Recent Events

The Directors Roundtable Institute Invites You to Attend a Program
For Boards of Directors & Their Advisors

KEY ISSUES FACING BOARDS OF DIRECTORS:
SEC, COMPLIANCE, INTERNAL INVESTIGATIONS
& WHISTLEBLOWERS

Tuesday, April 19, 2016, 8:30 – 10:30 a.m. (8:00 a.m. Registration)
The City Club, 155 Sansome Street, San Francisco

There is no fee to attend and continental breakfast will be served.
Two hours of California MCLE credit including
0.5 hours of Ethics credit will be provided.

Agenda

Directors, C-Suites, and General Counsel are increasingly focusing on compliance—a critical aspect to every business operation. Mistakes can seriously heighten corporate and personal liability.  The SEC has the broadest impact on the many areas of compliance through its disclosure requirements and enforcement initiatives.  Being prepared to successfully respond to whistleblowers and internal investigations, for example, can serve as a model for compliance in other areas of the business.

The Distinguished Panel, which includes Carlos Vasquez, who in addition to other duties reviews all Whistleblower complaints that come into the San Francisco office, will begin with an overview of key regulatory issues in compliance.  They will then take an in-depth look at how SEC enforcement actions can be successfully handled by corporate leaders.  The Panel will conclude with practical actions that corporate leadership can take on issues such as:

  • Review of numerous or even thousands of employee confidentiality and nondisclosure agreements.
  • Actions to encourage internal reporting and remediation to avoid SEC awards up to millions of dollars.
  • Ethics rules regarding internal investigations and any perceived retaliation.
  • The effect of the whistleblower program on ongoing internal investigations when the company has become aware of an issue.

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

Directors Roundtable is a State Bar of California approved MCLE provider. This activity has been approved for 1.5 hours of general MCLE credit and 0.5 hours of MCLE Ethics credit.

Distinguished Speakers

Carlos Vasquez
Senior Counsel, Division of Enforcement and the San Francisco Regional Office’s liaison to the Office of the Whistle Blower
U.S. Securities and Exchange Commission

Jonathan A. Shapiro
Partner, Baker Bott LLP

Cathy Connolly
Partner, StoneTurn Group

Selected Biographies and Materials