Curriculum Guide · Courses
Complex Securities Investigations
Professor Alan Lieberman
LL.M Course 950 (cross-listed) | 2 credit hours
Conducting an internal corporate investigation requires a thorough understanding of the corporate privilege, attorney-client privilege, work product doctrine, and the rules of professional responsibility governing conflicts and multiple representations. The self-reporting and professional responsibility provisions of Sarbanes-Oxley and the SEC’s recently implemented cooperation initiative present a variety of difficult practice issues that are critical to a lawyer’s fundamental responsibility to represent solely the client’s interests. The course is designed to provide the student with an in-depth understanding of these and related rules and practices as applied to issues commonly encountered in representing corporations, individuals and the government in a complex securities investigation.
Strongly Recommended: Securities Regulation or significant government or industry experience.