Recent Events

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

Wednesday, April 15, 2015
8:30 – 10:30 A.M. (8:00 A.M. Registration)
The Downtown Harvard Club, One Federal Street, Boston

There is no fee to attend and continental breakfast will be served.

Agenda

With a recovering stock market and important initiatives by the U.S. government, there are significant regulatory and enforcement challenges that Directors must address. The Distinguished Speakers will discuss the SEC’s current views regarding enforcement and disclosure issues. Topics will include conducting internal corporate investigations; dealing with whistleblowers; insider trading; the role of the audit committee; voluntary disclosures to regulators; the personal liability of Directors & Officers; and responding to issues under the Foreign Corrupt Practices Act (“FCPA”). The Distinguished Speakers will also analyze “best practices” in corporate governance that should be adopted by companies and their Boards to address these key issues.

The Directors Roundtable Institute is a not-for-profit which organizes worldwide programming for Directors and their advisors. Rick Williams, Partner, Newport Board Group, Inc., will make Introductory Remarks.

Distinguished Speakers

  • John Dugan, Associate Regional Director, Enforcement Division (Boston) U.S. Securities and Exchange Commission
  • Simon Platt, Co-Founder and Managing Partner, StoneTurn Group; Former Leader, Deloitte’s New York / Boston Dispute Consulting Practice
  • R. Todd Cronan, Partner, Goodwin Procter LLP
  • Joseph F. Savage, Jr., Partner, Goodwin Procter LLP