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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:

  • New SEC Clawback Rule

  • DOJ: What's New in Corporate Enforcement and Compliance - A Focus on Practical Issues

  • SEC’s New Climate Disclosure Rule issued 3.6.24

  • How to Handle Non-competes, Non-solicitation Agreements after the FTC Rule

  • Cybersecurity and data privacy protections, regulation and enforcement

  • Off-channel communications including message retention rules

  • Political and social issues in the corporate and legal environment

  • The state of AI regulation

  • 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

​

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)

​

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

  • Public Company Issues: Enforcement and Defense Perspectives

  • SEC’s Enforcement and Disclosure Priorities

  • Cybersecurity Regulation and Enforcement

    • Notification

    • Reporting requirements

    • Aggressive enforcement

    • Compliance policies and practices

    • External and internal threats

  • New SEC Climate Disclosure Rule, ESG

  • New Clawback Rule

  • Off-Channel Communications including Message Retention Rules

  • Executive Compensation including Diversity, Pricing and Timing of Options

  • Shareholder Activism and Proxy Statement Disclosure

  • Risk Factor Analysis including Political Issues

  • AI Regulation Including new European Parliament

  • Enforcement and Regulation of Cryptocurrencies and Other Digital Assets

​

Panel 3: DOJ’s Corporate Enforcement Policy, Corporate Crime, Whistleblower Initiative, Self Reporting, and Other Priority Issues

  • Incentives to self-disclose misconduct

  • What is voluntary self-disclosure?

  • What constitutes remediation?

  • Credit for cooperation.  What are the elements of cooperation?

  • FCPA: Government priorities and new developments

  • DOJ Fraud and bribery prosecution Ciminelli, Percoco, and Varsity Blues

  • Health Care Fraud Enforcement, Defense, and Corporate Compliance

  • New DOJ Whistleblower Actions

 

Panel 4: Scrutiny of Regulated Entities

  • Enforcement Priorities

  • Crypto Assets: Intermediaries, DeFi, and NFTs, Exchanges, Recent Cases

  • Insider Trading, Block Trading and Rule 10b 5-1

  • Corporate Transparency Act of 2023 and Recordkeeping

Asset Management and Private Equity

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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

Or email Gina Rivera at ginarivera@sandpiperpartners.com

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