Recent Events

The Directors Roundtable Institute Invites You to Attend a Program
For Business Leaders, Directors & Their Advisors

DEALING WITH SEC ENFORCEMENT & DISCLOSURE:
CORPORATE AND D&O PERSONAL LIABILITY

(Guest Speaker: David Glockner, Midwest Head of SEC)

Tuesday, September 26, 2017, 8:30 – 10:30 A.M. (8:00 A.M. Registration)
The Library, 190 South LaSalle, Chicago, IL 60603

There is no fee to attend and continental breakfast will be served.
Two hours of Illinois CLE credits are pending.

Agenda

Directors, C-Suites, and Corporations are facing more frequent major investigations, litigation and potential personal liability, including individual and parallel government enforcement actions driven by the SEC, DOJ, shareholders, whistleblowers, and even competitors.  These Distinguished Speakers will analyze how corporate leaders and their counsel can minimize the liability risks for themselves and their companies including these key issues:

  • Regulators’ current compliance and enforcement priorities;
  • Determining when individuals need separate counsel and accountants; and considerations for joint representations with corporate counsel;
  • Options for conducting investigations and resolving enforcement actions, including the role of corporate monitors; and
  • D&O insurance to provide and pay for defense and settlements.

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

Distinguished Speakers

David Glockner
Regional Director, Chicago Regional Office
U.S. Securities and Exchange Commission

Rex Homme
Partner, StoneTurn

John Dellaportas
Randall Lehner (Moderator)
Partners, Kelley Drye & Warren LLP

Dana Kopper
Managing Director, Lockton Companies, LLC,
Directors & Officers’ Liability and Governance Risk Management Group

Selected Biographies and Materials