Recent Events

The Directors Roundtable Institute Invites You to Attend a Program
For Boards of Directors & Their Advisors

NAVIGATING THE NEW REGULATORY LANDSCAPE:
KEY CHALLENGES AND POTENTIAL CHANGES

IN SEC REGULATION AND ENFORCEMENT

Thursday, March 23, 2017, 7:30 – 9:00 A.M. (7:00 A.M. Registration)
The Houstonian Hotel, 111 North Post Oak Lane, Houston, TX 77024

There is no fee to attend and 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.
CPE credit of 1.50 hours has been approved.

Agenda

Join Shamoil Shipchandler, Regional Director of the Fort Worth Regional Office at the U.S. Securities and Exchange Commission (SEC) who will examine key SEC initiatives and priorities and the implications for investors, companies, officers, directors and legal advisers.

Many are speculating what the new leadership will mean for the SEC’s regulatory and enforcement inititatives.  The other Distinguished Speakers will address potential regulatory and enforcement challenges under the new administration and what they mean for you and your company. Their topics will include:

  • Proposed SEC and FCPA enforcement regimes
  • The SEC’s stance on “broken windows” financial control violations
  • Evolving developments in the role of whistleblowers
  • The new Committee of Sponsoring Organizations of the Treadway Commission (COSO) Fraud Risk Guidelines

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

Distinguished Speakers

Shamoil Shipchandler
Regional Director (Texas)
U.S. Securities and Exchange Commission

Gary Goolsby
Senior Managing Director, Forensic & Litigation Consulting,
FTI Consulting, Inc.

Kevin Harnisch
Head of SEC Enforcement, Washington, DC, Norton Rose Fulbright

Gerry Pecht
Head of Regulations, Investigations, Securities and Compliance,
Norton Rose Fulbright

Selected Biographies and Materials