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    Course Information

5490  Standards of Professional Conduct Under the Sarbanes-Oxley Act


No cost or obligation  
Course Length    64  minutes
Course Price    $ 119.00

Volume discounts and subscriptions are available; for more information, contact Cognistar Sales.

    Accreditation Information


Click on jurisdiction below for more details.
>>  1.00  credit    CA  NJ  NY  PA
>>  1.07  credits    TN
>>  1.25  credits    CO  WV

    About the Instructor(s)



 
David Keyko

Pillsbury Winthrop Shaw Pittman LLP

David G. Keyko is a partner in the New York office of Pillsbury Winthrop Shaw Pittman LLP. His practice focuses on major, complex litigation, often involving multiple parties. He has handled cases involving allegations of securities and other types of fraud, antitrust violations, ethics issues, and trusts and estates issues, as well as representing clients responding to government probes. He has also served as an expert witness in connection with legal malpractice litigation. Among the prominent cases Mr. Keyko has handled was the representation of of the primary claimant to a $1.5 billion estate in lawsuits filed in several jurisdictions.

Mr. Keyko has lectured and written widely on securities, antitrust, legal ethics and general litigation topics. He is a regular columnist for the New York Law Journal and he has written several dozen articles on litigation and ethics issues for such publications as the National Law Journal and Metropolitan Corporate Counsel, on whose advisory board Mr. Keyko has served.

Mr. Keyko has undertaken a variety of pro bono projects and served as chairman of the board of MFY Legal Services, Inc. and just completed his term as a member of the Departmental Disciplinary Committee of the First Department. He is chairman of the Professional Responsibility Committee of the Association of the Bar of the City of New York. He chaired the ad hoc committee of the association that commented on proposed SEC regulations under Section 307 of the Sarbanes-Oxley Act of 2002. He is a former member of the association’s Professional and Judicial Ethics Committee.

Mr. Keyko is a member of Pillsbury’s Sarbanes-Oxley Committee, Opinions Committee and Professional Responsibility Committee.

In 1974, Mr. Keyko graduated magna cum laude from Yale University with a B.A. In 1977, he earned his law degree cum laude from New York University School of Law, where he was a member of Order of the Coif and articles editor for the Annual Survey of American Law.

Mr. Keyko is admitted to practice in New York and before a number of federal district courts in New York and Connecticut. He is also admitted to practice before the U.S. Courts of Appeals for the Second and Fifth Circuits and the U.S. Supreme Court.



    Outline + Synopsis

Outline Synopsis
Standards of Professional Conduct Under the Sarbanes-Oxley Act
    I. Introduction
    II. The Cautionary Tale of John Isselmann, Jr.
    III. 17 C.F.R. Part 205 Rules
        A. Overview and Background
        B. Key Terms
            1. Terms to Be Defined
            2. Appearing and Practicing Before the Commission
            3. Issuer
            4. Representation of an Issuer
            5. Evidence of a Material Violation
            6. Subordinate and Supervising Attorney
            7. Reporting Evidence
            8. Appropriate Response
        C. Practical Advice on Reporting
        D. Whistle-Blowers
        E. Client Confidentiality
        F. Reporting Out and Withdrawal
        G. Issuer Responsibilities
    IV. Scenario Review
        A. Scenario 1: In-House Litigator
        B. Scenario 2: Outside Counsel
        C. Scenario 3: Private Hedge Fund
        D. Scenario 4: In-House Environmental Lawyer
    AfterWordsSM


Even if you are not a securities lawyer, there is a good chance that Sarbanes-Oxley Act applies to you. Under the rules established by the Securities and Exchange Commission (17 C.F.R. Part 205), "appearing and practicing before the SEC" is defined very broadly, imposing specific obligations and responsibilities for reporting evidence of improper acts within a corporation. In this program, attorney David Keyko explains the rules in detail and challenges you to apply those rules in various scenarios involving both in-house and outside counsel.


    Content Provided By

  With influence and presence on both U.S. coasts and abroad, Pillsbury Winthrop Shaw Pittman LLP enjoys an expansive international platform. The firm has 14 offices in global centers for capital markets, energy and technology and provides its clients with the strength of this reach and a commitment to cross-border service and responsiveness. Pillsbury is a leader in its core areas of focus: capital markets and finance, energy, global sourcing, litigation, real estate, technology, life sciences, and communications.



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5490  Standards of Professional Conduct Under the Sarbanes-Oxley Act

Course Price     $ 119.00


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