The Securities and Exchange Commission (SEC) has continued to pursue enforcement claims over a wide variety of issues. Meanwhile, securities class action filings have risen to the highest level since 2008 with plaintiff lawyers targeting companies in virtually every industry.
Join the new Regional Director of the SEC’s Fort Worth Office, and others, as they examine key securities litigation and enforcement issues impacting officers, directors and legal advisers. Topics will include:
- current SEC enforcement initiatives and trends
- the increased focus on holding officers and directors personally accountable
- key issues in financial reporting, including heightened scrutiny of non-Generally Accepted Accounting Principles (GAAP) financials
- continued focus on internal control evaluations and scrutiny of certifying officers, internal audit managers, audit committee members and outside accountants
- update on whistleblower program and views on how to address potential whistleblowers
- impact of recent court decisions on potential shareholder litigation exposure and how to reduce your risks
- current trends in Directors and Officers (D&O) insurance – what issues are covered and what gaps may exist
The Directors Roundtable Institute is a not-for-profit which organizes worldwide programming for Directors and their advisors.
To register for this event click here.