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Legal and Compliance Programs: Ethics and Effectiveness
   LIVE Webcast  


Event Details:                                                                                                                                                          

Legal and Compliance Programs: Ethics and Effectiveness LIVE Webcast is a must attend event for attorneys who need to be 100% up-to-date to help their companies and clients navigate the potentially tricky waters of legal ethics. Our panel of key thought leaders and experts will teach attorneys, among other things, how to conduct internal investigation, how to safeguard attorney-client privilege, how to recognize and avoid common ethical pitfalls in the use of technology, how to comply with ethical rules and how to best handle ethical problems and situations.

The audience will be invited to ask the speakers questions live during the Q&A session.

Course Level: Intermediate
Prerequisite: None
Method Of Presentation: Group-Based-Internet
Developer: The Knowledge Group, LLC
Recommended CLE/CPE Hours: 1.75 - 2.0
Advance Preparation: Print and review course materials
Course Code: 124399
Recording Fee: $299 (Please click here for details)


Featured Speakers for Legal and Compliance Programs: Ethics and Effectiveness LIVE Webcast :

Agenda  (click here to view more)

Matthew G. Nielsen, Partner,
Andrews Kurth LLP


The current regulatory environment has created unprecedented securities compliance challenges for companies of all size and throughout all industries.
  • - Dodd-Frank contains more than 90 provisions requiring new rules by SEC and dozens of provisions providing the Commission with discretionary rulemaking authority. The SEC has adopted more than three-quarters of mandatory rules, but many have yet to be finalized.
  • - Delays in rulemaking and legal challenges to more controversial rules have created uncertainty for SEC compliance.
  • - In addition to the slew of new rules, SEC enforcement activity is at all-time high. During last two years, the SEC has brought nearly 1,500 enforcement actions, obtaining orders for more than $5.9 billion in penalties and disgorgement.
The avalanche of new rules, the uncertainty of what is to come, and the SEC’s enforcement vigor require that companies of all size have formalized, defined, and robust compliance programs.

This presentation will focus on the fundamentals of an effective compliance program, which both comports with principles set forth by agencies such as the US Department of Justice and lays the compliance foundation to effectively implement new rules and enforcement trends

Barbara (Bobby) Kipp , Partner,

Conflict Minerals (Dodd-Frank Section 1502): PwC path to compliance: Beyond the rules and preparing throughout the next 12 months

Preparing for compliance with these rules could be complex and time consuming. The SEC estimates initial costs of compliance at $3-6B and ongoing annual compliance costs at $200-600M—affecting approximately 6,000 issuers and 275,000 non-public suppliers.

Companies will need to understand if they are subject to this rule and take decisive steps in order to prepare for compliance. At a high level, companies need to:
  • • Examine their products to determine whether and to what extent the rule applies to them;
  • • Develop and conduct a "reasonable country of origin inquiry" and, if necessary, additional due diligence;
  • • Obtain a third-party independent audit of their due diligence; and
  • • Comply with disclosure requirements.
Issuers will be required to provide annual disclosures on a new "Form SD" to be filed with the SEC. The annual disclosure period spans a calendar year for all issuers – regardless of their fiscal year end. The filing deadline for annual disclosures is May 31. Companies will first comply with the disclosure requirements on May 31, 2014 (for the 2013 calendar year).

This presentation will provide the necessary insight to prepare, operate and report for compliance withthis act.
  • 1. Discuss the Dodd-Frank conflict mineral requirements
  • 2. How to evaluate and determine your products for conflict minerals
  • 3. Leading practices on evaluating your supply chain and reporting requirements

Andrew Morris, Partner,
Morvillo LLP


The challenge: enhancing CCO authority without rendering the CCO vulnerable to liability for the misconduct of line employees
Legislators and regulators require that CCOs have strong authority
Increased authority can mean increased risk of personal liability
Attempts by the SEC to hold CCOs liable as “supervisors” of line employees because they have authority
  • • Background: The duty of line managers to supervise line employees.
  • • In re John Gutfreund: The SEC staff contends that a general counsel is liable as a line supervisor
  • • Subsequent SEC actions and endorsements of this standard
  • • In re Theodore W. Urban: A compliance officer is liable as a line supervisor
The Theodore W. Urban case illustrates the dilemma that confronts compliance attorneys
Some practical steps to reduce personal exposure

Andrews Kurth LLP
Matthew G. Nielsen
speaker bio »»

Barbara H. Kipp
Partner, Risk Assurance Services
speaker bio »»

Morvillo LLP
Andrew Morris
speaker bio »»

Who Should Attend?

- General Counsel
- In-House Counsel
- Compliance Officers
- Ethics officers
- Compliance and Ethics Managers
- Business Managers
- Internal Audit
- HR Personnel
- Risk Managers
- Risk Officers
- Consultants
- Attorneys and Consultants for Companies
- Lawyers
- Other Related Professionals

Why Attend?

This is a must attend event for lawyers seeking to understand and learn the most relevant developments in ethics.

- New guidance explained by the most qualified key leaders & experts
- Hear directly from experienced practitioners & thought leaders
- Interact directly with panel during Q&A

Enroll in this course today by clicking the "Register" button below. Significant discounts apply to early registrants. Advanced registration is advised as space is limited.

Registration Information:                                                                                                                                    

(Click here for information on group registrations and discounts)

Please note, the event date is firm although it may be subject to change. Please click here for details.
The Knowledge Group, LLC is producing this event for information purposes only. We do not intend to provide or offer business advice. The contents of this event are based upon the opinions of our speakers. The Knowledge Congress does not warrant their accuracy and completeness. The statements made by them are based on their independent opinions and does not necessarily reflect that of The Knowledge Congress' views. In no event shall The Knowledge Congress be liable to any person or business entity for any special, direct, indirect, punitive, incidental or consequential damages as a result of any information gathered from this webcast.

















Legal and Compliance Programs: Ethics and Effectiveness
LIVE Webcast
Speaker Firms:

For more than a century, Andrews Kurth has built its practice on the belief that “straight talk is good business.” Real answers, clear vision and mutual respect define the firm’s relationships with clients, colleagues, communities and employees. With over 400 lawyers and offices in Austin, Beijing, Dallas, Houston, London, New York, Research Triangle Park, The Woodlands and Washington, DC, Andrews Kurth represents a wide array of clients in multiple industries. For more information about Andrews Kurth, please visit

PwC’s Risk Assurance practice PwC understands that significant risk is rarely confined to discrete areas within an organization. Rather, most significant risks have a wide-ranging impact across the organization. As a result, PwC's Risk Assurance practice has developed a holistic approach to risk that evaluates your business, facilitates strategic decision making and promotes efficiency. This approach is complemented by the extensive risk and controls technical knowledge and sectors specific experience of its Risk Assurance professionals. The end result is a risk solution tailored to meet the unique needs of clients.

Morvillo LLP is a boutique litigation law firm with a specialized focus: SEC investigations; FCPA matters; white collar criminal investigations; accounting cases, and securities litigation. Our partners represent clients in complex government regulatory and criminal investigations and civil cases, including class actions. We regularly handled complex matters involving alleged accounting fraud, insider trading, market abuses, asset-backed securities, bribery of government officials, and false public filings.


The Knowledge Group, LLC is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417. Website:


We are an approved multi-event sponsor in the state of California. Our provider ID is: 14451. In Texas, Illinois, and Virginia, we submit programs for individual approval in advance. In all other states, once attendance is verified, participants are emailed an official certificate of attendance which they submit to their respective State Bar Associations. Our programs are created with continuing education in mind and are therefore designed to meet the requirements of all State Bar Associations. If you have any questions, please email our CLE coordinator at:

Attention New York Attorneys:

This program is approved for CLE credit under New York’s Approved Jurisdiction policy. The Knowledge Group, LLC is an approved sponsor in the state of California, a New York Approved Jurisdiction. This program fulfills the non-traditional format requirement of exceeding 60 minutes in length. Please note only experienced attorneys (more than 2 years) are eligible to receive CLE credit via non-traditional format learning platforms. The Knowledge Group will verify attendance during the webcast via secret words (3 per credit hour) and by auditing attendees log in and log out records. All verification instructions will be provided during the webcast. Once attendance verification requirements have been completed, the attendee will be issued a certificate of attendance be The Knowledge Group for the course with the recommended number of credit hours. The Certificate of Attendance is normally sent via email in 24 hours or less.

To Claim Your CLE Credits:

The attorney should simply include credits earned via Knowledge Group webcasts when computing the total number of CLE credits completed, and keep the Knowledge Group Certificate of Attendance for a period of at least four (4) years in case of audit. An attorney may count towards her/his New York CLE requirement credit earned through the Approved Jurisdiction policy without notifying the CLE Board.

To learn more about New York’s Approved Jurisdiction policy. Please visit:

Attention Texas Attorneys:

This program is approved by the State Bar of Texas. The Knowledge Congress will provide Certificate of Attendance and will submit your credit directly to the State Bar once we verified your attendance and survey. Please make sure to include your Texas State Bar Number upon registration.

Attention Pennsylvania Attorneys:

Knowledge Congress is not yet an Accredited Distance Learning Provider in PA, neither the instructors nor any PA attendees will receive credit for the course.

Enrolled Agents Sponsor ID Number: 7602U

We have entered into an agreement with the Office of Professional Responsibility, Internal Revenue Service, to meet the requirements of 31 Code of Federal Regulations, section 10.6(g), covering maintenance of attendance records, retention of program outlines, qualifications of instructors, and length of class hours. This agreement does not constitute an endorsement by the Office of Professional Responsibility as to the quality of the program or its contribution to the professional competence of the enrolled individual.