Market Regulation Series: Critical Ethics Issues for In-House Counsel: How to Avoid Sleepless Nights

This program, the latest installment in our ongoing series of market regulation seminars, is an excellent opportunity to gain insight into these issues, while earning valuable Ethics CLE credits.

The panelists — featuring regulators, industry professionals, and Foley attorneys — will discuss the following topics:

Criminalization of Regulatory Violations: A Case Study in Ethics and Criminal Law

Addresses developments relating to criminal indictments for trade practice violations and issues, such as when to attain criminal defense counsel, invoking the Fifth Amendment privilege, and more.

Moderator

• Kathryn M. Trkla, Partner, Securities Enforcement & Litigation Practice, Foley & Lardner LLP

Panelists

• Julie Porter, Criminal Division Chief, U.S. Attorney’s Office in the Northern District of Illinois


• Steven Schweitzer, Regional Head of Enforcement, Chicago, CME Group Inc.


• Lisa M. Noller, Partner and Chair, Government Enforcement, Compliance & White Collar Practice, Foley & Lardner LLP

Avoiding False Steps: Ethical Issues Arising Under the CFTC’s New False Statement Authority and Existing SEC and SRO Rules

Covers formal and informal testimony, enforcement submissions, and compliance certifications.

Moderator

• Lisa L. Tharpe, Partner, Securities Enforcement & Litigation Practice, Foley & Lardner LLP

Panelists

• Susan Gradman, Chief Trial Attorney, Commodity Futures Trading Commission (CFTC)


• Miki Tesija, Senior Regional Counsel, Financial Industry Regulatory Authority, Inc.


• Ellen M. Wheeler, Partner, Securities Enforcement & Litigation Practice, Foley & Lardner LLP

Blowing the Whistle: Ethical Pitfalls for In-House Counsel

Delves into whether in-house counsel can/should advise a potential whistleblower; can a whistleblower be required to inform the firm before the authorities; and more.

Moderator

• Stephen P. Bedell, Partner, Securities Enforcement & Litigation Practice, Foley & Lardner LLP

Panelists

• Patricia Donahue, Chief Compliance Officer and Associate General Counsel, Rosenthal Collins Group, L.L.C.


• Nicholas Wendland, Chief Compliance Officer and General Counsel, Sun Trading L.L.C.


• Phillip M. Goldberg, Partner, Securities Enforcement & Litigation Practice, Foley & Lardner LLP

There is no cost to participate in this program, but pre-registration is required. Please contact Brook Radford at [email protected] for more information.

Foley & Lardner LLP will apply for CLE credit after the program, wherever applicable. Foley & Lardner LLP certifies that this activity has been approved for California MCLE credits by the State Bar of California in the amount of 3 Ethics credits. Foley & Lardner LLP is a State Bar of California MCLE approved provider. Please note that participants must be in attendance on the date of the event; credit may not be obtained by viewing and/or listening to a program recording after the event. For New York attorneys: This program is appropriate for experienced attorneys only.