Recent Events

Key Issues for C-Suites and Boards:
Effectively Facing Both Domestic & International
SEC Civil Enforcement & DOJ Criminal Enforcement

Tuesday, February 03, 2015
8:30 – 10:30 A.M. (8:00 A.M. Registration)

The Cornell Club, 6 E. 44th Street/5th Ave., New York

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

Agenda

This program is of special importance because it considers both civil enforcement by the SEC and criminal enforcement by the DOJ. The SEC, DOJ and other enforcement agencies are conducting civil and criminal investigations across the globe with unprecedented intensity, posing great risks to companies and their executives personally. Some penalties reach into the hundreds of millions and even billions of dollars. Using practical scenarios, our Distinguished Panel will first discuss specific challenges that arise. They will advise corporate leaders on effective strategies for managing these business and legal risks and handling a crisis. The Speakers will then consider the added problems of white collar liability of Directors and Officers; the international reach of investigations; and simultaneous inquiries from multiple regulators.

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

*Ropes & Gray is an accredited CLE provider in the States of NY, CA, and IL. This course will offer 2.0 transitional NY professional practice CLE credits, 2.0 CA general CLE credits and 2.0 IL general CLE credits.

Distinguished Speakers

  • Amelia Cottrell, Associate Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
  • Christina Dugger, Managing Director, Associate General Counsel, JP Morgan Chase, Former Chief Assistant U.S. Attorney for the Eastern District of New York
  • David Bergers, Managing Director, Legal and Government Relations and General Counsel for LPL Financial Inc., Former Acting Deputy Director of the SEC Division of Enforcement and Director of the SEC’s Boston Regional Office
  • Simon Platt, Co-Founder and Managing Partner, StoneTurn Group; Former Leader, Deloitte’s New York/Boston Dispute Consulting Practice
  • Marc Berger, Partner, Government Enforcement, Ropes & Gray LLP; Former Chief of the Securities and Commodities Fraud Unit, U.S. Attorney’s Office for the Southern District of New York
  • Randall Bodner (Moderator), Partner, Business & Securities Litigation, Ropes & Gray LLP Former Assistant U.S. Attorney for the Southern District of New York

Selected Biographies and Materials