Up the Ladder Reporting – Counsel’s Ethical and Legal Obligations for Addressing Potential Violations by Management
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This ethics program will discuss a lawyer’s legal and ethical obligations when he or she believes that a member of management is no longer fit to carry out company responsibilities or potentially violating company policy or the law. Drawing from real world examples, this program will ensure that both in-house and outside counsel understand their role and obligations under such circumstances and provide them with practical steps to navigate these complex situations. Participants will understand their applicable ethical duties under the Model Rules and the Sarbanes Oxley Act of 2002, including when or if a “noisy withdrawal” is required; learn when and under what circumstances they can or should report to the Board or other governing body; and the role of internal investigations conducted by outside counsel, including potential risks and complexities for in-house counsel who may have been involved in the underlying fact pattern.