothschild LLP in its New York and New Jersey offices and a former United States Securities and Exchange Commission Division of Enforcement attorney. He is also an Assistant Professor of Law at Brooklyn Law School.
Patrick J. Egan
Patrick J. Egan is a partner at Fox Rothschild LLP in Philadelphia. He is also an Adjunct Professor of Integrated Trial Advocacy at Temple University Beasley School of Law and a faculty member of the National Institute of Trial Advocacy.
David Gourevitch
David Gourevitch practices with the Law Office of David Gourevitch P.C., in New York. Previously, he served in the Security and Exchange Commission's Enforcement Division and in the New York District Attorney's Investigations Division.
Howard S. Meyers
Howard S. Meyers, an attorney and certified public accountant, is a partner at Meyers & Heim LLP. He previously was employed as a staff attorney in the Northeast Regional Office of the United States Securities and Exchange Commission's Division of Enforcement.
