Securities Enforcement: The Filip Memorandum and Beyond

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