Law Commons^™

The Regulation Of Lawyers In Compliance, Jennifer M. Pacella

Washington Law Review

The field of compliance has exploded in interest, attention, and growth over recent years. It has emerged as a popular career path for those trained in the law, giving rise to an influx of job opportunities for new law school graduates and seasoned attorneys alike. Additionally, compliance has tightened the essential interplay between business and law. Numerous compliance officers hold J.D. degrees and many also serve simultaneously as both an organization’s chief compliance officer and general counsel, thereby muddying the lines between which service constitutes the “practice of law,” requiring adherence to professional rules of responsibility, or non-legal work, where …

The Outsized Influence Of The Fcpa?, Veronica Root Martinez

Faculty Scholarship

The current power and influence of the Foreign Corrupt Practices Act (“FCPA”) is really quite remarkable when one considers the statute was largely ignored for its first twenty-five years of existence. This statute, meant to reign in corruption by United States companies doing business abroad; has generated billions of dollars in revenue for the United States government; prompted the development of law firm practice groups and law school courses; become the subject of numerous scholarly articles; and has, arguably, made anti-bribery efforts the highest of priorities for multinational corporations engaged in robust compliance efforts. Corporations, scholars, and the public would …

Advising Clients After Critical Legal Studies And The Torture Memos, Milan Markovic

Milan Markovic

No abstract provided.

Agwara V. State Bar Of Nev., 133 Nev. Adv. Op. 96 (Dec. 7, 2017) (En Banc), Lucy Crow

Nevada Supreme Court Summaries

The Court adopted the three-prong test in Grosso v. United States, and held that an attorney cannot assert the privilege against self-incrimination to withhold client trust documentation sought in a State Bar investigation. However, the State Bar must have a compelling reason to force disclosure of tax records.

Diversity, Compliance, Ethics & In-House Counsel, Steven A. Ramirez

Faculty Publications & Other Works

No abstract provided.

Financial Rewards For Whistleblowing Lawyers, Nancy J. Moore, Kathleen Clark

Faculty Scholarship

The federal government relies increasingly on whistleblowers to ferret out fraud, and has awarded whistleblowers over $4 billion under the False Claims Act and the Dodd-Frank Wall Street reform and Consumer Protection Act. May lawyers ethically seek whistleblower rewards under these federal statutes? A handful of lawyers have tried to do so as FCA qui tam relators. They have not yet succeeded, but several court decisions suggest that they might be able to do so under confidentiality exceptions to state ethics law, which several courts have held are not preempted by the FCA. No lawyer has been publicly identified as …

The End Of Law Schools, Ray W. Campbell

Ray W Campbell

What would legal education look like if it were designed from the ground up for a world in which legal services have undergone profound and irreversible change? Law schools as we know them are doomed. They continue to offer an educational model originally designed to prepare lawyers to practice in common law courts of a bygone era. That model fails to prepare lawyers for today’s highly specialized practices, and it fails to provide targeted training for the emerging legal services fields other than traditional lawyering.

This article proposes a new ideology of legal education to meet the needs of modern …

Buying Voice: Financial Rewards For Whistleblowing Lawyers, Nancy J. Moore, Kathleen Clark

Nancy J Moore

“Buying Voice: Financial Incentives for Whistleblowing Lawyers”

Kathleen Clark and Nancy J. Moore

Abstract

The federal government relies increasingly on whistleblowers to ferret out fraud, and has awarded whistleblowers over $4 billion under the False Claims Act and the Dodd-Frank Wall Street reform and Consumer Protection Act. May lawyers ethically seek whistleblower rewards under these federal statutes? A handful of lawyers have tried to do so as FCA qui tam relators. They have not yet succeeded, but several court decisions suggest that they might be able to do so under confidentiality exceptions to state ethics law, which several courts have …

Compliance Officers: More Jobs, More Responsibility, More Liability, Susan Lorde Martin

Notre Dame Journal of Law, Ethics & Public Policy

In response to a great deal of new rule making by federal agencies in the last few years, corporate compliance departments are becoming larger and more involved in businesses in an effort to eliminate regulatory violations and to reduce fines in the event of an offense. At the same time, chief compliance officers who head these departments are becoming increasingly concerned that they will be held liable for the actions of others at their companies merely because they are in charge of their companies’ compliance programs. This article looks at examples of laws that give rise to compliance mandates and …

Slides: “Human Sustainability” In Natural Resources Industries: The New Frontier In Compliance, Social Responsibility, Disclosure, And Transparency, T. Markus Funk

Natural Resource Industries and the Sustainability Challenge (Martz Winter Symposium, February 27-28)

Presenter: T. Markus Funk, Partner, Perkins Coie

21 slides

Private Equity Firms: Beyond Sec Registration As An Investment Adviser How To Build And Administer An Effective Compliance Program, Susan Mosher

Michigan Business & Entrepreneurial Law Review

The Securities and Exchange Commission (the “SEC” or the “Commission”) recently adopted new rules and rule amendments under the Investment Advisers Act of 1940 (the “Advisers Act”) that serve to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”).1 The new rules and rule amendments under the Advisers Act relate to provisions of Title IV of the Dodd-Frank Act (the Private Fund Investment Advisers Registration Act of 2010) that, among other things, require certain private fund advisers and private equity firms to register with the Commission.2 This article is intended to assist firms that …

The Framing Effects Of Professionalism: Is There A Lawyer Cast Of Mind? Lessons From Compliance Programs, Robert Eli Rosen, Christine E. Parker, Viveke Lehmann Nielsen

Articles

Professionals working inside companies may bring with them frames of mind set by their professional experience and socialization. Lawyers, in particular, are said to "think like a lawyer"-to have a lawyer cast of mind. In seeking power within a company and in exercising the power that they obtain, professionals may draw on their professional background to frame, name, diagnose, and prescribe a remedy for the company's problems. In making decisions about their compliance with the law, companies are constrained not only by their environment, but also by their agents' understanding of whose (or what) interests the company should serve. In …

Advising Clients After Critical Legal Studies And The Torture Memos, Milan Markovic

West Virginia Law Review

No abstract provided.

Slides: Environmental Justice: Comprehensive Approach, Nicholas Targ

The Climate of Environmental Justice: Taking Stock (March 16-17)

Presenter: Nicholas Targ, Holland & Knight, former Associate Director for Environmental Justice Integration, Office of Environmental Justice, U.S. Environmental Protection Agency

16 slides

Creative Sanctions For Discovery Abuse In Texas., Travis C. Headley

St. Mary's Law Journal

Creative sanctions are necessary to deter litigants from abusing the discovery process. Under both the Federal Rules of Civil Procedure and the Texas Rules of Civil Procedure, creative sanctions are allowed and within a judge’s discretion. Federal Rule of Civil Procedure 37 and Texas Rule of Civil Procedure 215 provide judges a non-exhaustive list of available sanctions to deter abusive discovery practices. Nonetheless, discovery abuse has continued to escalate, and limited precedence exists in the field despite the increased use of sanctions. An unprecedented creative sanction was imposed by Judge Brotman of the District Court for the Virgin Islands. On …

Capital Punishment: A Critique Of The Political And Philosophical Thought Supporting The Justices' Positions., Samuel J.M. Donnelly

St. Mary's Law Journal

Since Gregg v. Georgia, the Supreme Court has developed what could be described as a subparadigm for capital punishment. This subparadigm is now at a point of crisis for two enduring and mutually supporting reasons. The dissents by Justice Brennan and Justice Marshall represent the convergence of the better modern thought in regard to capital punishment. Even with the retirement of both Justices, the criticism found in their dissenting opinions presents a continuing challenge to the plurality’s position. Those using the plurality’s rhetoric are now split into two groups. Justices Blackmun and Stevens regularly vote against capital punishment, while focusing …

A Proposal To Protect Injured Workers From Employers' Shield Of Immunity., Catherine A. Hale

St. Mary's Law Journal

The current workers’ compensation system shields negligent employers from liability and fails to encourage compliance with safety standards. A practical solution is to broaden the judicial definition of intentional conduct and reinstate a common-law negligence action in workers’ compensation statutes. The Texas Workers’ Compensation Act awards compensation to employees for accidental injuries sustained in the course of employment. The Act bars an employee who accepts these benefits from bringing a common-law suit for damages against the employer. The exclusive nature of the workers’ compensation remedy thus leaves employers immune from common-law negligence actions by employees who accept the plan. An …

Hazardous Chemicals In The Workplace: The Employer's Obligation To Inform Employees And The Community., Nelson A. Clare

St. Mary's Law Journal

Significant changes have recently occurred in reporting requirements for employers who have hazardous chemicals in their workplaces. The amended Federal Hazard Communication Standard requires private employers, engaged in a business using hazardous chemicals, to communicate to employees the potential hazards. The Standard requires employers to use: 1) a Hazard Communication Program, 2) labels and other forms of warning, 3) material safety data sheets, and 4) information and training about hazardous chemicals. Local and state governments must compare and reconcile the various and complex provisions relating to the Standard to ensure compliance with all requirements of the respective laws. The Texas …

Yellow Pages Legal Ads In Texas: The Complexities Of Dr 2-101(B) & (And) (C)., Vincent Robert Johnson

St. Mary's Law Journal

This Article explains how attorneys can avoid private reprimands for advertisements in the Yellow Pages pursuant to subsection (B) and (C) of the Texas Code of Professional Responsibility Disciplinary Rule 2-101, given there is no scholarship or precedent. Subsection (B) requires an advertisement to include the name of a lawyer who is licensed to practice law in Texas, who will be responsible for performing the legal service, and the areas of law in which they practice. Subsection (C) requires detailed statements be included concerning whether the individuals named in compliance with subsection (B) are certified with the Texas Board of …

Yellow Pages Legal Ads In Texas: The Complexities Of Dr 2-101(B) & (And) (C)., Vincent Robert Johnson

St. Mary's Law Journal

This Article explains how attorneys can avoid private reprimands for advertisements in the Yellow Pages pursuant to subsection (B) and (C) of the Texas Code of Professional Responsibility Disciplinary Rule 2-101, given there is no scholarship or precedent. Subsection (B) requires an advertisement to include the name of a lawyer who is licensed to practice law in Texas, who will be responsible for performing the legal service, and the areas of law in which they practice. Subsection (C) requires detailed statements be included concerning whether the individuals named in compliance with subsection (B) are certified with the Texas Board of …