Securities Enforcement: The Filip Memorandum and Beyond
December 9, 2008
Topics:
- 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 use of privileged material by government agencies and private regulatory bodies, e.g. the SEC, CFTC, FINRA, as well as by the states
- The interplay between state prosecutions and cooperation
- The prospects of the Attorney-Client Privilege Protection Act (ACPPA) in Congress
Panelist:
Ernest E. Badway