Advanced compliance and ethics workshop 2023 / Julian J. Moore, Rebecca Walker.

Author
Moore, Julian J. [Browse]
Format
Book
Language
English
Published/​Created
New York, New York : Practising Law Institute, 2023.
Description
1 online resource (870 pages) : illustrations.

Details

Subject(s)
Contributor
Series
Corporate law and practice course handbook series ; Number B-2843
Source of description
Description based on publisher supplied metadata and other sources.
Contents
  • Front Matter
  • Program Schedule
  • Faculty Bios
  • Table of Contents
  • Chapter 1.
  • The Evolution of the Law of Corporate Compliance in the United States: An Overview (February 2023)
  • Chapter 2.
  • Rebecca Walker and Jeffrey M. Kaplan, Our Third Rail: Compliance within the Legal Department, CEP Magazine (March 2022)
  • Chapter 3.
  • An Opportunity to Assess and Strengthen Board Oversight, CEP Magazine (June 2022)
  • Chapter 4.
  • Using Liaisons to Extend the Reach and Influence of Your Program, Ethikos, Vol. 37, No. 1 (January 2, 2023)
  • Chapter 5.
  • Leadership Oversight of Compliance and Ethics Programs, Ethikos, Vol. 37, No. 2 (April 1, 2023)
  • Chapter 6.
  • Rebecca Walker and Jeffrey M. Kaplan, Compliance Program Assessment Blog, Assessing Codes of Conduct (August 19, 2020)
  • Chapter 7.
  • Training the Board (April 24, 2023)
  • Chapter 8.
  • The Value of a C&E Week or Month or Even Just a Day (June 5, 2023)
  • Chapter 9.
  • Rebecca Walker and Adam Turtelaub, Meet Rebecca Walker, The Progression of Compliance, CEP Magazine (April 2022)
  • Chapter 10.
  • U.S. Securities and Exchange Commission, Questions Advisers Should Ask While Establishing or Reviewing Their Compliance Programs (May 2006; Updated February 5, 2009)
  • Chapter 11.
  • 2006 CCOutreach Regional Seminars Investment Adviser Case Study Discussion Guide
  • Chapter 12.
  • U.S. Securities and Exchange Commission, Risk Alert, Office of Compliance Inspections and Examinations, OCIE Observations: Investment Adviser Compliance Programs (November 19, 2020)
  • Chapter 13.
  • Squire Patton Boggs, ESG Laws Across the World, Global (July 2023)
  • Chapter 14.
  • Allen & Overy, Supply Chains Must Evolve to Keep Pace with Drive to Net Zero (November 28, 2022)
  • Chapter 15.
  • U.S. Securities and Exchange Commission, Climate-Related Disclosures/ESG Investing (Updated July 6, 2023)
  • Chapter 16.
  • Marriage, Blood, and Romance: Managing Conflicts of Interest Involving Personal Relationships, Ethikos, Vol. 33, No. 201906 (June 2019)
  • Chapter 17.
  • U.S. Securities and Exchange Commission, Strategic Plan-Fiscal Years 2022-2026
  • Chapter 18.
  • U.S. Department of Justice, Deputy Assistant Attorney General Matthew S. Miner Delivers Remarks at the 6th Annual Government Enforcement Institute (September 12, 2019)
  • Chapter 19.
  • U.S. Department of Justice, Criminal Division, Evaluation of Corporate Compliance Programs (Updated March 2023)
  • Chapter 20.
  • Complaint for Damages, Han v. Pfizer Inc., Case No. 323-cv-03908 (Cal. Super. Ct. 2023)
  • Chapter 21.
  • Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order, In the Matter of Stephen J. Easterbrook and McDonald's Corp., Securities Act Release No. 11144, Exchange Act Release No. 96610, Admin. Proc. File No. 3-21269 (January 9, 2023)
  • Chapter 22.
  • Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, In the Matter of United Continental Holdings, Inc., Exchange Act Release No. 79454, AAER No. 3833, Admin. Proc. File No. 3-17705 (December 2, 2016)
  • Chapter 23.
  • Deferred Prosecution Agreement, United States v. Illinois Bell Telephone Co., LLC (N.D. Ill. 2022)
  • Chapter 24.
  • U.S. Securities and Exchange Commission, 17 CFR Parts 240 and 275, [Release Nos. 34-97990; IA-6353; File No. S7-12-23], RIN 3235-AN00; 3235-AN14, Proposed Rule, Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
  • Chapter 25.
  • It's Time to Assess Your Reporting and Investigations Protocols, CEP Magazine (December 2021)
  • Chapter 26.
  • Allen & Overy, Organisational Culture in Financial Services, A Global Study into How the Sector is Approaching Purpose, Values and Behaviour in the Workplace (June 2023)
  • Chapter 27.
  • Allen & Overy, Culture, Compliance and Corporate Governance in the New Decade (February 7, 2020)
  • Chapter 28.
  • Allen & Overy, DOJ Announces New Policies on Corporate Prosecution (September 16, 2022)
  • Chapter 29.
  • Allen & Overy, Cross-Border White Collar Crime and Investigations Review (2023)
  • Chapter 30.
  • Partnering with Partners: Extending Compliance to Third Parties, CEP Magazine (June 2023)
  • Chapter 31.
  • Society of Corporate Compliance and Ethics, Code of Ethics for Compliance and Ethics Professionals, available at: www.corporatecompliance.org
  • Index.
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