The fifth and final session of our 14th Annual Investment Management Regulatory University—a series of webinars this year—will discuss ethical issues for investment advisers, including congressional investigations and subpoenas, related and recent privilege issues, executive branch and internal investigations, and best practices for avoiding foot faults. Please join Mayer Brown lawyers Stephanie Monaco, Lee Rubin, Michele Cerezo-Natal and Andrew Olmem as they address:
- The differences between congressional investigations and executive branch investigations
- The impact of the Supreme Court’s Mazars decision on privilege in congressional investigations
- The impact of the D.C. Circuit’s recent McGahn decision on congressional subpoenas
- The challenge of establishing the lines between compliance and legal for internal investigations
- Possible privilege pitfalls of compliance reviews of regulatory violations
- Establishing protocols and best practices for the well-intentioned compliance officer
CLE credit is pending.
Instructions for accessing the program are included in the calendar entry and will be sent prior to the webinar.
Have a scheduling conflict? Register for the live webinar, and we will send you a link to the webinar recording and related slide deck shortly after the broadcast date. Please note that to receive CLE credit, you must attend the live program; you will not be eligible for CLE credit based on listening to the recording.
12:00 p.m. – 1:00 p.m. EDT
11:00 a.m. – 12:00 p.m. CDT
10:00 a.m. – 11:00 a.m. MDT
9:00 a.m. – 10:00 a.m. PDT
5:00 p.m. – 6:00 p.m. BST
6:00 p.m. – 7:00 p.m. CEST
For additional information or to register, please contact Franceska Anderson-Vargas at [email protected] or +1 312 701 7795.