The Directors Roundtable Institute Invites You to Attend a Program
For Boards of Directors & Their AdvisorsCHALLENGES FACING BOARDS OF DIRECTORS:
KEY ISSUES IN SEC ENFORCEMENT Wednesday, March 28, 2012
7:40 – 9:00 A.M. (7:15 Registration)
The St. Regis Hotel, 1919 Briar Oaks Lane, Houston
There is no fee to attend and continental breakfast will be served.
1.25 hours of Texas CLE credits are pending*. With a slow economy and important initiatives by the U.S. government, there are significant regulatory and enforcement challenges that Directors and General Counsels must address. The Distinguished Speakers will discuss the following issues related to the SEC:
• Enforcement: new Division of Enforcement priorities, task forces, and guidelines for cooperating witnesses; corporate investigations; interplay between company, auditor, and external counsel; insider trading; personal liability of Directors and Officers.
• Compliance: creating compliance programs with appropriate allocation of resources to cover the many issues, given that the SEC and DOJ focus so heavily on having effective programs in place to mitigate enforcement. This includes risk-based programs for anti-corruption and other areas.
• Disclosure: Enhanced and new accounting and financial disclosures, as well as SEC initiatives.
• Actions that companies and Boards should take now to address these key issues including establishing an Enterprise Risk Oversight Committee of the Board.
The Directors Roundtable Institute is a not-for-profit which organizes worldwide programming for Directors and their advisors.
*CLE Information:
Fulbright & Jaworski LLP has applied for Minimum Continuing Legal Education (MCLE) credit with the State Bar of Texas Committee on MCLE in the amount of 1.25 hours.
DISTINGUISHED SPEAKERS - David Woodcock, Regional Director (Ft. Worth)
U.S. Securities and Exchange Commission - Randy Rinicella, Senior Vice President, General Counsel & Secretary
HCC Insurance Holdings, Inc. - Karyl Van Tassel, Partner, Leader of Houston Forensic Services, PwC
- Gerard Pecht, Partner, Fulbright & Jaworski L.L.P. (Moderator)
Selected Biographies and Materials |
