Speaking Engagements April 05, 2017 8:30 AM - 10:30 AM
Santa Clara Marriott
2700 Mission College Blvd.
Santa Clara, CA

Key Issues Facing Boards of Directors: New SEC Enforcement Initiatives and Corporate Governance Risks

With a changing economy and a likely shift in initiatives by the new administration, there are significant regulatory and enforcement challenges that directors must address and prepare for. The distinguished speakers will discuss the SEC’s views regarding enforcement and disclosure issues. Topics will include internal corporate investigations; whistleblowers; insider trading; the role of the audit committee; disclosures to regulators; and protecting against personal liability of Directors & Officers. The speakers will also analyze best practices and proactive steps that Boards should take to address these key issues.

Jina Choi, San Francisco Regional Director and Head of Enforcement at the U.S. Securities and Exchange Commission, will be joined by Goodwin partners Grant P. Fondo and Managing Director at Berkley Research Group, Charles Lundelius, Jr., on the panel for the program hosted by Directors Roundtable Institute.

The Directors Roundtable Institute is a not-for-profit which organizes worldwide programming for Directors and their advisors.