SIFMA Compliance and Legal Society Annual Seminar

This program has been approved in accordance with the requirements of the Continuing Legal Education Board. CLE Credit will be granted to attorneys.

Stroock Partner Michael Keats will be speaking at SIFMA C&L Society's 47th Annual Seminar. The conference will be held on March 15-18 in Phoenix, AZ.

Mr. Keats will participate in the panel discussion "Internal Investigations." The panel will provide detailed discussions on:

  • Who Should Be on the Team? Who Should Lead the Team?
  • Ethical Issues: Whistleblower Issues, Rights of Employees, Representation Issues, Indemnification and Advancement, Warnings to Witnesses
  • When and How To Escalate–and To Disclose
  • Recent Trends in Enforcement Impacting the Conduct of Internal Investigations
  • Concluding the Investigation: When to Prepare a Report and How, Corrective Actions, Cooperation with the Government, Privilege Waivers
For more information, click here.