A Dialogue with an SEC Commissioner: Liability for Corporate Misconduct: Directors, C-Suites, Chief Compliance Officers

Joint Webinar with Directors Roundtable Institute and Willkie Farr & Gallagher

C-Suites and Directors are dealing with limited compliance resources, recently enacted legislation, proposed rulemaking and calls for individual accountability. As a new administration supportive of more aggressive enforcement adds more stress.

SEC Commissioner Hester Peirce will participate in a Q&A session to discuss issues important to business leaders and the Bar regarding corporate and personal compliance duties and liabilities. Following the Q&A, a distinguished panel will further explore some of the issues raised such as:

The Directors Roundtable Institute, Guidehouse and Willkie Farr & Gallagher are pleased to invite you to attend a webcast for boards of directors and their advisors. 

If you’d like to submit questions for SEC Commissioner Peirce, you can do so by typing them in the area under your contact information or sending an email to Karen Todd.

For questions about this event, please contact Karen Todd at (727) 493-2067 or send an e-mail to Jack Friedman., President of the Directors Roundtable Institute.

Speakers:

Commissioner Hester Peirce, U.S Securities & Exchange Commission

Alma Angotti, Partner, Financial Services Global Legislative & Risk Leader at Guidehouse

Elizabeth Gray, Partner, Litigation at Willkie Farr & Gallagher LLP

Joseph (Jody) Myers, Chief Risk Officer at Western Union

Leo Tsao, Principal Deputy Chief of Money Laundering & Asset Recovery Section of the Criminal Division U.S Department of Justice

Clark Abrams ( Moderator), Chief, Money Laundering and Financial Investigations Unit Office of the Special Narcotics Prosecutor, City of New York

The seminar has been accredited for 1.0 NY CLE credits in professional practice, 1.0 CA MCLE general participatory credits, 1.0 IL MCLE general credits and 1.0 TX MCLE general credits. The Willkie CLE Department will assist those who are seeking CLE credit from other jurisdictions

There is no fee to attend.

The seminar has been accredited for 1.0 NY CLE credits in professional practice, 1.0 CA MCLE general participatory credits, 1.0 IL MCLE general credits and 1.0 TX MCLE general credits. The Willkie CLE Department will assist those who are seeking CLE credit from other jurisdictions.

When?

Key Contacts

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