Recent Events

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

Wednesday, April 09, 2014
8:30 – 10:00 A.M. (8:00 A.M. Registration)
Rosewood Mansion on Turtle Creek, 2821 Turtle Creek Blvd., Dallas, TX 75219

There is no fee to attend and continental breakfast will be served.
1.5 hours of MCLE credit & 1 hour of CPE is pending*.

Agenda

With recent leadership changes, the burgeoning whistleblower program, and a number of new initiatives, the SEC has continued to step up its enforcement activity. Shareholder plaintiffs have likewise continued to file class and derivative lawsuits over a wide variety of issues with a number of Dallas-based companies finding themselves in the crosshairs. Our panelists will discuss the following critical SEC enforcement and shareholder litigation issues that may impact officers, directors, and counsel of Dallas-based companies over the coming year:

Enforcement:

  • new Division of Enforcement priorities and trends for 2014
  • guidelines for cooperating witnesses; corporate investigations; insider trading
  • the role of the outside auditor; personal liability risks for individual officers and directors

Litigation:

  • current trends in shareholder class action and derivative litigation, including the types of claims being asserted, the volume of cases, and the impact of regulatory enforcement actions on private shareholder litigation
  • trends in M&A and proxy disclosure litigation; developments on the D&O insurance front
  • recent developments at the Supreme Court; important Texas and Delaware court decisions addressing whistleblowers

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

*Application has been made for Minimum Continuing Legal Education (MCLE) credit with the State Bar of Texas Committee on MCLE in the amount of 1.50 hours.

CPE: There are no prerequisite requirements for this course. There are no advanced preparation requirements for this course. KPMG is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final Authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417. Website: www.nasba.org.

Distinguished Speakers

  • David Woodcock, Regional Director (Texas), U.S. Securities and Exchange Commission
  • Brad McDonald, Managing Director, AON Financial Services Group
  • Gerry Pecht, Head of Securities Litigation, Investigations and SEC Enforcement, United States, Fulbright & Jaworski LLP (Norton Rose Fulbright)
  • Howard Scheck, Partner, KPMG LLP

Selected Biographies and Materials