Among Dodd-Frank’s most vexing provisions are those that address whistleblowers and impose new burdens on compliance officers. Taken together, these provisions significantly expand the legal and compliance staff’s investigatory responsibilities while creating an ethical and regulatory minefield for those conducting internal investigations. During the first program in Foley’s Market Regulation Series, we hope to clarify these issues and provide a roadmap firms can use to navigate this regulatory minefield.
The schedule for this program is as follows:
8:30 a.m. – 8:45 a.m.
Welcome and Greeting
8:45 a.m. – 9:45 a.m.
When the Whistle Blows: Responding to Whistleblower Complaints
Moderator: Stephen Bedell, Partner, Securities Enforcement & Litigation Practice, Foley
Panelists: Suzanne McAulay, General Counsel, ABN AMRO Clearing Chicago LLC; Tim McDermott, General Counsel & Chief Regulatory Officer, North American Derivatives Exchange, Inc.; Ellen Wheeler, Partner, Securities Enforcement & Litigation Practice, Foley
9:45 a.m. – 10:00 a.m.
Break
10:00 a.m. – 11:00 a.m.
Internal Investigations in the Wake of Dodd-Frank
Moderator: Thomas Krebs, Partner, Securities Enforcement & Litigation Practice, Foley
Panelists: Dave Barclay, General Counsel, Equitec Group, LLC; Megan Flaherty, Director of Compliance, CCO, and Chief Legal Counsel, Wolverine Asset Management, LLC; Lisa Noller, Partner, Government Enforcement, Compliance & White Collar Defense Practice, Foley
11:00 a.m. – 11:15 a.m.
Break
11:15 a.m. – 12:15 p.m.
There’s a New Sheriff in Town: The New Role of the Compliance Officer
Moderator: Kathryn M. Trkla, Partner, Securities Enforcement & Litigation Practice, Foley
Panelists: Patricia Donahue, Chief Compliance Officer & Associate General Counsel, Rosenthal Collins Group; Rene Friedman, Vice President, Global Head of Legal & Compliance, INTL FCStone, Inc.; Patricia Levy, General Counsel, DRW Trading Group
12:15 p.m. – 1:00 p.m.
Roundtable Q & A
Lunch will be provided.
There is no cost to participate in this program, but pre-registration is required. To participate, please use the Register Today button above or below, or simply register here.
Please contact Katie Patterson at [email protected] for more information.
Foley & Lardner LLP will apply for CLE credit after the program, wherever applicable. Foley & Lardner LLP certifies that this activity has been approved for California MCLE credits by the State Bar of California in the amount of 5.25 General credits, including two Ethics credits. Foley & Lardner LLP is a State Bar of California MCLE approved provider. Please note that participants must be in attendance on the date of the event; credit may not be obtained by viewing and/or listening to a program recording after the event.
