white collar defense & investigations: events
Compliance Workshop: Hot Topics in the Government and Self-Regulatory Arenas
November 10, 2015 -- Duff & Phelps
Arthur Jakoby and David Rosenfield presented at the Duff & Phelps 9th Annual Alternative Investments Conference in New York, which brings industry leaders together to discuss key issues currently faced by the alternative investment community. David and Arthur’s program focused on handling government investigations and internal investigations as well as dealing with insider trading.
Mastering Internal Investigations & Corporate Compliance
August 19, 2015 and January 7, 2015 -- The Rossdale Group
David Rosenfield moderated a webinar sponsored by The Rossdale Group and entitled “Mastering Internal Investigations & Corporate Compliance.” The webinar, which was presented twice, discussed ethical and practical considerations involved in corporate internal investigations, including the issue of waiver of the attorney-client privilege.
The FDA’s Food Safety Program - Failure to Comply is Not an Option
As part of Herrick's ongoing efforts to assist food and beverage companies in identifying potential threats at the earliest stage, this presentation addressed critical issues and recent developments related to the FDA's food safety program. Prepared by David Rosenfield, a former federal prosecutor with extensive experience dealing with federal agencies, including the FDA, the presentation offered innovative solutions and strategies for making sure food companies were prepared.
Central New Jersey Compliance Group Meeting
October 14, 2014
Herrick Partner Richard M. Morris spoke at the Central New Jersey Compliance Group Meeting regarding effective responses to revised capital requirements, know your customer (KYC) regulations that will protect your bank, and tips on complying with government investigations.
In the Crosshairs: The Department of Justice and the SEC Focus on Insider Trading
June 12, 2014 -- The New York Society of Security Analysts
Howard Elisofon spoke at a seminar hosted by the New York Society of Security Analysts on June 12, 2014. The program examined the federal government’s ongoing campaign against insider trading and securities fraud, and the risks presented to securities industry professionals.
Establishing and Managing In-House Investigations and Compliance Functions
April 23, 2014 -- American Bar Association
David Rosenfield was on a panel entitled “Establishing and Managing In-House Investigations and Compliance Functions” at the ABA’s Sixth Annual National Institute on Internal Corporate Investigations and Forum for In-House Counsel, held in Washington, D.C.
Corporate Investigation CLE
February 28, 2013
Herrick's white collar and securities regulatory practice groups, in conjunction with the consulting firm of Alvarez & Marsal, hosted a CLE program focusing on critical issues in corporate internal investigations for sophisticated practitioners. The program focused on some of the thorny issues that confront attorneys when trying to effectively conduct an internal investigation. A panel comprised of experienced practitioners discussed practical issues and potential pitfalls that arise in the context of internal investigations. The panel offered insights on lessons learned in prior investigations and also discussed several investigations that suffered from serious missteps.
When Law Enforcement Comes Knocking
October 23, 2012
David Rosenfield spoke on a webinar to hundreds of audit and compliance professionals on how to respond when approached by law enforcement officers, and on the consequences of lying to the government.
ABA White Collar Crime Committee Meeting
October 11, 2012
The White Collar Crime Committee of the ABA’s Business Law Section hosted Professor John C. Coffee Jr., the Adolf A. Berle Professor of Law and Director of the Center on Corporate Governance at Columbia Law School. Professor Coffee spoke at Herrick, Feinstein LLP. Professor Coffee is listed by the National Law Journal as one of "The 100 Most Influential Lawyers in the United States” and is a recognized authority on white collar crime and securities industry regulation.
Obstruction of Justice
August 5, 2011 -- American Bar Association
David Rosenfield spoke on a panel at the ABA's Annual Meeting in Toronto on federal charges of obstruction of justice filed against an in-house attorney in connection with a document production.
May 5, 2011 -- American Bar Association
David Rosenfield moderated a panel on voluntary disclosure by corporations at the ABA's "Third Annual National Institute on Internal Corporate Investigations and Forum for In-House Counsel" in New York City. David was also on the Planning Committee for the Institute.
Protecting Your Institution Post-Galleon: Current Insider Trading Issues
September 21, 2010 -- Herrick, Feinstein LLP
Our distinguished panel of experts and Herrick attorneys discussed the current challenges facing the financial industry, recent developments in the insider trading laws, and the steps attendees need to take to protect themselves and their institutions.
A Case Study: The Good, the Bad and the Ugly
May 5, 2010 -- American Bar Association
David Rosenfield moderated a panel entitled "A Case Study: The Good, the Bad and the Ugly" at the ABA's "Second Annual National Institute on Internal Corporate Investigations and Forum for In-House Counsel" in Washington, D.C.
Representing the Individual
May 8, 2009 -- American Bar Association
David Rosenfield spoke on a panel at the "First Annual National Institute on Internal Corporate Investigations and Forum for In-House Counsel" in Washington, D.C. on representing an individual in an internal investigation.
How to Deal with Surprise Government Interviews
February 5, 2008 -- Herrick, Feinstein and KPMG
Herrick sponsored, with KPMG, a seminar on dealing with surprise government interviews before the ACC's Greater NY Chapter in New York City.