TOPICS FOR DISCUSSION

Registration & Breakfast: 8:00 a.m. – 8:30 a.m.; Program: 8:30 a.m. – 11:00 a.m.

 

1. SEC, DOJ Recent Developments

2. Internal and Government Investigations: AML, FCPA, Cyber and other issues

   1. How the Government uses data analytics in making, bringing and prosecuting cases

   2. Cooperation with government authorities in cross-border and multiple jurisdiction matters

   3. Data privacy and protection of client data; impact of GDPR (effective after May 25); E.U. cooperation with U.S. companies; penalties and enforcement

   4. Convergence of FCPA, AML, Cyber and other actions

   5. Waiver of privilege

3. Corporate and Personal Liability; Self-reporting; growing focus on individuals; impact individual prosecutions have on corporate prosecutions

4. Whistleblower Program

   1. Record awards (Bank of America, $83 Million), refining your corporate program

   2. Retaliation cases after Digital Realty and new safe harbor

5. Enforcement Tools: Monitors, CIAs, DPAs, and NPAs; penalties, sanctions, fines, disgorgements and  declinations

6. M&A and disclosure issues

   1. Integrity due diligence

   2. Sales and business practices

   3. Control issues

   4. M&A in federal court

   5. Financial reporting by issuers

7. Increased enforcement by countries outside the U.S.

   1. U.K., Europe, Asia focus on corporate accountability, FCPA

   2. Multi-lateral organizations

8. SEC/ DOJ Cyber Enforcement, Litigation, Examinations and Standards

   1. Focus of the new Cyber Unit

• Initial Coin Offerings (ICOs), payment and security concerns

          2. Third party and supply chain issues

          3. Disclosures re: hacking, breaches, malware attacks

  9. Update on compliance programs in the era of heightened risk

          1.  Keeping the Board apprised of investigations and regulatory enforcement actions