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Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2020
Corporate & Securities
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Table of Contents
Table of Contents
Chapter 1. What the Government Expects of a “Gatekeeper”
Chapter 2. Deborah R. Meshulam and Edwin Giovannie Mercado, DLA Piper, White Collar Alert, Corporate Commitment to Compliance Helps Bank Avoid FCPA Charges Despite Alleged $4.5M Bribery Scheme (April 24, 2020)
Chapter 3. Deborah R. Meshulam and Edwin Giovannie Mercado, DLA Piper, Compliance Alert, COVID-19 Alert, COVID-19: A Breeding Ground for Corruption—Monitoring Key Risks (April 10, 2020)
Chapter 4. Deborah R. Meshulam and Craig Waugh, DLA Piper, COVID-19 Alert, Investment Adviser Compliance in the COVID-19 Pandemic—Pay Attention to Valuation and Strategy Deviation Issues (April 17, 2020)
Chapter 5. Craig Waugh and Deborah R. Meshulam, DLA Piper, Investment Funds Alert, SEC’s Proposed New Rule on Valuation Practices Turns Focus of Funds and Investment Advisers to Compliance Programs (May 6, 2020)
Chapter 6. Jill L. Rosenberg and Frank Zalom, SDNY Offers Practical Lessons in Preserving Attorney-Client Privilege and Work Product Protection for In-House Counsel, Employment Law and Litigation Blog (October 22, 2019)
Chapter 7. George Greer and Lily Becker, Internal Investigations: Do No Harm, Orrick Securities Litigation, Investigations and Enforcement Blog (April 20, 2015)
Chapter 8. Parneros v. Barnes & Noble, Inc., 332 F.R.D. 482 (S.D.N.Y. 2019)
Chapter 9. Jonathan R. Barr and Kendall E. Wangsgard, A Broad Application of Lorenzo v. SEC May Expand the Boundaries of Securities Fraud Liability for Gatekeepers (July 2020)
Chapter 10. Jonathan R. Barr, Kendall E. Wangsgard and Jeffrey E. Liskov, A Year in Review of SEC Enforcement Actions Against Attorneys (June 2019)
Chapter 11. Malouf v. S.E.C., 933 F.3d 1248 (10th Cir. 2019)
Chapter 12. Ronald C. Machen and Cadene Russell Brooks, When “Gatekeepers” Become Whistleblowers: A Focus on Compliance Professionals in SEC Enforcement Actions (July 7, 2020)
All Contents Copyright © 1996-2020 Practising Law Institute.
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