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PLI's Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2019

Date: Wednesday, September 4, 2019 9:00 AM - 5:00 PM

Venue: PLI New York, New York, NY

Jennifer Saulino will participate in the "The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals" session at PLI's Storming the Gatekeepers: When Compliance Officers and In-House Lawyers are at Risk 2019 program on September 4, 2019.

Topics include:

  • The government’s view on how in-house counsel and compliance officers can and should discharge their duties
  • What does the DOJ consider in evaluating the conduct of in-house counsel and compliance personnel?
  • How do the SEC and FINRA scrutinize the knowledge and actions of in-house counsel and compliance personnel?
  • When is proceeding against an employer for compliance failures not sufficient?
  • When does a lawyer or compliance officer cross the line into criminal behavior?
  • Can lawyers or compliance officers be whistleblowers?

For additional information click here.