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. We provided 1-2 hours of CLE ethics credit in NY and NJ to the attendees. 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.
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. We provided 1-2 hours of CLE ethics credit in NY and NJ to the attendees. 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.
ABA White Collar Committee Meeting
February 13, 2013
Herrick hosted the ABA White Collar Crime Committee Meeting.
February 13, 2013
Herrick hosted the ABA White Collar Crime Committee Meeting.
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.
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 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 on Thursday, October 11, 2012. 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. The event took place from 6:15PM-8PM.
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 on Thursday, October 11, 2012. 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. The event took place from 6:15PM-8PM.
What to do if Your Fund Has Been Suspected of Insider Trading and Other Fraudulent Acts
January 10-11, 2012 -- Optimizing Hedge Fund Business Operations
Steve Feldman spoke at the Optimizing Hedge Fund Business Operations Annual Conference on “What to do if Your Fund Has Been Suspected of Insider Trading and Other Fraudulent Acts” at the Princeton Club in New York.
January 10-11, 2012 -- Optimizing Hedge Fund Business Operations
Steve Feldman spoke at the Optimizing Hedge Fund Business Operations Annual Conference on “What to do if Your Fund Has Been Suspected of Insider Trading and Other Fraudulent Acts” at the Princeton Club in New York.
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.
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.
Insider Trading Landscape, Post Galleon (Compliance 11 Webinar)
May 19, 2011 -- Compliance 11
Steve Feldman and Irwin Latner spoke at a Compliance 11 Webinar on the implications of the recent conviction of Raj Rajaratnam and the potential new era of intensified scrutiny regarding Insider Trading investigations. Compliance 11 sells compliance programs to broker-dealers, investment advisors and hedge funds.
May 19, 2011 -- Compliance 11
Steve Feldman and Irwin Latner spoke at a Compliance 11 Webinar on the implications of the recent conviction of Raj Rajaratnam and the potential new era of intensified scrutiny regarding Insider Trading investigations. Compliance 11 sells compliance programs to broker-dealers, investment advisors and hedge funds.
The Knock Knock That’s No Joke!
May 5, 2011 -- Marcum’s Breakfast Event
Rick Morris and Steve Feldman spoke at Marcum’s breakfast event entitled “The Knock Knock That’s No Joke!” The event focused on how to protect your hedge fund when law enforcement agents or the SEC pay you a visit.
May 5, 2011 -- Marcum’s Breakfast Event
Rick Morris and Steve Feldman spoke at Marcum’s breakfast event entitled “The Knock Knock That’s No Joke!” The event focused on how to protect your hedge fund when law enforcement agents or the SEC pay you a visit.
Voluntary Disclosure
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.
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.
Anti-Money Laundering and Economic Crimes
December 13, 2010 -- Gotham Media
Steve Feldman spoke on a CLE panel entitled “Anti-Money Laundering and Economic Crimes” at the Gotham Media Security TECH Breakfast seminar.
December 13, 2010 -- Gotham Media
Steve Feldman spoke on a CLE panel entitled “Anti-Money Laundering and Economic Crimes” at the Gotham Media Security TECH Breakfast seminar.
Compliance 11 User Conference
December 2, 2010 -- Compliance 11
Steve Feldman spoke on protecting financial services companies from an employee’s violation of the securities laws to securities professionals at a Compliance 11 user conference. Compliance 11 sells compliance programs to broker-dealers, investment advisors and hedge funds.
December 2, 2010 -- Compliance 11
Steve Feldman spoke on protecting financial services companies from an employee’s violation of the securities laws to securities professionals at a Compliance 11 user conference. Compliance 11 sells compliance programs to broker-dealers, investment advisors and hedge funds.
The Dodd-Frank Wall Street Reform and Consumer Protection Act
October 20, 2010 -- FEI New York City Chapter
Steve Feldman and Rick Morris spoke at the FEI New York City Chapter event “The Dodd-Frank Wall Street Reform and Consumer Protection Act.”
October 20, 2010 -- FEI New York City Chapter
Steve Feldman and Rick Morris spoke at the FEI New York City Chapter event “The Dodd-Frank Wall Street Reform and Consumer Protection Act.”
How False Statements Can Land You in Jail
October 6, 2010 -- Jamison Webinar
David Rosenfield and Steve Feldman spoke on a Jamison webinar for investment advisers entitled "How False Statements Can Land You in Jail."
October 6, 2010 -- Jamison Webinar
David Rosenfield and Steve Feldman spoke on a Jamison webinar for investment advisers entitled "How False Statements Can Land You in Jail."
Federal Bar Council's Fall Retreat
October 1-3, 2010
Steve Feldman and Scott Mollen attended the Federal Bar Council's Fall Retreat in Lenox, MA.
October 1-3, 2010
Steve Feldman and Scott Mollen attended the Federal Bar Council's Fall Retreat in Lenox, MA.
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.
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.
Financial Regulatory Overhaul Fund Compliance Workshop
July 27, 2010 -- IVY Plus
Herrick hosted an IVY Plus review session which focused on fund compliance with the passage of the Financial Regulatory Overhaul bill.
July 27, 2010 -- IVY Plus
Herrick hosted an IVY Plus review session which focused on fund compliance with the passage of the Financial Regulatory Overhaul bill.
Investment Advisors: Can Advisors be Held Criminally Liable for an Employee's Violation of Federal and State Securities Law?
July 13, 2010 -- Herrick, Feinstein LLP and Herbert L. Jamison & Co., L.L.C.
Steven Feldman and Arthur Jakoby joined members of Herbert L. Jamison & Co., L.L.C. to present a webinar entitled “Investment Advisors: Can Advisors be Held Criminally Liable for an Employee's Violation of Federal and State Securities Law?”
July 13, 2010 -- Herrick, Feinstein LLP and Herbert L. Jamison & Co., L.L.C.
Steven Feldman and Arthur Jakoby joined members of Herbert L. Jamison & Co., L.L.C. to present a webinar entitled “Investment Advisors: Can Advisors be Held Criminally Liable for an Employee's Violation of Federal and State Securities Law?”
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.
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.
Best Practices in Assessing Your Company’s Enterprise Risk Management Initiative: The Role of Internal Audit and Fiduciary Responsibilities of Audit Committees and Audit Directors
March 4, 2010 -- Herrick, Feinstein LLP and Institute of Internal Auditors
Herrick, in conjunction with the Business and Industry Committee of the New York Chapter of the Institute of Internal Auditors, hosted two interactive panel discussions and a networking reception.
March 4, 2010 -- Herrick, Feinstein LLP and Institute of Internal Auditors
Herrick, in conjunction with the Business and Industry Committee of the New York Chapter of the Institute of Internal Auditors, hosted two interactive panel discussions and a networking reception.
Criminal and Civil Issues Regarding the Bank Secrecy Act
September 22, 2009 -- New York State Society of CPAs
David Rosenfield spoke at a New York State Society of CPAs meeting on criminal issues related to the Bank Secrecy Act, and also discussed surprise government interviews.
September 22, 2009 -- New York State Society of CPAs
David Rosenfield spoke at a New York State Society of CPAs meeting on criminal issues related to the Bank Secrecy Act, and also discussed surprise government interviews.
Economic Upheaval & Financial Frauds – How the Regulators and Prosecutors are Responding to Turbulent Times
June 16, 2009 -- Tufts Financial Network
Steven Feldman spoke on a Tufts Financial Network panel entitled “Economic Upheaval & Financial Frauds—How the Regulators and Prosecutors are Responding to Turbulent Times.”
June 16, 2009 -- Tufts Financial Network
Steven Feldman spoke on a Tufts Financial Network panel entitled “Economic Upheaval & Financial Frauds—How the Regulators and Prosecutors are Responding to Turbulent Times.”
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 the individual in an internal investigation.
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 the individual in an internal investigation.
The Consequences of a Failure to Implement Anti-Money Laundering Controls
June 18, 2008 -- Financial Controls & Risk Forum 2008
David Rosenfield presented "The Consequences of a Failure to Implement Anti-Money Laundering Controls" at Gotham Media Ventures' "Financial Controls & Risk Forum 2008: Institutional Vulnerabilities and Due Diligence" in New York City.
June 18, 2008 -- Financial Controls & Risk Forum 2008
David Rosenfield presented "The Consequences of a Failure to Implement Anti-Money Laundering Controls" at Gotham Media Ventures' "Financial Controls & Risk Forum 2008: Institutional Vulnerabilities and Due Diligence" in New York City.
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.
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.
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