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The Directors Roundtable Institute Invites You to Attend a Program
For Boards of Directors, C-Suites and Corporate Counsel

A DIALOGUE WITH AN SEC COMMISSIONER –
LIABILITY FOR CORPORATE MISCONDUCT: DIRECTORS,
C-SUITES & CHIEF COMPLIANCE OFFICERS

WEBINAR:  Tuesday, March 16, 2021, 2:00 – 4:00 P.M. EDT
(11:00 A.M. PDT: 18:00 GMT; 19:00 CET)
There is no fee to attend.  One hour of CLE/MCLE will be provided.*

*The seminar has been accredited for 1.0 NY CLE credits in professional practice, 1.0 CA MCLE general participatory credits, 1.0 IL MCLE general credits and 1.0 TX MCLE general credits. The Willkie CLE Department will assist those who are seeking CLE credit from other jurisdictions.

Agenda

C-Suites and Directors are dealing with calls for individual accountability, limited compliance resources, recently enacted legislation, and proposed rulemaking.  A new administration supportive of more aggressive enforcement has added more stress.

SEC Commissioner Hester Peirce will participate in a Q&A session to discuss issues important to Business leaders and the Bar regarding corporate and personal compliance duties and liability.  Following the Q&A, Distinguished Panelists will explore further some of the issues raised such as:

  • Preventing misconduct before it occurs.
  • Ensuring sufficient resources and a culture of compliance.
  • The role of risk management in translating legal advice into compliance policies and operations.
  • Regulatory and law enforcement treatment of the company and its leadership.
  • Who should be held responsible for failure?
  • Best practices for Board compliance oversight.

The audience can submit questions for SEC Commissioner Peirce when they register online by typing them in the area under their contact information or in an email to Karen Todd at karen.f.todd@gmail.com

Distinguished Speakers

Hon. Hester Peirce

Hon. Hester Peirce

Commissioner, U.S. Securities and Exchange Commission

Alma Angotti

Alma Angotti

Partner, Financial Services Segment
Global Legislative and Regulatory Risk Lead

Elizabeth Gray

Elizabeth Gray

Partner, Willkie Farr & Gallagher LLP

Joseph (Jody) Myers

Joseph (Jody) Myers

Chief Risk Officer, Western Union Company

Leo Tsao

Leo Tsao

Deputy Chief, Money Laundering and Asset Recovery Section (MLARS), Criminal Division, US Department of Justice

Clark Abrams (Moderator)

Clark Abrams (Moderator)

Chief, Money Laundering and Financial Investigations Unit,
Office of the Special Narcotics Prosecutor, City of New York