The agenda reflects the latest topics of interest and how they will affect your SEC and DOJ policies and compliance strategies going forward.
Key issues include:
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New SEC Clawback Rule
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DOJ: What's New in Corporate Enforcement and Compliance - A Focus on Practical Issues
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SEC’s New Climate Disclosure Rule issued 3.6.24
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How to Handle Non-competes, Non-solicitation Agreements after the FTC Rule
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Cybersecurity and data privacy protections, regulation and enforcement
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Off-channel communications including message retention rules
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Political and social issues in the corporate and legal environment
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The state of AI regulation
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Whistleblower initiative
Faculty
From the Government
Hon. Virginia M. Kendall
U.S. District Judge,
U.S. District Court, Northern District of Illinois,
Chicago
Peter Flanagan
Deputy Chief, Financial Crimes Section,
U.S. Attorney's Office, Northern District of Illinois, Chicago
Matthew Getter
Deputy Chief, Securities & Commodities Fraud Section, United States Attorney's Office, Chicago
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Kathryn A. Pyszka
Associate Director, Division of Enforcement, Chicago Regional Office,
U.S. Securities and Exchange Commission,
Chicago
Kristin Pauley
Assistant Director, Division of Enforcement, Crypto Asset and Cyber Unit
U.S. Securities and Exchange Commission
Chicago, IL
Other Panelists from Law Firms & Corporate Law Departments, Advisors
Richard Buchband
Senior Vice President,
General Counsel and Secretary,
ManpowerGroup, Milwaukee, WI
Bobby Earles
Partner, Cooley LLP, Chicago
Zachary T. Fardon
Partner, King & Spalding, Chicago
Maria C. Green
Board Member, Littelfuse, WEC Energy Group, Tennant Company, Chicago
Matthew Madden
Partner,
McDermott Will & Emery LLP, Chicago
Jordan M. Matthews
Partner, Jones Day, Chicago
Matthew L. Kutcher
Partner, Cooley LLP, Chicago
Patrick Otlewski
Partner, King & Spalding LLP, Chicago
Sean Radcliffe
Executive Vice President and General Counsel,
R1 RCM, Chicago
William Ridgway
Partner,
Skadden, Arps, Slate, Meagher & Flom LLP, Chicago
John J. Sikora Jr.
Partner
Latham & Watkins LLP, Chicago
Collin Smyser
General Counsel and Corporate Secretary,
Option Care Health, Chicago
Kris Swanson
Vice President and Practice Leader, Forensic Services, Charles River Associates
Chicago
Program Highlights--Topics for Discussion
8:30 AM – 1:00 PM CDT (including lunch)
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Panel 1: Fireside Chat with Judge Kendall; Acting Co-Director, Chicago Regional Office SEC; Assistant U.S. Attorney, U.S. Attorney's Office
Panel 2: SEC Regulation and Enforcement
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Public Company Issues: Enforcement and Defense Perspectives
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SEC’s Enforcement and Disclosure Priorities
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Cybersecurity Regulation and Enforcement
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Notification
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Reporting requirements
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Aggressive enforcement
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Compliance policies and practices
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External and internal threats
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New SEC Climate Disclosure Rule, ESG
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New Clawback Rule
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Off-Channel Communications including Message Retention Rules
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Executive Compensation including Diversity, Pricing and Timing of Options
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Shareholder Activism and Proxy Statement Disclosure
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Risk Factor Analysis including Political Issues
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AI Regulation Including new European Parliament
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Enforcement and Regulation of Cryptocurrencies and Other Digital Assets
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Panel 3: DOJ’s Corporate Enforcement Policy, Corporate Crime, Whistleblower Initiative, Self Reporting, and Other Priority Issues
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Incentives to self-disclose misconduct
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What is voluntary self-disclosure?
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What constitutes remediation?
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Credit for cooperation. What are the elements of cooperation?
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FCPA: Government priorities and new developments
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DOJ Fraud and bribery prosecution Ciminelli, Percoco, and Varsity Blues
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Health Care Fraud Enforcement, Defense, and Corporate Compliance
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New DOJ Whistleblower Actions
Panel 4: Scrutiny of Regulated Entities
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Enforcement Priorities
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Crypto Assets: Intermediaries, DeFi, and NFTs, Exchanges, Recent Cases
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Insider Trading, Block Trading and Rule 10b 5-1
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Corporate Transparency Act of 2023 and Recordkeeping
Asset Management and Private Equity
About the Premier Sponsor:
Operating from ten countries around the world, CRA’s clients over the past two years included 97% of the AmLaw 100 law firms, and 81% of the Fortune 100 companies. Our Forensic Services Practice has been recognized by The National Law Journal as being one of the top three Forensic Accounting Providers in the country; by Global Investigations Review as one of the leading investigative consultancies from around the world for handling sophisticated cross-border, government-driven and internal investigations; and by Chambers in recognition of our deep litigation support, crisis and risk management competencies.
CLE and CPE credits have been applied for.
For further information call Sandpiper at 973.278.8800
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