Please join us for a four-part series of CLE webinars aimed at helping to protect your business from the challenges presented by recent enforcement and compliance initiatives of the U.S. Department of Justice (DOJ) and the Securities and Exchange Commission (SEC).
Register separately below for each CLE webinar on the following topics:
- E-Discovery Strategies Under New DOJ Policies for Corporate Communications on Personal Devices and Messaging Platforms - Wednesday, May 31 at 12:30 p.m. ET
- Corporate Compensation Clawback Policy Developments
- Insider Trading and 10b5-1 Issues
- DOJ and SEC Initiatives on Corporate Enforcement, Disclosure and Compliance
Upcoming Programs
Program #4: E-Discovery Strategies Under New DOJ Policies for Corporate Communications on Personal Devices and Messaging Platforms
REGISTRATION FOR #4
Wednesday, May 31 | 12:30 p.m. ET
Panelists – Edward Jacobs, May Tal Gongolevsky, Michelle Tanney
According to DOJ’s recent memo announcing revisions to its corporate criminal enforcement policies, corporations should assess their communication and document retention policies and consider implementing changes related to the preservation and collection of employee text messages, chat functions and third-party apps. Under the new guidelines, DOJ expects corporations to ensure the discoverability of communications beyond traditional email, through trainings and robust compliance programs. This CLE webinar will address best practices for assessing employee use of technology, preserving and saving texts and other forms of instant messages, and e-discovery processes for effectively responding to DOJ inquiries involving these communications.
This program is approved for NASBA- CPE Accountant: 1.2 hours of credit. Field of Study: Information Technology – Technical. Prerequisites and Advanced Preparation: None. Program Level: Intermediate. Delivery Method: Group Internet Based. CEU Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org. Questions? For any questions regarding CPE credit, please contact CEU Institute at rosters@ceuinstitute.net.
Previous Sessions:
Corporate Compensation Clawback Policy Developments
Panelists – John Carney, Todd Thorson, Jimmy Fokas, Stefan Smith, Elizabeth Ann Smith
DOJ’s Pilot Program on Compensation Incentives and Clawbacks requires businesses to develop compliance-promoting criteria within their compensation systems and offers reductions in enforcement penalties for businesses seeking to claw back compensation from corporate wrongdoers. The new policies have the potential to affect corporate practices for compliance, employment, compensation, tax and more. This CLE webinar will provide the latest updates on these government initiatives and practical guidance for how businesses can protect themselves. The webinar will also discuss SEC Exchange Act Rule 10D-1 regarding the claw back of erroneously awarded incentive compensation for issuers that have restated their financial statements and guidance for integrating these requirements into incentive compensation programs. The panel will also address how the recovery of compensation can impact the affected executive’s federal income tax treatment.
Insider Trading and 10b5-1 Issues
Panelists – John Carney, Suzanne Hanselman, Adam Finerman, Teresa Goody Guillén
The DOJ and SEC have ramped up their efforts to combat potential insider trading by high-level executives purportedly misusing Rule 10b5-1 plans. The SEC has adopted amendments to Rule 10b5-1 and related regulations, and both the DOJ and SEC have recently pursued enforcement actions targeting trading on material non-public information through a Rule 10b5-1 plan. This CLE webinar will provide the latest updates on these government initiatives and practical guidance for how businesses and insiders can protect themselves.
DOJ and SEC Initiatives on Corporate Enforcement, Disclosure and Compliance
Panelists – Patrick Campbell, Janet Spreen, John Harrington, John Carney
DOJ has recently announced new or updated policies for Corporate Enforcement, Voluntary Self-Disclosure, and Corporate Compliance. These initiatives are far-reaching, potentially affecting business practices for responding to government enforcement actions; operating compliance programs and internal accounting controls; identifying, disclosing and remediating misconduct; and the use of personal devices and third-party messaging platforms. This CLE webinar will provide the latest updates on these government initiatives and practical guidance for how businesses can protect themselves.