Two Upcoming Webcasts in December

Securities Docket will be hosting two free webcasts over the next two weeks. For more information and to register, please visit the links below.

Corporate gatekeepers play an increasingly important role within organizations as a critical line of defense against corporate misconduct. As regulators and enforcement agencies increase focus on individual accountability as a means of deterrence against corporate wrongdoing, it is more important than ever for in-house gatekeepers to be aware of their own potential liability and expectations to maintain good corporate governance and an effective corporate compliance program. Some of the areas that will be discussed include:

• Roles and expectations of corporate gatekeepers

• Trends and recent cases involving gatekeepers

• Best practices and other considerations for in-house gatekeepers with a focus on compliance officers

The panel will include former US DOJ officials and corporate compliance specialists who can discuss current topics and trends impacting corporate gatekeepers and related best practices.

Presenters

Sean Franzblau (Venable), Christopher Stetler (Katten), Abigail Peluso (RSHC), and Colin Flood (Ankura)

Recent changes in the USDOJ’s guidelines for the Evaluation of Corporate Compliance Programs (ECCP) and recent enforcement actions by the US SEC serve to both expand and reinforce the expectations for what constitutes a good compliance program and what companies should be considering when investigating and remediating potential misconduct. Some of the areas that will be discussed:

• An update on recent enforcement actions and a discussion of current issues that are being seen in investigations.

• The pairing of data and technology to enhance the compliance team’s ability to identify areas meriting further review.

• The integration of compliance into newly acquired entities and the need to monitor and update controls to limit the risks of inappropriate conduct.

• Ensuring that mechanisms to report potential wrongdoing are publicized and provide protection to employees who raise issues.

This panel will include former USDOJ and current SEC officials who can discuss how companies should be implementing learnings from recent SEC and USDOJ actions and the new guidance.

Presenters

James M. Koukios (Morrison Foerster), Sonali D. Patel (Mayer Brown), Charles E. Cain (SEC), Bernard F. Woolfley (Ankura)