Recent Events

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

Tuesday, October 21, 2014
8:30 – 10:30 A.M. (8:00 A.M. Registration)

The Harvard Club, 35 W. 44th Street, New York

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


With a gradually recovering economy 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 Dodd-Frank; compliance; internal corporate investigations; whistleblowers; insider trading; audit committee best practices; shareholder activism; governance; white collar defense; and the personal liability of Directors & Officers. The Distinguished Speakers will also analyze what actions companies and their Boards should take to address these key issues.

Distinguished Speakers

  • David Rosenfeld, Associate Regional Director, New York Regional Office
    U.S. Securities and Exchange Commission
  • Alexander Willscher, Partner, Sullivan & Cromwell LLP; Members of the Securities and Litigation Practice
  • Stephen Ehrenberg, Partner, Sullivan & Cromwell LLP; Members of the Securities and Litigation Practice
  • Joe Brusuelas, Chief Economist, McGladrey; Knowledgeable about the impact of Dodd-Frank on financial institutions and other companies
  • Dana Kopper, Managing Director, Lockton Companies, LLC, Directors & Officers’ Liability and Governance Risk Management Group

Selected Biographies and Materials