Recent Events

Key Issues Facing Boards of Directors:
New SEC & DOJ Enforcement Initiatives and Corporate Governance Risks

Wednesday, February 25, 2015
7:30 – 9:00 A.M. (7:00 A.M. Registration)

The Houstonian Hotel, 111 North Post Oak Lane, Houston

There is no fee to attend and continental breakfast will be served.
Application has been made for Minimum Continuing Legal Education (MCLE) credit with the State Bar of Texas Committee on MCLE in the amount of 1.50 hours.

Agenda

Companies and their Directors and Officers personally are facing heightened risks from SEC civil and DOJ criminal enforcement. The size of penalties and the imposition of restrictive provisions such as deferred prosecution agreements are increasing. The Distinguished Speakers will discuss key issues including:

  • Enforcement: new Division of Enforcement priorities and guidelines for cooperating witnesses; corporate investigations; interplay between company, auditor, and external counsel; insider trading; and personal liability of Directors and Officers.
  • Compliance: creating compliance programs with appropriate allocation of resources to cover the many issues, given that the SEC and DOJ focus so heavily on having effective programs in place to mitigate penalties. This includes risk-based programs for FCPA and other areas.

The Directors Roundtable Institute is a not-for-profit which organizes worldwide programming for Directors and their advisors.

Distinguished Speakers

  • David Woodcock, Regional Director (Fort Worth), U.S. Securities and Exchange Commission
  • Jason Varnado, Deputy Criminal Chief – Major Fraud, U.S. Attorney’s Office, Southern District of Texas (Houston)
  • Robert Biskup, Director, Deloitte Financial Advisory Services LLP
  • Gerry Pecht, Global Head of Dispute Resolution and Litigation, Head of Securities Litigation, Investigations and SEC Enforcement, United States, Norton Rose Fulbright
  • Peter Stokes, Partner, Norton Rose Fulbright
  • Wesley Wolffe, Managing Director, Marsh USA Inc.