Key Issues Facing Boards of Directors:
New SEC Enforcement Initiatives and
Corporate Governance Risks
Tuesday, May 12, 2015
8:30 – 10:00 A.M. (8:00 A.M. Registration)
Rosewood Mansion on Turtle Creek, 2821 Turtle Creek Blvd., Dallas, Texas 75219
There is no fee to attend and breakfast will be served.
We have applied for Minimum Continuing Legal Education (MCLE) credit
with the State Bar of Texas Committee on MCLE in the amount of 1.50 hours.
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.
- David Peavler, Associate Regional Director of Enforcement (Texas) U.S. Securities and Exchange Commission
- Jason Flemmons, Senior Managing Director – Forensic & Litigation Consulting, FTI Consulting, Inc.
- 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, Securities Litigation, Investigations and SEC Enforcement, Norton Rose Fulbright
- Robert Wolfe, Executive Vice President and Chief Operating Officer ACE Professional Risk
Selected Biographies and Materials