SEC, Compliance, Internal Investigations & Whistleblowers
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.
StoneTurn’s Cathy Connolly will join 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, and Jonathan Shapiro of Baker Botts for a Directors Roundtable Institute panel discussion on practical actions that corporate leadership can take to:
- Review numerous or even thousands of employee confidentiality and nondisclosure agreements;
- Encourage internal reporting and remediation to avoid SEC awards up to millions of dollars;
- Abide by ethics rules regarding internal investigations and any perceived retaliation; and
- Assess the effect of the whistleblower program on ongoing internal investigations when the company has become aware of an issue.
Tuesday, April 19, 2016
8:30 – 10:30 a.m. (8:00 a.m. Registration)
Complimentary continental breakfast will be served; two hours of California MCLE credit, including 0.5 hours of Ethics credit, will be provided.
The City Club
155 Sansome Street
San Francisco, CA 94104
To register, please visit: http://www.directorsroundtable.com/id=950