Recent Events

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

KEY ISSUES FACING BOARDS OF DIRECTORS:
NEW SEC ENFORCEMENT INITIATIVES
AND CORPORATE GOVERNANCE RISK

Tuesday, May 10, 2016, 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.
CPE is approved and 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.

Agenda

The Securities and Exchange Commission (SEC) has continued to pursue enforcement claims over a wide variety of issues. Meanwhile, securities class action filings have risen to the highest level since 2008 with plaintiff lawyers targeting companies in virtually every industry.

Join the new Regional Director of the SEC’s Fort Worth Office, and others, as they examine key securities litigation and enforcement issues impacting officers, directors and legal advisers.  Topics will include:

  • current SEC enforcement initiatives and trends
  • the increased focus on holding officers and directors personally accountable
  • key issues in financial reporting, including heightened scrutiny of non-Generally Accepted Accounting Principles (GAAP) financials
  • continued focus on internal control evaluations and scrutiny of certifying officers, internal audit managers, audit committee members and outside accountants
  • update on whistleblower program and views on how to address potential whistleblowers
  • impact of recent court decisions on potential shareholder litigation exposure and how to reduce your risks
  • current trends in Directors and Officers (D&O) insurance – what issues are covered and what gaps may exist

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

Distinguished Speakers

Shamoil Shipchandler
Regional Director (Texas), U.S. Securities and Exchange Commission

Gary Goolsby
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, Norton Rose Fulbright

Kevin Harnisch
Partner, Head of SEC Enforcement (Washington, DC), Norton Rose Fulbright

Dana Kopper
Managing Director, Lockton Companies, LLC, Directors & Officers’ Liability and Governance Risk Management Group

Selected Biographies and Materials