7370 Professional Ethics Under Sarbanes-Oxley
Price: $ 119.00 (USD)
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You will receive 1.25 credits (CE) upon completion of this course.
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Course Description
Using the Enron/Arthur Andersen scandal as a lesson in what not to do, a panel of corporate attorneys examines the new rules for attorney conduct arising out of the Sarbanes-Oxley Act of 2002. The discussion focuses on practical suggestions for document retention policies, corporate codes of ethics, and general professional responsibility. Whistle-blower protections are also covered.
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Course Outline
Professional Ethics Under Sarbanes-Oxley
I. Introduction
II. Document Retention
A. Overview
B. Smoking-Gun E-Mails
C. Enron and Arthur Andersen
1. Cast of Characters
2. Document Shredding
3. Following Corporate Policy
4. Knowledge of SEC Inquiry
5. Duty to Preserve
D. Recommendations for an Effective Records-Retention Policy
E. Panel Discussion
1. Document-Retention Issues
2. Advice for In-House Counsel
III. Corporate Codes of Ethics
A. Current Events Triggers
B. Minimum Standards
C. Enron’s Code of Ethics
1. Conflicts of Interest
2. Obeying the Law
D. Market Trends
E. Practical Suggestions for Ethics Codes
F. Panel Discussion
IV. New Rules of Professional Responsibility
A. Overview of New Rules
B. Up-the-Ladder Reporting
C. More New Rules
D. Responsibility for Providing Guidance
E. Suggestions for Professional Responsibility
F. Qualified Legal Compliance Committees
V. Whistle-Blower Protection
A. Retaliation Against Whistle-Blowers
B. Civil Protection for Whistle-Blowers
C. Whistle-Blower Hypothetical
AfterWordsSM
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I. Introduction
II. Document Retention
A. Overview
B. Smoking-Gun E-Mails
C. Enron and Arthur Andersen
1. Cast of Characters
2. Document Shredding
3. Following Corporate Policy
4. Knowledge of SEC Inquiry
5. Duty to Preserve
D. Recommendations for an Effective Records-Retention Policy
E. Panel Discussion
1. Document-Retention Issues
2. Advice for In-House Counsel
III. Corporate Codes of Ethics
A. Current Events Triggers
B. Minimum Standards
C. Enron’s Code of Ethics
1. Conflicts of Interest
2. Obeying the Law
D. Market Trends
E. Practical Suggestions for Ethics Codes
F. Panel Discussion
IV. New Rules of Professional Responsibility
A. Overview of New Rules
B. Up-the-Ladder Reporting
C. More New Rules
D. Responsibility for Providing Guidance
E. Suggestions for Professional Responsibility
F. Qualified Legal Compliance Committees
V. Whistle-Blower Protection
A. Retaliation Against Whistle-Blowers
B. Civil Protection for Whistle-Blowers
C. Whistle-Blower Hypothetical
AfterWordsSM
More Information
| Language | English |
| Course Length | 1.42 hours |
| Duration of Access | for 3 months from day of enrollment |
| Continuing Education Credits | 1.25 |
| Instructor | Samuel W. Braver, Martin A. Fritz, Stephanie L. Gill, David W. Greenfield, Stephen A. Keen |
| Vendor | Cognistar (Read more about Cognistar accreditation.) |
| Course Certification | CLE credit available, see details for each course for states where available |
| Prerequisites/Audience | intended for attorneys and law students |
| Requirements/Materials Included | computer with Internet access |
Price: $ 119.00 (USD)
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