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Topics Compliance Readiness CHW: Software Offers Cost, Consistency And Compliance Help For Major Hospital System
The Editor interviews Ian Boase, Vice President and Associate General Counsel, Catholic Healthcare West. December 2009 [P. 38] Investment Management Compliance Update: Placement Agents Under Fire
R. Scott Beach, James E. Bowers and Shawn T. Wooden Day Pitney LLP October 2009 [P. 09] Getting Buy-in For Effective Export Controls Compliance Programs In A Tough Economy
Darryl W. Jackson Kelley Drye & Warren LLP October 2009 [P. 24] Expertise In Investigatory And Advisory Services That Every Company Needs The Editor interviews Carmina Hughes , Executive Director, Daylight Forensic & Advisory. October 2009 [P. 25] Expansive New HHS And FTC Regulations Require Entities To Provide Notice Of Data Breaches Involving Health Information Jo-Ellyn Sakowitz Klein Akin Gump Strauss Hauer & Feld LLP October 2009 [P. 34] Keeping Up With The FCPA In Challenging Times Paul Sachs and Pamela Verick Protiviti Inc. August 2009 [P. 36] How Lessons Learned Provide Future Guidance On FCPA Compliance The Editor interviews Alfredo Avila , Assistant General Counsel, Monsanto Company. August 2009 [P. 37] Looking Beyond Controls: Leveling The Playing Field To Address Compliance Risk
Jack Holleran, Larry Iwanski and Michael Ricks Ernst & Young LLP June 2009 [P. 05] Meaner Than Junkyard Dogs - What Will Obama Do With His Inspectors General? John F. Sopko Akin Gump Strauss Hauer & Feld LLP June 2009 [P. 07] Compliance Best Practices Improve The Bottom Line The Editor interviews Jack Holleran , Principal, Ernst & Young. May 2009 [P. 08] Developing Effective Regional Compliance Programs At Multinational Organizations
James Ewing and Felecia Ware-Alexander Duff & Phelps, LLC May 2009 [P. 13] Foreign Corrupt Practices Act 2.0 - Its Role In The 2009 Global Economy The Editor interviews Michael Himmel , Partner and Chair of the Litigation Department and White Collar Defense Practice Group, Lowenstein Sandler PC. May 2009 [P. 15] The New Standard Of Fraud And The Importance Of Trademark Audits
Jeffrey C. Katz Davis & Gilbert LLP February 2009 [P. 22] Survey Results Point To Importance Of Compliance Programs The Editor interviews Tim Hedley , a KPMG Partner who leads the firm's National Forensic Services and serves as the Global leader for Fraud Risk Management Services. February 2009 [P. 33] A Growing Danger On The Horizon For Companies Doing Business Internationally: Corporate Liability Under The Alien Tort Statute
B. Keith Gibson and Jeremy T. Grabill Weil, Gotshal & Manges LLP February 2009 [P. 34] Tyco: Open Lines Of Communication Foster A Culture Of Compliance The following remarks by Matthew O. Tanzer were taken from a panel entitled "Corporate Compliance and Ethics Institute 2008: When Something (Allegedly) Goes Wrong - From Receipt of a Concern Through Investigation," which was held as part of PLI's Corporate Counsel Institute in June 2008. October 2008 [P. 41] Records And Information Management: Essential To Organizational Compliance And Litigation Risks The Editor interviews Maura Dunn, Terry Coan and Gordon Workman , Directors in the Legal Management Consulting Practice of Duff & Phelps, LLC. October 2008 [P. 48] Governance, Risk And Compliance - GRC - An Evolving Imperative In A Global Economy The Editor interviews Robert N. Kirtley , Managing Director, and Tim Strong , Director, Legal Management Consulting practice, Duff & Phelps. September 2008 [P. 20] "An Ongoing Compliance Function Is Part Of The Corporate Culture Of Any Successful Enterprise" The Editor interviews Ronald A. Joma , Senior Manager, Amper, Politziner & Mattia, LLP. September 2008 [P. 34] High Performance With High Integrity - Only The CEO Can Make It Happen The Editor Interviews Ben W. Heineman, Jr. , former Senior Vice President and General Counsel, GE; Distinguished Senior Fellow at Harvard's Kennedy School of Government; Senior Counsel at Wilmer Cutler Pickering Hale & Dorr; and author of High Performance with High Integrity , a publication of Harvard Business Press. July 2008 [P. 01] GE's General Counsel: A Class Act With "A Players" The Editor interviews Brackett B. Denniston, III , Senior Vice President and General Counsel, GE. July 2008 [P. 17] A Book* Every GC - And CEO - Should Read Cover To Cover The Editor interviews Ira M. Millstein , Senior Partner, Weil, Gotshal & Manges LLP. July 2008 [P. 20] Compliance Programs' New Mantra: Value Preservation And Value Creation Editor's Note: Richard H. Girgenti is the National Practice Leader of KPMG LLP's U.S. Forensic Practice, the Partner in Charge of the Forensic Practice for the Americas region, and a member of the Board of Directors of KPMG LLP. During his tenure on the Board, he has chaired the firm's Governance Task Force, Ethics and Compliance, and Nominations Committees. Prior to joining KPMG, Mr. Girgenti was the top criminal justice officer for the State of New York, serving as the state's Director of Criminal Justice and Commissioner of the Division of Criminal Justice Services. He is a veteran prosecutor who handled investigations, trials, and appeals in state and federal courts. June 2008 [P. 01] The High Price Of Non-Compliance The Editor interviews Adam Warren and Jim Ewing , Managing Directors of Duff & Phelps in the firm's Chicago office. June 2008 [P. 18] "The Year Of The Recall": CPSC Lessons To Learn Christie L. Grymes Kelley Drye & Warren LLP June 2008 [P. 54] Investigators: Compliance, M&A, JV, Due Diligence And More The Editor interviews Scott Shaffer , Vice President of Sales, Kreller Group. May 2008 [P. 38] Advising Clients On Greenhouse Gas Emissions' Reporting The Editor Interviews David P. Flynn , Partner, Phillips Lytle LLP, whose practice is in the areas of environmental law, energy and nanotechnology, and is practice team leader for the Firm's Energy and Nanotechnology practice teams. April 2008 [P. 25] Recent Developments In Corporate Disclosure Of Climate Change Risk - Part I David R. Berz and Matthew Morton Weil Gotshal & Manges LLP April 2008 [P. 27] Sustainable Environmental Management: A Systematic Approach To Process Improvements Promises Reduced Risk, Cost Savings Jim Haried Ernst & Young LLP April 2008 [P. 32] The Challenges And Opportunities Of Climate Change And Sustainability Part I - Legal Obligations And The Potential For Competitive Advantage John Grosskopf and Cynthia Retallick TRC Companies, Inc. April 2008 [P. 36] Developing An Interstate Land Sales Compliance Strategy: A State Land Sales Law Perspective - Part I M. Maxine Hicks and Linda E. Ragan Warnke Epstein Becker & Green P.C. April 2008 [P. 38] Society Of Corporate Secretaries & Governance Professionals - Filling Essential Needs The Editor interviews David W. Smith , President, Society of Corporate Secretaries & Governance Professionals. April 2008 [P. 47] The Role Of The Corporate Secretary In The New Post-Sarbanes/Oxley Arena The Editor interviews Warren J. Casey and Michael T. Rave , Partners, Day Pitney LLP. April 2008 [P. 49] Managing Your Unclaimed Property Risk The Editor interviews Andrew Panaccione , Vice President, Corporation Service Company ("CSC"), to discuss why more companies should be concerned about unclaimed property compliance. April 2008 [P. 50] Transforming A Legal Icon To Meet Tomorrow’s Needs The Editor interviews Ralph Calistri , Senior Vice President and General Manager of Global Client Development, CEO of Martindale-Hubbell. April 2008 [P. 52] Craig's Corner For Counsel: Compliance March 2008 [P. 04] The Current State Of Corporate Fraud Risk Management (FRM) Ken Yormark and Pam Verick Stone Protiviti March 2008 [P. 28] Today's Successful General Counsel: Always Looking Around The Corner These remarks were taken from a panel entitled "The Growing Role of Corporate Counsel," which was held as part of PLI's Corporate Counsel Institute in September 2007. The participants were Louise Parent, General Counsel of American Express Co. and Esta Eiger Stecher, General Counsel of Goldman Sachs. The panel was moderated by Richard Ziegler, formerly General Counsel of 3M Corp and currently a partner at Jenner & Block, who led the discussion through several phases of a hypothetical. March 2008 [P. 33] Making Sense Of The Subprime Debacle The Editor interviews Rich Girgenti, National Practice Leader for Forensic Services at KPMG LLP. February 2008 [P. 46] A Telescopic World-View Of Compliance The Editor interviews Martin J. Weinstein , Partner in Willkie Farr & Gallagher LLP's Litigation Group and leader of the firm's Compliance & Enforcement Practice Group. February 2008 [P. 47] So, You Want To Help? Compliance Considerations For Corporate Political Fundraising David E. Frulla and Robert R. Cohen Kelley Drye & Warren LLP February 2008 [P. 48] Compliance Readiness Essentials - Program, Investigation And Defense Jack Holleran, Ernst & Young; Steven Kaufhold and Stephen A. Mansfield, Akin Gump Strauss Hauer & Feld LLP. January 2008 [P. 13] Managing e-Discovery And Avoiding Sanctions Under The FRCP Amendments The Editor interviews Brad Harris , Director, Discovery Center of Excellence, Fios, Inc. January 2008 [P. 15] Directors & Officers Liability Insurance: How Well Are You Protected? The Editor interviews Carl E. Metzger , Partner, Goodwin Procter LLP. January 2008 [P. 16] Institutional Fact-Finding? Getting Started - Where To Go? William K. Slate II American Arbitration Association January 2008 [P. 18] AAA, Independent Fact-Finding And The Subprime Crisis The Editor interviews R. William "Bill" Ide , Partner, McKenna Long & Aldridge LLP. Mr. Ide is Chair of the Panel, Independent Fact-Finding Services (IFFS), American Arbitration Association (AAA); a former President of the ABA and the former Senior Vice President, General Counsel, and Secretary of the Monsanto Company. January 2008 [P. 19] What The "Subprime Crisis" Really Means For Your Business Philip R. White and James M. Hirschhorn Sills Cummis & Gross, P.C. January 2008 [P. 20] Corporate Compliance: A Convergence With Electronic Discovery The Editor interviews Robert Ballou , Chief Executive Officer, ONSITE 3 . January 2008 [P. 21] Due Diligence: Recognizing And Assessing Risk In Uncertain Times Ken Yormark Protiviti January 2008 [P. 22] An Accounting And Auditing Expert Shares Her Views The Editor interviews Christal McElroy, Partner, Eisner LLP. January 2008 [P. 23] The Strategic Use Of E-Discovery And High-Tech Experts In Complex Litigation, Regulatory And Compliance Matters Jerry F. Barbanel and Lee Curtis Aon Consulting January 2008 [P. 24] Accounting Standard 5: A Kinder, Gentler Compliance Standard The Editor interviews Dan Schroeder , Officer, Business & Risk Advisory Services, Amper, Politziner & Mattia, P.C. January 2008 [P. 25] The Non-Profit Organization Arena: The Name Of The Game Is Accountability The Editor interviews Mark E. Chopko , Stradley Ronon Stevens & Young LLP. January 2008 [P. 39] Antitrust Trends In The UK And EU The Editor interviews Douglas Nave , partner, and Juliette Enser , associate in the London Office of Weil, Gotshal & Manges LLP. January 2008 [P. 42] International Bribery Risks: FCPA And OECD Do Bite - Have Teeth! The Editor interviews Robert Goldspink, Managing Partner, London office, and Emma O'Kane, Senior Associate, London office, Morgan, Lewis & Bockius. January 2008 [P. 44] International Compliance Awareness - Current Compliance Issues In The UK Diana Newcombe Eversheds LLP January 2008 [P. 46] SOX 404 Attestation Reports For Foreign Subsidiaries Effect Of The Principles-Based Approach Of AS5 The Editor interviews David Robbins , Head of Risk and Corporate Governance Services, Baker Tilly. January 2008 [P. 47] Privacy And Data Security: Significant Compliance Issues The Editor interviews Tanya L. Forsheit , Partner in the Litigation and Dispute Resolution Department of Proskauer Rose LLP's Los Angeles office. January 2008 [P. 52] Qualcomm, The Subprime & E-Discovery Trends For 2008 The Editor interviews Mary Mack, Technology Counsel, Fios, Inc., who has been regularly blogging on e-discovery issues and the Qualcomm v. Broadcom case in her blog, SoundEvidence, on DiscoveryResources.org. December 2007 [P. 18] Getting ESI Evidence Admitted: Lorraine v. Markel American Insurance Co. Jeffrey L. Nagel Gibbons P.C. December 2007 [P. 20] The Welch Case: Focusing On "Protected Activity" Under Sarbanes-Oxley The Editor interviews Barbara E. Hoey , Kelley Drye & Warren LLP. November 2007 [P. 29] Global Convergence Makes Sense: Find A Law Firm To Do It All The Editor interviews David Gray , Chief Executive, Eversheds LLP. September 2007 [P. 01] Bridging The "Atlantic" Gap - Extra-Territorial Jurisdictional Issues, In Light Of Globalization And Enlargement John Heaps and Gerallt Owen Eversheds LLP September 2007 [P. 23] Roundtable: Is Your Global Compliance What It Should Be? Participating in this roundtable are: Jeffrey Carr, Vice President, General Counsel & Secretary, FMC Technologies Inc.; Scott Gilbert , Chief Compliance Officer, Marsh & McLennan Companies; Thomas Kim , Senior Vice President, Global Head of Compliance Assurance and Principal Legal Counsel, Reuters; Richard A. Sibery , Partner, Fraud Investigation and Dispute Services, Ernst & Young LLP; Linda Winter , Director of Compliance, Armstrong World Industries. The facilitator is Leigh Dance, President of ELD International and one of the conference organizers. September 2007 [P. 24] New CFIUS Reform Act Presents Challenges To Foreign Investment In The United States Edward L. Rubinoff and Henry A. Terhune Akin Gump Strauss Hauer & Feld LLP September 2007 [P. 29] AS5 Aims To Boost The Efficiency Of The Internal Control Assessment Process Laurie Scofield RSM McGladrey, Inc. September 2007 [P. 35] Why Smaller Companies Benefit From Accounting Standard 5 The Editor interviews Lee Smith, Director, Amper, Politziner & Mattia. September 2007 [P. 37] Yes, You Do Need To Respond To Civil Investigative Demands The Editor interviews Peter A. Nolan , Shareholder, Winstead PC. September 2007 [P. 72] Proactive Solutions For FCPA Investigations And Compliance The Editor interviews Jeffrey Harfenist , Managing Director and national practice leader for Fraud and Forensics, Joseph Jaffe , Managing Director, Special Counsel and national practice leader for Global Business Intelligence and Investigations, and Frank Rudewicz , Managing Director, Special Counsel and national practice leader for Crisis and Risk Management, UHY Advisors FLVS, Inc., a forensic, litigation support and valuation services firm. August 2007 [P. 19] Courts Link Good Faith Oversight Of Risks With Directors' Personal Liability Darren J. Donovan and Marikay A. Corcoran KPMG LLP August 2007 [P. 23] Tone At The Top - Part I Justin P. Klein and John C. Grugan Ballard Spahr Andrews & Ingersoll, LLP June 2007 [P. 05] The Use Of A Project Management Approach In Compliance Programs Diana Newcombe Eversheds LLP June 2007 [P. 06] The Key Message: Do It Right! The Editor interviews former Senator Mike DeWine , Of Counsel, and James E. Burke , Partner, Keating Muething & Klekamp PLL. Messrs. DeWine and Burke co-chair the firm's Corporate Investigations Group. June 2007 [P. 07] The Long Arm Of Sarbanes-Oxley: Extending To Private And Non-Profit Organizations The Editor interviews John Pennett, CPA , Amper, Politziner & Mattia, P.C. June 2007 [P. 08] Developing And Implementing An Internal Compliance Program To Address Economic Sanctions Concerns - Part II Edward L. Rubinoff and Tamer A. Soliman Akin Gump Strauss Hauer & Feld LLP May 2007 [P. 10] Trends In FCPA Enforcement Elliott Leary , Joseph P. Dooley and Nicole Stryker KPMG LLP May 2007 [P. 18] Taking A Comprehensive Approach To Fraud Prevention Laurie Scofield RSM McGladrey, Inc. May 2007 [P. 22] Risk Management Requires Legal And Compliance Officers To Focus On Corporate Social Responsibility The Editor interviews Michael R. Levin , Esq., Director, Corporate Integrity Strategy, Integrity Interactive. May 2007 [P. 24] "The Key To Any Securities Investigation Is Materiality" The Editor interviews Jonathan E. Rich , Senior Counsel, Proskauer Rose LLP, Los Angeles. May 2007 [P. 27] Compliance With EPA And New Jersey DEP Enforcement Priorities For Nonpermanent Environmental Cleanups Steve Barnett Connell Foley LLP May 2007 [P. 38] Top Ten Crisis Risk Management Maxims Julia R. Dillon The Metropolitan Corporate Counsel May 2007 [P. 59] SEC Enforcement Action Shines Light On Environmental Disclosures Lewis B. Jones and John C. Bottini King & Spalding LLP April 2007 [P. 05] Anticipating A Greenhouse Gas Compliance Strategy Roger D. Stark and John F. Spinello, Jr. Kirkpatrick & Lockhart Preston Gates Ellis LLP April 2007 [P. 06] The Conduct Of Independent Investigations - And The General Counsel's Role The Editor interviews Mary O'Connor , Partner, Akin Gump Strauss Hauer & Feld LLP. April 2007 [P. 21] FCPA Compliance: How Accounting Professionals Can Help The Editor interviews Richard A. Sibery , Ernst & Young LLP, Partner, Fraud Investigation & Dispute Services. April 2007 [P. 22] Developing And Implementing An Internal Compliance Program To Address Economic Sanctions Concerns - Part I Edward L. Rubinoff, P.C. and Tamer A. Soliman Akin Gump Strauss Hauer & Feld LLP April 2007 [P. 23] Why Compliance Doesn't Work - Part II Andrew C. Hruska and Ansley Tillman King & Spalding LLP April 2007 [P. 24] Significant Risks For Companies Without Comprehensive Compliance And Ethics Programs James H. Rodio and Christopher A. Myers Holland & Knight LLP April 2007 [P. 25] What To Do Before The Government Knocks The Editor interviews Deborah T. Poritz , Of Counsel, and Barry Gross , Partner, Drinker Biddle & Reath LLP. April 2007 [P. 26] Independent Examiners And Monitors: An Evolving Approach To Addressing Corporate Misconduct Timothy E. Hoeffner and Cathleen M. Devlin Saul Ewing LLP April 2007 [P. 28] Effective Fraud Risk Management: The Last Word The Editor interviews Timothy P. Hedley , Forensic Partner, KPMG, New York. April 2007 [P. 29] Three Techniques To Improve The Effectiveness Of Global Compliance Program James Ewing and Gerald Kral Duff & Phelps, LLC April 2007 [P. 31] Backdated Stock Option Issues Continue To Make Headlines Robert J. Friedman and Scott D. Segal Holland & Knight LLP April 2007 [P. 32] Chaos At The Intersection Of Marketing And Compliance - Part II The Editor interviews Dave Curran, CEO, Data Communiqué, Inc. April 2007 [P. 33] New Compliance Tools For The Corporate Secretary The Editor interviews Thomas Charno , Product Manager, Corporate Compliance & Governance; and Christopher Quimby , Senior Product Manager, Corporation Service Company (CSC). April 2007 [P. 35] AdvantageSM By Lawyer Links: Offering In-House Counsel A User-Friendly System For Researching Corporate Compliance Requirements The Editor interviews Neil McCarthy , Editor in Chief, and Mike Heal , Vice President - Sales & Marketing, Lawyer Links, LLC. April 2007 [P. 38] Compliance Readiness And Beyond - A Message From The Editor Al Driver, Editor The Metropolitan Corporate Counsel April 2007 [P. 42] Assessing Risk - What A Prospective Director Needs To Know The Editor interviews J. Kenneth Menges, Jr. , head of the firmwide corporate finance and mergers and acquisitions practice at Akin Gump Strauss Hauer & Feld LLP. March 2007 [P. 01] Criminal Law - An Ongoing Concern: Avoiding Corporate Death Sentences The Editor interviews Michele A. Roberts , Partner, Akin Gump Strauss Hauer & Feld LLP. March 2007 [P. 23] The Maxim Integrated Products Case -- What Message Is The Delaware Chancery Court Trying To Send? The Editor interviews Robert A. Profusek , Jones Day. March 2007 [P. 26] Sentencing A Corporation To Death - A Death Sentence For Self-Regulation? The Editor interviews R. William "Bill" Ide , Partner, McKenna Long & Aldridge LLP. Mr. Ide is Chair, ABA Task Force on Attorney-Client Privilege (ABA Task Force), a former President of the ABA and the former Senior Vice President, General Counsel, and Secretary of the Monsanto Company. March 2007 [P. 29] It's More Than Just Good Manners: Fostering An Ethical Working Environment Linda B. Hollinshead WolfBlock March 2007 [P. 31] When Congress Comes Knocking . . . The Editor interviews Nicholas W. Allard , Co-Chair, Public Policy Department, Patton Boggs LLP. Mr. Allard's remarks are adapted from presentations that he is making to corporate counsel around the U.S. with the Patton Boggs Public Investigations team, which includes Senator John Breaux, Jonathan Yarowsky and litigation partners Ron Liebman and Robert Luskin. March 2007 [P. 33] Why Compliance Doesn't Work - Part I Andrew C. Hruska and Ansley Tillman King & Spalding LLP March 2007 [P. 34] A Brief Q&A On Sarbanes-Oxley Compliance The Editor interviews Laurie Scofield , Managing Director in RSM McGladrey's Risk Management Consulting Practice in New York City. March 2007 [P. 38] Current Sarbanes-Oxley's Section 404 - A Hardship For Small Companies John Pennett, CPA Amper, Politziner & Mattia March 2007 [P. 39] Compliance: Ensuring It Is In Place And Remains In Place The Editor interviews William W. Robertson , Robertson, Freilich, Bruno & Cohen, LLC. February 2007 [P. 36] Sarbanes-Oxley Rule Revisions Announced Stephen V. Falanga and John P. Lacey Connell Foley LLP February 2007 [P. 37] DOJ's Past Policies Undermined Corporate Compliance Efforts; The McNulty Memo Is Not The Solution The Editor interviews Michael S. Greco , Partner in the Boston office of K&L Gates. January 2007 [P. 06] The Developing Concept Of "National E-Discovery Counsel" Steven C. Bennett Jones Day January 2007 [P. 18] How The Pharmaceutical Industry Is Coming Under Attack - Part II Christopher P. DePhillips and Brian P. Sharkey Porzio, Bromberg & Newman P.C. January 2007 [P. 19] The False Claims Act And Its Newfound Fame Glenn V. Whitaker and Victor A. Walton Vorys, Sater, Seymour and Pease LLP January 2007 [P. 20] The 110th Congress: What Your Company Should Know About Congressional Private Sector Investigations Eleanor J. Hill King & Spalding LLP January 2007 [P. 24] Preparing For Life Under The New FRCP: The Corporate Counsel Checklist
Matthew Blake OnSite E-Discovery December 2006 [P. 24] New Developments In Sarbanes-Oxley Compliance For Non-Accelerated Filers The Editor interviews Laurie Scofield , Managing Director, Risk Management Practice, New York Office, RSM McGladrey, Inc. For information about fraud webinar, go to www.rsm-mcgladrey.com. December 2006 [P. 28] A Trial Lawyer's Perspective On Compliance And Risk Assessment The Editor interviews James F. Jorden , Managing Partner of Jorden Burt LLP, who is a nationally recognized expert in insurance and securities industry litigation. December 2006 [P. 31] How SOx 404 Will Become Easier for Smaller Companies Neil Goldenberg Eisner LLP December 2006 [P. 32] Compliance Program Best Practices
Compiled by Jocelyn Plan, Duff & Phelps, LLC ('Duff & Phelps') December 2006 [P. 33] U.S. Department Of Commerce Poised To Impose New Restrictions On Exports To China
Jonathan M. Epstein Holland & Knight LLP December 2006 [P. 64] The Criminal Implications Of Backdating Stock Options Martha Boersch and Renee Beltranena Bea Jones Day November 2006 [P. 08] Global Immigration Law: An Update On Compliance For Employment Counsel In light of developing global compliance issues affecting the employment of professional talent, the editor caught up with a few of the partners of one of the world's leading immigration law firms, Fragomen, Del Rey, Bernsen & Loewy, LLP. Austin T. Fragomen , Jr. is a partner with the Firm's New York, NY office; Gwendolyn M. Robosson , is the Managing Partner of the Firm's Iselin, NJ office; Lance Kaplan is the Managing Director of Fragomen Global Immigration Services, LLC, and Jonathan C. Adams also is a Partner with the Firm. November 2006 [P. 21] Executives In The Political Arena: Perils And Tribulations Thomas W. Dymek Stradley Ronon Stevens &Young, LLP October 2006 [P. 14A] A General Counsel Speaks Out On Compliance Readiness Anastasia ("Stasia") D. Kelly MCI October 2006 [P. 31] A Roundtable Discussion On Compliance Policy Development, Education And Communication In our editorial in the September 2006 issue of MCC, we noted that compliance professionals crave detailed insight into the management practices of their peers to get the most out of their programs. The afternoon of the "Compliance Readiness" seminar on October 26, 2006 will be spent sharing best practices between the attendees and a number of General Counsels and Chief Compliance Officers on a wide range of topics, including those discussed below. We are pleased that Sue Bettman , Senior Vice President and General Counsel, RR Donnelly, and Martin Grant , Senior Vice President and Chief Compliance Officer, Federal Reserve Bank of New York, are willing to share some of their thoughts prior to the event with the help of our moderators, James Ewing and Jerry Kral , Directors, Legal Management and Compliance Consulting, Duff & Phelps, LLC. To hear more detailed insights on these and other topics, please plan to attend the October 26th conference. Thanks again to James Ewing and Jerry Kral for moderating this roundtable. October 2006 [P. 33] Sarbanes-Oxley Act: Planning & Compliance Edited by Diane E. Ambler , Lorraine Massaro and Kristen L. Stewart , Partners, Kirkpatrick & Lockhart Nicholson Graham LLP Reviewed by Al Driver, Editor The Metropolitan Corporate Counsel October 2006 [P. 34] Gaps In Your Compliance Posture? Consider A Legal Compliance Risk Assessment The Editor interviews Alex Brigham , President and Chief Executive Officer, Corpedia Corporation d/b/a Corpedia. October 2006 [P. 35] What's Next In SOX 404 For Smaller Public Companies? The Editor interviews Neil Goldenberg , Chief Executive Director of Corporate Governance & Risk Management Services, Eisner LLP. October 2006 [P. 36] Stock Option Timing: The Scrutiny Intensifies Lyle G. Ganske and Meredith L. Deutsch Jones Day October 2006 [P. 37] Thompson Memo Setbacks Don't Diminish Need For Strong Compliance Program Gary G. Grindler and Russell G. Ryan King & Spalding LLP October 2006 [P. 40] A General Counsel And His Experts Tackle Risk Assessments John M. Spinnato , Debra Sabatini Hennelly and Steven A. Lauer Integrity Interactive Corporation October 2006 [P. 50] Chaos At The Intersection Of Marketing And Compliance - Part I
Dave Curran Data Communique International, Inc. October 2006 [P. 53] Compliance Issues Affecting Mutual Funds And Indexed Annuities The Editor interviews Richard T. Choi , Partner, Jorden Burt LLP. October 2006 [P. 54] Compliance Readiness - General Counsel's Expanded Role The Editor interviews Dick Thornburgh , Of Counsel, Kirkpatrick & Lockhart Nicholson Graham LLP ("K&LNG"). September 2006 [P. 01] Investigation - An Essential Step In Responding To Threats Of Criminal Prosecution The Editor interviews John J. Farmer , Partner, Kirkpatrick & Lockhart Nicholson Graham LLP ("K&LNG"). September 2006 [P. 25] The Evolving World Of The Corporate Compliance Officer Jane L. Wexton Akerman Senterfitt LLP September 2006 [P. 26] Compliance Functions - Leadership, People, Process & Technology James Ewing and Gerald Kral Duff & Phelps, LLC September 2006 [P. 27] Wake Up And Smell The Information: How To Mitigate Privacy Breach Risks And Ensure Information Security
Joe Fantuzzi Workshare, Inc. September 2006 [P. 31] Corporate Compliance: Casting A Wide Net The Editor interviews Thomas Wardell , Partner, McKenna Long & Aldridge LLP. September 2006 [P. 36] Former Regulators Discuss Backdating Stock Options The Editor interviews Thomas L. Taylor III and Michael J. Stewart , Winstead Sechrest & Minick P.C. September 2006 [P. 37] Insurance Will Protect Companies, Officers And Directors From Options Backdating Claims
John Edward Failla and David M. Halbreich Morgan, Lewis & Bockius LLP September 2006 [P. 38] The Timing Of Stock Options Issue: A Legal Challenge For Companies And Much More The Editor interviews Gail Standish , Partner, Winston & Strawn LLP, Los Angeles. September 2006 [P. 41] Sills Cummis' Peter Verniero On The Compliance Discussion The Editor interviews the Hon. Peter G. Verniero , Of Counsel, Sills Cummis Epstein & Gross P.C. The views and opinions expressed in the interview are those of the interviewee and do not necessarily reflect those of Sills Cummis Epstein & Gross P.C. September 2006 [P. 43] The Devil Is In The Details of Compliance:
Get Down To Brass Tacks At The October 26 Compliance Readiness Seminar James Ewing & Gerald Kral Duff & Phelps, LLC September 2006 [P. 49] All You Wanted To Know About Back Dating Of Options But Were Afraid To Ask Mark Tarallo and Ted Hanselman Holland & Knight LLP August 2006 [P. 07] The Sarbanes-Oxley Act of 2002 - Strategies for Smaller Public Companies John P. Fodera, CPA Eisner LLP August 2006 [P. 09] Honest Competitors Catch No Break Under RICO Robert A. Schwinger Chadbourne & Parke LLP August 2006 [P. 17] U.S. v. Stein: Rewriting The Rules Of Corporate Cooperation With Government Investigations Timothy P. Harkness and Carmel E. Gabbay Kramer Levin Naftalis & Frankel LLP August 2006 [P. 19] Avoiding Whistleblower Complaints The Editor is fortunate to report on a discussion with David R. Jimenez , Associate General Counsel and Vice President of Employee Relations, The Hartford Financial Services Group, Inc.; and Rebecca E. White , Managing Director and Head of the Employment Law Group, UBS Investment Bank who participated in the web program entitled Understanding Developments In Whistleblower Law 3 Years After Sarbanes-Oxley 2006 recorded in January 2006 by the Practising Law Institute. For more information about the program, visit www.pli.edu. August 2006 [P. 21] How Do I Know If There Is A Back-Dated Options Problem And What Do I Do? R. William Ide, III and Thomas Wardell McKenna Long & Aldridge LLP July 2006 [P. 18] Option Grant Backdating: What Boards, In-House Counsel And Executives Need To Know About The Issue Securities Litigation Team Akin Gump Strauss Hauer & Feld LLP July 2006 [P. 20] Proskauer Rose Program Explores The New Burden For Employers: Homeland Security's Immigration Enforcement Initiative July 2006 [P. 44] SEC Responds To Concerns Over Implementation Of Sarbanes-Oxley Section 404 Neil Goldenberg Eisner LLP June 2006 [P. 26] Corporate Governance: Best Practice Becomes Mainstream The Editor interviews Alyce C. Halchak , Director, Gibbons, Del Deo, Dolan, Griffinger & Vecchione. June 2006 [P. 30] The Positive Use Of Independent Investigations To Lower Risk And Create A More Effective Business Model R. William Ide, III and Thomas Wardell McKenna Long & Aldridge LLP June 2006 [P. 32] Achieving Compliance Objectives The Editor interviews Alice Lawrence , Principal at Jordan Lawrence, and Therese Paul , Vice President and Counsel for Fifth Third Bank. June 2006 [P. 34] Whistleblowing Under Sarbanes-Oxley: The Mist Begins To Clear The Editor interviews Connie N. Bertram , Partner, Winston & Strawn LLP, Washington, DC. June 2006 [P. 35] Better Internal Controls For Compliance: Registered E-mail = Legal Proof The Editor interviews Zafar Khan , Founder and CEO of RPost . See www.rpost.com. June 2006 [P. 36] Partnering Adds Value To Compliance Training The Editor interviews John M. Spinnato , Vice President and General Counsel, Pharmaceutical Operations, sanofi-aventis USA LLC, and Steven A. Lauer , Director, Integrity Research, Integrity Interactive Corporation. June 2006 [P. 37] Experts Identify The Characteristics Of Well-Run Compliance Programs The Editor is fortunate to report on a discussion among Gilen Chan , Director of Ethics, Citigroup Inc., and Doug Lankler , Vice President and Assistant General Counsel, Pfizer Inc., who participated in the web program entitled Corporate Compliance Institute 2005 recorded on June 2005 by the Practising Law Institute. For more information about the program, visit www.pli.edu. June 2006 [P. 45] Did You Survive OFCCP Audit Season? Ten Items To Consider For Current And Future Audit Preparation Lauren M. Mazur WolfBlock May 2006 [P. 06] Managing The Environmental Issues In An Era Of High
Scrutiny Richard G. Leland Partner and Chair of the Environmental Department Kramer Levin Naftalis & Frankel LLP April 2006 [P. 21] Managing The Environmental Issues In An Era Of High
Scrutiny Richard G. Leland , Partner and Chair of the Environmental Department Kramer Levin Naftalis & Frankel LLP April 2006 [P. 21m] EU REACH Chemicals Proposal: Challenges For American General Counsel Andr Bywater and Paul Smith Eversheds LLP April 2006 [P. 22] New Jersey's Chemical Security: Best Practices And Open Questions Steve Barnett Connell Foley LLP January 2006 [P. 25] China Law Firms Exporting To China (And Elsewhere): New Developments In International Trade Compliance Stephen J. Orava and Christine E. Savage King & Spalding LLP December 2005 [P. 44] SEC Gives Smaller Companies An Extra Year To Comply With Internal Control Rules Andrew J. Beck and Joshua Goldstein Torys LLP November 2005 [P. 25] FMLA Violations - Do Your Merit Increase and Bonus Plans Comply? Katherin Nukk-Freeman Gibbons, Del Deo, Dolan, Griffinger & Vecchione November 2005 [P. 27] The Scope Of Whistleblower Protections Under Sarbanes-Oxley: Are Privately Held Companies Covered ? - Part I Condon McGlothlen Seyfarth Shaw LLP November 2005 [P. 32] Preserving The Privilege Is Essential For Corporate Counsels' Compliance Role The Editor interviews William "Bill" Ide , Partner, McKenna Long & Aldridge LLP, past president of the American Bar Association, former General Counsel of Monsanto Company and chair of the ABA Task Force On The Attorney-Client Privilege. November 2005 [P. 39,49] MCI: Embedding A Compliance Culture The Editor interviews Anastasia "Stasia" Kelly , Executive Vice President and General Counsel; Carol Ann Petren , Senior Vice President and Deputy General Counsel and William Single, IV , Vice President Compliance, all of MCI Inc. September 2005 [P. 01,54,55] Legal Service Providers Can Help Your Company Create And Maintain A
Compliance Culture Two Examples Al Driver Editor September 2005 [P. 03] Technology / Legal Research The Partnering Model At Thomson West: Anticipating Corporate Counsel's Compliance And Other Needs The Editor interviews Tim Wahlberg , Vice President, Strategic Marketing, Corporate Segment, Thomson West. September 2005 [P. 11,69] Technology - Legal Service Providers The Role Of Technology In Effective Compliance Programs Matt Petrich and Ed Moon Duff & Phelps, LLP September 2005 [P. 30] Compliance Readiness Leading The Corporate Legal Department In The New Compliance/Ethics Climate The Editor interviews Jeffery A. Barnes , Partner, Fraser Milner Casgrain LLP, and Carole Basri , Executive Director, Association of Corporate Counsel - Greater New York Chapter. September 2005 [P. 40] Compliance Readiness The Andersen Decision And Document Management Under Sarbanes-Oxley James Dabney Miller King & Spalding LLP September 2005 [P. 42] Compliance Readiness The Changing Role Of Corporate Counsel In The Era Of Sarbanes-Oxley The Editor interviews Edward S. Feig , Arent Fox PLLC, New York. September 2005 [P. 44] Compliance Readiness Dealing With Your Company's Employees In Connection With An External Investigation : Effective Strategies For Maximizing Success And Cooperation-Part II Matthew M. Oliver and William M. Uptegrove Lowenstein Sandler PC September 2005 [P. 46] Compliance Readiness The State Of Play Of Governance Concerns In The United States Thomas Wardell and Andrew Surdykowski McKenna Long & Aldridge LLP September 2005 [P. 47] Compliance Readiness The Impact Of Sarbanes-Oxley On Private Companies David M. Barbash Nixon Peabody LLP September 2005 [P. 48] A Hypothetical? - It Could Be Your Company! August 2005 [P. 03] Project: Corporate Counsel Part II (Compliance Readiness) - Law Firms Keeping Up With Safety And Environmental Challenges David B.Weinberg Wiley Rein & Fielding LLP August 2005 [P. 05m] Project: Corporate Counsel Part II (Unintended Consequences) - Law Firms The Effects Of The Andersen Decision In Today's Market Peter G. Verniero Sills Cummis Epstein & Gross P.C. August 2005 [P. 25] Project: Corporate Counsel Part II (Unintended Consequences) - Courts A State Of Perfection Delaware Addresses Corporate Counsels' Concerns The Editor interviews The Honorable Myron T. Steele , Chief Justice of the Supreme Court of Delaware . August 2005 [P. 32,66] Project: Corporate Counsel Part II (Compliance Readiness) - Corporate Counsel The Defense Industry, Raytheon And Building A Compliance Culture The Editor interviews Jay B. Stephens , Senior Vice President and General Counsel, Raytheon Company. August 2005 [P. 33] Project: Corporate Counsel Part II (Compliance Readiness) - Law Firms Recent Trends In Whistleblower Litigation - Part II An Increasing Challenge For Employers And Their Counsel Barbara E. Hoey Kelley Drye & Warren LLP August 2005 [P. 34] Project: Corporate Counsel Part II (Unintended Consequences) - Law Firms When The SEC Comes Knocking: What Corporate Counsel Needs To Know About Initiating An Internal Investigation In Response To An Inquiry By The Securities And Exchange Commission William M. Uptegrove and Matthew M. Oliver Lowenstein Sandler P.C. August 2005 [P. 35] Project: Corporate Counsel Part II (Compliance Readiness) - Law Firms Sarbanes-Oxley Three Years On: An Evolving Compliance Structure The Editor interviews Peter G. Verniero , Sills Cummis Epstein & Gross P.C. August 2005 [P. 36] Project: Corporate Counsel Part II (Unintended Consequences) - Law Firms Fleeing The System: A Product Liability Attorney's Perspective The Editor interviews Michael L. Koon , Partner, Shook, Hardy & Bacon L.L.P. The firm was named "2005 Global Product Liability Firm" of the year by Who's Who Legal. August 2005 [P. 37] Project: Corporate Counsel Part II (Compliance Readiness) - Legal Service Providers Will Your Compliance And Ethics Program Shield Your Company? How a simple exercise can answer this question and improve your program Joe Murphy Integrity Interactive Corporation August 2005 [P. 38] Project: Corporate Counsel Part II (Compliance Readiness) - Law Firms Compliance Issues For Retirement Plan Trustees - Part II Michael S. Melbinger Winston & Strawn LLP August 2005 [P. 39] Project: Corporate Counsel Part II (Compliance Readiness) - Legal Service Providers As Prosecutors Become More Aggressive, Compliance Training Helps On Many Levels The Editor interviews Alex Brigham , President and Chief Executive Officer, Corpedia Corporation d/b/a Corpedia Education. August 2005 [P. 40] Project: Corporate Counsel Part II (Unintended Consequences) - Law Firms Fleeing The Court System - A Long-Term Perspective The Editor interviews Charles E. Dorkey III , Chairman, U.S.A., and Head, New York Litigation Department, Torys LLP. August 2005 [P. 41] The National Legal Center Performs Another Public Service - Examining The Unintended Consequences Of The Post-Scandal Reforms The Editor interviews William "Bill" Ide , Partner, McKenna Long & Aldridge LLP. Bill is a past president of the American Bar Association and former General Counsel of Monsanto Company. July 2005 [P. 01,34] A Hypothetical? - It Could Be Your Company! July 2005 [P. 03] Compliance Issues For Retirement Plan Trustees - Part I Michael S. Melbinger Winston &Strawn LLP July 2005 [P. 08] Project: Corporate Counsel Part I (Unintended Consequences) - Law Firms Establishing "Best Practices" For The Administration Of Retirement and Welfare Plans William D. Wright WolfBlock July 2005 [P. 09] Seeking Control: Outsourcing In The Sarbanes-Oxley Era Kevin E. Colangelo Kramer Levin Naftalis & Frankel LLP July 2005 [P. 10] Understanding The New Accounting Rules For Stock Options And Other Awards Mark E. Bokert Davis & Gilbert LLP July 2005 [P. 17] Project: Homeland Security - Law Firms Renewing The USA Patriot Act - What Every Business Should Know Michael D. Ricciuti Kirkpatrick & Lockhart Nicholson Graham LLP July 2005 [P. 20] Project: Homeland Security - Law Firms New Immigration Challenges: Government Tracking Of Foreign Employees Austin T. Fragomen, Jr. Fragomen, Del Rey, Bernsen & Loewy, LLP July 2005 [P. 25] Project: Corporate Counsel Part I (Unintended Consequences) - Law Firms Environmental Disclosure In The Post Sarbanes-Oxley World Bruce S. Katcher and Michael M. Meloy Manko, Gold, Katcher & Fox, LLP July 2005 [P. 31] Project: Corporate Counsel Part I (Unintended Consequences)* The Justice Department's Rational Approach To Deterring Corporate Crime The Editor interviews Christopher Wray , Partner, King & Spalding LLP. July 2005 [P. 35,53] Corporate Governance: Sarbanes-Oxley Section 404 - After Year One Neil Goldenberg Eisner LLP July 2005 [P. 38] What Is The Role of Chief Compliance/Chief Ethics
Officer? The Editor interviews Thomas G. Wilkinson, Jr . , Chair, Arbitration and Alternative Dispute Resolution Practice Group, Cozen O'Connor . He may be reached at twilkenson@cozen.com. July 2005 [P. 39] Project: Corporate Counsel Part I (Unintended Consequences) - Law Firms The Best Defense Against Regulatory Action Is An Effective Working Compliance Program The Editor interviews David F. Axelrod , and Betsy Farrar , Partners, Vorys, Sater, Seymour and Pease LLP. July 2005 [P. 41] Project: Corporate Counsel Part I (Unintended Consequences) - Law Firms White Collar Crime/Criminal Defense Has United States v. Booker Closed the Book on Corporate Compliance Programs And Voluntary Cooperation? William O. Purcell and Eva M. Ciko Kirkpatrick & Lockhart Nicholson Graham LLP July 2005 [P. 43] Project: Corporate Counsel Part I (Unintended Consequences) - Legal Service Providers An Effective Compliance Program Reduces A Company's Vulnerability The Editor interviews Kirk S. Jordan , Vice-President, Integrity Research, and co-founder, Integrity Interactive Corporation. Mr. Jordan shared his insight about keeping compliance programs up to date in our June 2004 interview. To read the interview, visit www.metrocorpcounsel.com and put "Kirk S. Jordan" in our site's search box. July 2005 [P. 45] Project: Corporate Counsel Part I (Unintended Consequences) - Law Firms Meeting The Unexpected With A Plan The Editor interviews R. Scott Thompson , Partner, Lowenstein Sandler PC. July 2005 [P. 48] Project: Corporate Counsel Part I (Unintended Consequences) - Legal Service Providers Reducing A Company's Vulnerability To Liability Arising From Unethical Or Illegal Behavior The Editor interviews Frank E. Rudewicz , Managing Director and Special Counsel, and Joseph Jaffe , Managing Director and Special Counsel, UHY Advisors, a forensic litigation support and valuation services firm. July 2005 [P. 49] Project: Corporate Counsel Part I (Unintended Consequences) - Corporate Counsel Roundtable: The Foreign Corrupt Practices Act - Its Many Lives Homer E. Moyer, Jr. , Senior Partner at Miller & Chevalier, Chartered and former General Counsel of the U.S. Department of Commerce, whose article on FCPA Enforcement Issues was featured in the June issue of The Metropolitan Corporate Counsel, Speaks With Inside Counsel, Howard Weissman , Associate General Counsel-International of Lockheed Martin Corporation, Valli Baldassano , Vice President of Global Compliance, Schering-Plough Corporation, and William B. Lytton , Executive Vice President and General Counsel of Tyco International Ltd. July 2005 [P. 51,52] Hedge Funds Under Fire: Is There Body Armor Out There? Ernest E. Badway Saiber Schlesinger Satz & Goldstein, LLC June 2005 [P. 33] Project: Corporate Counsel (Compliance Readiness) Part II Corporate Governance Does Not End With Sarbanes-Oxley Jeffrey M. Shapiro and Steven M. Skolnick Lowenstein Sandler PC June 2005 [P. 37,59] Project: Corporate Counsel - Law Firms Department Of Justice Makes An Offer Most Corporations Cannot Refuse James J. Graham Jones Day June 2005 [P. 39] Project: Corporate Counsel - Law Firms Vital Role Of Criminal Defense Counsel In The New Legal Environment The Editor interviews John P. Lacey , Partner, Connell Foley LLP. June 2005 [P. 40] Project: Corporate Counsel - Law Firms Voluntary Disclosure, Independent Compliance Monitors, nd Other FCPA Enforcement Issues Homer E. Moyer, Jr. Miller & Chevalier, Chartered June 2005 [P. 41] Project: Corporate Counsel - Law Firms Have You Reviewed Your Foreign Trade Compliance Programs? The Editor interviews Robert B. Silverman , Partner, Grunfeld, Desiderio, Lebowitz, Silverman & Klestadt LLP. June 2005 [P. 42] Project: Corporate Counsel - Law Firms Robert Ray: Thoughts About Obstruction Of Justice And The Argument In the Andersen Case The Editor interviews Robert W. Ray , Partner, Pitney Hardin llp. June 2005 [P. 43] Project: Corporate Counsel - Law Firms Some Thoughts On Director Protection In Light Of The WorldCom And Enron Settlements Suggestions for Directors Ira Millstein and E. Norman Veasey Weil, Gotshal & Manges LLP June 2005 [P. 44] Project: Corporate Counsel - Law Firms Insurance Commissioners Contemplate Extending Sarbanes-Oxley To All Insurers Cynthia T. Andreason Wiley Rein & Fielding LLP June 2005 [P. 46] Project: Corporate Counsel - Law Firms Directors & Officers Liability Insurance In An Era Of Enhanced Disclosure Requirements The Editor interviews John H. Kazanjian and Christopher J. McKenzie , Partners, Beveridge & Diamond PC. June 2005 [P. 47] Project: Corporate Counsel - Legal Service Providers An Insider's View The Editor interviews Jeffrey Steinberg , Partner in the Business Risk Services Group, Ernst & Young . June 2005 [P. 48] Project: Corporate Counsel - Service Providers An Overview Of The D&O Insurance Landscape The Editor interviews Gregory J. Flood , Executive Vice President and Chief Operating Officer, National Union. June 2005 [P. 49] Federal Sentencing Guidelines - An Interpretation Alex Brigham PLI-Corpedia Education, Inc. June 2005 [P. 50] Project: Corporate Counsel - Law Firms State of the Art Compliance Training Sonnenschein Nath & Rosenthal LLP recently conducted one of a series of client seminars devoted to compliance. The seminar was led by Robert T. Joseph , a partner in the Firm. Mr. Joseph interviews fellow partners Martin R. Castro , Mindy H. Chapman and Gary Senner on the subject of training. Effective training has been recognized as a major component of a first-rate compliance program. Indeed, compliance training, extending to all levels of the organization, is required under the Federal Sentencing Guidelines for Organizations as an element of an effective compliance program. According to the Guidelines, the training must include communication via practical mechanisms of an organization's compliance standards and procedures, the compliance program, and appropriate information concerning individual respective roles and responsibilities. In addition to employees and agents, the appropriate training must extend to members of the governing authority and the organization's leadership. June 2005 [P. 52] Meeting The Dual Challenges Of The Post-Enron
Reforms Al Driver , Editor The Metropolitan Corporate Counsel May 2005 [P. 03] "Pay Now Or Pay Later": Sometimes It Pays To Be The Bad Guy Steven A. Augustino and Darius B. Withers Kelley Drye & Warren LLP May 2005 [P. 14] Business Community Faced With New Immigration Challenges Patrick L. Cont Ford & Harrison LLP May 2005 [P. 29] The Legal Department Must Take A Serious Look At Export Compliance Robert F. Seely Grunfeld, Desiderio, Lebowitz, Silverman & Klestadt LLP May 2005 [P. 31] Lessons To Be Learned From The First Go Around At Compliance With
Internal Controls Reporting Laura R. Kuntz Lowenstein Sandler PC May 2005 [P. 37] Good Faith Issues Present New Risks For Directors And Officers Mark E. Betzen and Jeffrey D. Litle Jones Day May 2005 [P. 38] Project: Corporate Counsel - Law Firms Corporate Counsel And Outside Counsel: Serving A Common Client In A Common Cause The Editor interviews Allen B. Roberts , Member, Epstein Becker & Green P.C., New York. May 2005 [P. 39] Project: Corporate Counsel - Law Firms Avoiding Surprises In Today's Post-Enron Climate The Editor interviews David J. Sheehan, Chairman of Gibbons, Del Deo, Dolan, Griffinger & Vecchione, P.C. He is a trial attorney with over 30 years of experience in intellectual property matters and complex product liability cases, with a heavy emphasis in the pharmaceutical field. He can be reached at (212) 649-4701. May 2005 [P. 40] Project: Corporate Counsel - Legal Service Providers Why Compliance And Ethics Training Is Now Mandatory The Editor interviews Susan Cutright, Senior Advisor, Compliance Services at Integrity Interactive Corporation. May 2005 [P. 41,42] Project: Corporate Counsel - Corporate Counsel Corporate Counsel Tackle The Challenges Of Global Compliance The Editor is fortunate to report on a discussion with Gabe Shawn Varges, Chief Compliance Officer and Head of Corporate Responsibility, Zurich Financial Services , and Jane L. Wexton, Senior Vice President, Chief Compliance Officer and Counsel, GE Consumer Finance, who participated in the web program entitled Corporate Compliance Institute 2004 and recorded June, 2004 by the Practising Law Institute. For more information about the program Compliance Without Borders, visit www.pli.edu. The views here and in such program are expressed in a personal capacity and do not necessarily reflect those of their employers. May 2005 [P. 45,72] Real Estate, Construction And Environmental Compliance Challenges - Part I The Editor interviews John E. Osborn , Partner, John E. Osborn, PC. April 2005 [P. 30] A Treatise On The Organizational Sentencing Guidelines Addresses The Need For Effective Compliance Programs The Editor interviews Edgardo Ramos, Partner, Day, Berry & Howard LLP, New York. April 2005 [P. 34] The Bottom Line... Sarbanes-Oxley Affects Private Companies And Nonprofit Organizations, Too Richard Busis , Steven Haas and Scott Brucker Cozen O'Connor April 2005 [P. 36] Recent Antitrust Developments Highlight Need For Effective Compliance Programs James A. Wilson Vorys, Sater, Seymour and Pease LLP April 2005 [P. 37] "Pay Now Or Pay Later": Sometimes It Pays To Be The Bad Guy Steven A. Augustino and Darius B. Withers Kelley Drye & Warren LLP March 2005 [P. 04m] Director Liability: WorldCom And Enron Directors' Recently Proposed Settlements - The New Reality Of Personal Liability For Directors R. William Ide McKenna Long & Aldridge LLP March 2005 [P. 10] Complying With The CAN-SPAM Act: New FTC Regulations Provide Guidance On "Primary Purpose" Joseph J. Lewczak Davis & Gilbert LLP February 2005 [P. 16] Combining Web-based Technology With Other Media
To Organize And Manage An Effective Compliance Program At PepsiAmericas - Part
II The Editor interviews W. Scott Nehs , Vice President of Legal and Chief Compliance Officer for PepsiAmericas, Inc. In November 2004, Mr. Nehs was named one of the "Top 40 Lawyers Under 40" in Illinois by the Chicago Daily Law Bulletin. February 2005 [P. 37,59] SOX And Related Reforms: Where Are We? Peter H. Ehrenberg, Alan Wovsaniker and Shari Ness Lowenstein Sandler PC January 2005 [P. 08] Administrative Remedies Aimed At Combating Procurement Fraud - Suspension And Debarment Michael Rizzo McKenna Long & Aldridge LLP January 2005 [P. 09m] Back To Basics: Some Common Sense Principles For Public Company Financial Disclosure Warren J. Casey Pitney Hardin LLP January 2005 [P. 10] Up The Ladder: Litigator Responsibilities Under The Sarbanes-Oxley Act - Part II Dan K. Webb and Scott P. Glauberman Winston & Strawn LLP January 2005 [P. 14] Corporate Counsels' Role In Internal Controls - The Auditors' Perspective The Editor interviews Neil Goldenberg , Partner-in-Charge of Corporate Governance Services, Eisner LLP. January 2005 [P. 29,53] Navigating The Still Murky Post-Sarbanes-Oxley World: A Roadmap For Corporate Counsel The Editor interviews Arlene Elgart Mirsky , Member, Sills Cummis Epstein & Gross P.C., Co-Chair of the Firm's Corporate Governance and Compliance Practice Group and Member of its Corporate, Securities and Banking Department. [Editor's Note] Ms. Mirsky is both the Conference Co-Chair and Moderator of the Panel "Corporate Governance - Who's in Charge" at the January 27 Seminar "Corporate Governance and Compliance Today and Tomorrow - What Corporate Law Departments Need to Know" sponsored by the New Jersey Corporate Counsel Association in conjunction with Sills Cummis Epstein & Gross P.C. and Deloitte & Touche LLP. The purpose of this interview is to focus on the challenges facing corporate counsel in the post-Sarbanes-Oxley environment. January 2005 [P. 30] Successful Implementation Of An Ethics And Compliance Training
System: Some Key Considerations The Editor interviews Alex Brigham , President and Chief Executive Officer, Corpedia Corporation d/b/a Corpedia Education. January 2005 [P. 33] In-House Counsel's Role In Tailoring Compliance Programs To Their
Companies' Needs The Editor interviews Charles F. Raeburn , Senior Corporate Counsel, Pfizer Inc., and Jean K. FitzSimon , General Counsel and Principal, Bridge Associates LLC. They will be panelists at the program on Corporate Governance and Compliance Today and Tomorrow: What Corporate Law Departments Need to Know to be held on January 27 in Livingston, New Jersey. Sponsors are the New Jersey Corporate Counsel Association, Sills Cummis Epstein & Gross P.C., Deloitte & Touche LLP, and associate sponsors are PLI-Corpedia, Corporation Service Company (CSC) and Kelly Law Institute. For more information about the program, contact Jennifer Buneta at jbuneta@sillscummis.com . To read articles about corporate governance in past issues of The Metropolitan Corporate Counsel, visit www.metrocorpcounsel.com . January 2005 [P. 36] Combining Web-based Technology With Other Media To Organize And Manage An Effective Compliance Program At PepsiAmericas - Part I The Editor interviews W. Scott Nehs , Vice President Legal and Chief Compliance Officer for PepsiAmericas, Inc. In November 2004, Mr. Nehs was named one of the "Top 40 Lawyers Under 40" in Illinois by the Chicago Daily Law Bulletin. January 2005 [P. 39] Peter G. Verniero: Bringing Multiple Talents To Corporate Investigations The Editor interviews Peter G. Verniero , Of Counsel, Sills Cummis Epstein & Gross P.C., co-chair of that firm's corporate investigations and business crimes practice group and chair of its appellate practice group, former associate justice, Supreme Court of New Jersey. December 2004 [P. 01,68] Changing Roles For Today's Corporate Compliance Programs Kirk J. Nahra Wiley Rein & Fielding LLP December 2004 [P. 07m] In-House Counsel's "Constituencies" Professional Obligations In The Post Sarbanes-Oxley World Here Come The Regulators Robert Max Crane Sills Cummis Epstein & Gross P.C. December 2004 [P. 29,36] Ineffective Internal Controls: Issues That Public Companies May Face After Receiving A Negative Report - Part II M. Ridgway Barker and Randi-Jean G. Hedin Kelley Drye & Warren LLP November 2004 [P. 17] Director Independence Standards: Martha Stewart and Oracle Cases Scrutinize Director Relationships Timothy E. Hoeffner and Jonathan I. Shapiro Saul Ewing LLP November 2004 [P. 24]
Help Your Law Department Meet Today's
Challenges Al Driver, Editor The Metropolitan Corporate Counsel October 2004 [P. 03] Antitrust Compliance 101: The Bugle Sounds For Corporate Counsel The Editor interviews Kathryn M. Fenton , an antitrust partner in the Washington, DC office of Jones Day. October 2004 [P. 10] Ineffective Internal Controls: Issues That Public Companies May Face After Receiving A Negative Report - Part I M. Ridgway Barker and Randi-Jean G. Hedin Kelley Drye & Warren LLP October 2004 [P. 11]
Healthcare Providers Must Re-Evaluate Compliance Planning Efforts In
Response To Changing Enforcement Initiatives
Todd A. Rodriguez Fox Rothschild LLP October 2004 [P. 22] General Counsel Roundtable: Coping With Compliance Challenges In The Post-Scandal World The Moderator, Edgar H. Sims, Jr. , Partner, McKenna Long & Aldridge LLP, raised the following questions with Andrew Hendry , Senior Vice-President, General Counsel and Secretary, Colgate-Palmolive Company; Ernest Patrikis , Senior Vice President and General Counsel, American International Group, Inc., Thomas Sabatino , Executive Vice President and General Counsel, Schering-Plough Corporation, and Michael Shepherd , Executive Vice President, General Counsel and Secretary, The Bank of New York. October 2004 [P. 30,55,64,65]
Creating A Proactive Compliance Strategy R. William "Bill" Ide, III McKenna Long & Aldridge LLP October 2004 [P. 52]
Help Is On The Way For Financial Reporting Under
Sarbanes! The Editor interviews Neil Goldenberg , Partner-in-Charge of Corporate Governance Services, Eisner LLP. October 2004 [P. 59] The 8 Keys To Implementing An Effective Compliance And Ethics eLearning Program In Your Organization (And Mistakes To Avoid!) Alex Brigham Corpedia Corporation October 2004 [P. 60] Fraud Considerations And Internal Control Assessments: What Every General Counsel Needs To Know Kenneth Yormark and David Zweighaft Protiviti Inc. October 2004 [P. 61] Announcing The Society Of Corporate Compliance And Ethics October 2004 [P. 67] PCAOB: Reclaiming Trust In Our Markets And The Companies That Drive Our Economy The Editor interviews William J. McDonough , Chairman, Public Company Accounting Oversight Board (PCAOB). September 2004 [P. 01,36] SEC Reacts To Scandals By Amending Rules For Investment Advisers' And Investment Companies' Codes Of Ethics Benjamin J. Haskin Willkie Farr & Gallagher LLP September 2004 [P. 05] External Consequences: Internal Investigations After Sarbanes-Oxley Paul R. Bessette , Jennifer R. Brannen and Michelle A. Reed Akin Gump Strauss Hauer & Feld LLP September 2004 [P. 08] The Impact Of The Sentencing Guidelines On The Healthcare Field And Beyond The Editor interviews Connie A. Raffa , Arent Fox PLLC. September 2004 [P. 09]
Issues & Overview An Ever-Broader Corporate Compliance Menu Robert Ray Pitney Hardin LLP September 2004 [P. 16]
TBS: Helping Companies Meet Sarbanes-Oxley's Internal Control
Standards The Editor interviews Saul Berkowitz , The Managing Director in charge of the Sarbanes-Oxley Consulting Team, American Express Tax and Business Services ("TBS"). September 2004 [P. 46] Kelly Law Registry: Staffing Solutions And
Sarbanes-Oxley The Editor interviews Mike Ende , Managing Director, Kelly Law Registry. September 2004 [P. 47,51]
Financial Controls Help Law Departments Navigate The Treacherous And
Uncertain Waters In Sarbanes-Oxley's
Wake The Editor interviews Jeffrey L. Hodge , Vice President, Product Marketing, DataCert, Inc. Questions can be addressed to him at jeff.hodge@datacert.com . September 2004 [P. 48]
Integrity Interactive: Compliance And Ethics Training In Full
Focus The Editor interviews Steve Lauer , Integrity Interactive Corporation. September 2004 [P. 49,52] Invest In Pro Bono And Compliance Readiness And Attend The October 14 Compliance Readiness Seminar Al Driver , Editor The Metropolitan Corporate Counsel August 2004 [P. 03] SEC Proposes Registration Of Hedge Fund Managers: Extends Time For Advisers To Distribute Audited Financial Statements Marilyn Selby Okoshi and Christopher M. Wells Coudert Brothers LLP August 2004 [P. 08] Compliance, Risk Management And Internal Controls: A Checklist For Corporate Counsel - Part II Robert E. Bostrom Winston & Strawn LLP August 2004 [P. 21] Complexity Of Indoor Environmental Investigations And Solutions For Resolution Hung K. Cheung , MD, MPH, FACEOM August 2004 [P. 29] Proposed Sentencing Guidelines Impose New Standards For Compliance And Ethics Programs Ronald H. Clark and Connie A. Raffa Arent Fox PLLC July 2004 [P. 04] Compliance, Risk Management And Internal Controls: A Checklist For Corporate Counsel - Part I Robert E. Bostrom Winston & Strawn LLP July 2004 [P. 18] Issues & Overview Is Your Company Meeting Its Compliance Obligations? You Will Be Expected To Know! Robert E. Bostrom Winston & Strawn LLP June 2004 [P. 16] Spotlight On The Audit Committee The Editor interviews Gerald S. Backman , Retired Partner of Weil, Gotshal & Manges LLP. June 2004 [P. 20] U.S. Sentencing Commission Amends Corporate Guidelines - What Do The Changes Mean For You? The Editor sat down with Cozen O'Connor's Barry Boss to find out what these recent changes mean for corporate counsel and a company's day-to-day operations. Mr. Boss, a member of the firm's Washington, DC office, co-chaired the United States Sentencing Commission's Practitioners' Advisory Group. He concentrates his practice in complex criminal matters and white-collar crime. He served as an Assistant Federal Public Defender in Washington, DC between 1995 and 2000. Questions about this article can be addressed to Mr. Boss at bboss@cozen.com or (202) 912-4818. June 2004 [P. 33] Compliance Training Keeping Compliance Training Programs Up To Date The Editor interviews Kirk S. Jordan , Vice President, Integrity Research Group, Integrity Interactive Corporation. June 2004 [P. 38] Compliance Non-Audit Services And Financial Relationships The following is a summary of chapter 14, Non-Audit Services and Financial Relationships, from The Sarbanes-Oxley Deskbook, by John T. Bostelman, Sullivan and Cromwell LLP, New York City. Copyright 2004 by Practising Law Institute. June 2004 [P. 40,41,58] Weathering A U.S. Customs Focused Assessment Ronald A. Oleynik and Jonathan M. Epstein Holland & Knight LLP May 2004 [P. 08] The Supreme Court Reaffirms Customs Border Searches In The Homeland Security Era Lars-Erik A. Hjelm and Jason A. Park Akin Gump Strauss Hauer & Feld LLP May 2004 [P. 22] Sarbanes-Oxley And The Environment April 2004 [P. 03] Fund Managers Face Enforcement Actions And Regulatory Reforms Jay G. Baris and Alexandra K. Alberstadt Kramer Levin Naftalis & Frankel LLP April 2004 [P. 12] Gibbons Del Deo's Alyce Halchak On The Impact Of Sarbanes-Oxley On Private Companies Gibbons, Del Deo, Dolan, Griffinger & Vecchione, P.C. (973) 596-4500 April 2004 [P. 37] Uncharted Waters: Kramer Levin's Gary Naftalis On Corporate Internal Investigations The Editor interviews Gary P. Naftalis , Co-Chair of Kramer Levin Naftalis & Frankel LLP. March 2004 [P. 01,62] Conversation With Yaacov M. Gross, Partner, Willkie Farr & Gallagher LLP, With Respect To Sarbanes-Oxley Developments Yaacov M. Gross Willkie Farr & Gallagher LLP February 2004 [P. 12] Book Review Interested In Minimizing Directors' Liability? This Book Is Must Reading Reviewed By Al Driver The Metropolitan Corporate Counsel February 2004 [P. 17] Practical Suggestions For Complying With The National Do Not Call Registry Joseph Lewczak and Sofia Rahman Davis & Gilbert LLP February 2004 [P. 18] Financial Statement Fraud, Sarbanes-Oxley And Corporate Governance
John Tonsick Citigate Global Intelligence adn Security January 2004 [P. 42] |
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