University of Texas School of Law
2015
Government Enforcement Institute
Must-have insights and strategies for corporate counsel and practitioners
 
Dallas May 13-14, 2015 Belo Mansion
Conference Concluded
Related products: eConferences, Materials

SPONSORS
Baker Tilly
Berkeley Research Group, LLC
D6 Consulting, LLC
Deloitte Financial Advisory Services LLP

FTI Consulting, Inc.
Haynes and Boone, LLP
K&L Gates LLP
Locke Lord LLP
Morgan, Lewis & Bockius LLP
Navigant Consulting, Inc.
Precision Discovery
PwC


MEDIA SPONSOR
The Texas Lawbook

 

UT Law CLE

2015 Government Enforcement Institute

Program Features
Join a national faculty of government officials, private practitioners and general counsel for The University of Texas School of Law 2015 Government Enforcement Institute (UTGEI).

The Institute provides a unique collegial forum for practitioners and in-house counsel to engage with high-level current and former government officials from the SEC, DOJ, CFPB, FTC and other authorities with an enforcement mandate. Hear the latest enforcement trends, risk areas and judicial and legislative developments, as well as indispensable insight and practical advice on key stages and considerations during a government investigation.   
UTGEI program highlights include:
  • Andrew Ceresney, Director of Enforcement for the SEC, opens with the Keynote Presentation, The SEC’s Cooperation Program:  Reflections on Five Years of Experience
  • The Company in Crisis: Talking to Investors, Regulators and the Media provides best practices for crisis communication, including strategies for dealing with the media, investors and the public, featuring Audrey T. Andrews, General Counsel, Tenet Healthcare
  • Examination of the role of the corporate board in a government investigation with Robb Voyles, General Counsel, Halliburton
  • The SEC’s new emphasis on accounting fraud, featuring David Woodcock, Regional Director SEC
  • A look at the SEC’s recent focus on attorney disciplinary actions with former U.S. Attorney, Jim Letten and SEC Associate Director for Enforcement, Scott Friestad
  • The Lightning Round” updates on current priorities and actions from the SEC, FTC, CFTC, DOJ and CFPB
  • Discussion of the role of the external auditor and key considerations during an investigation featuring Claudius B. Modesti, Director of Enforcement at the Public Company Accounting Oversight Board
  • Cybersecurity: Proactive Steps to Minimize Liability
  • An overview of key recent cases and legislative developments
  • Invaluable networking opportunities to interact with speakers and attendees, including the Wednesday Networking Luncheon and Evening Reception
 

UT Law CLE

2015 Government Enforcement Institute

10/23/19
Schedule

Wednesday Morning, May 13, 2015

Presiding Officer:
Steve Korotash, Partner, Morgan, Lewis & Bockius LLP - Dallas, TX

8:00 am
Registration Opens

Includes continental breakfast.

8:50 am
Welcoming Remarks

OPENING KEYNOTE PRESENTATION

9:00 am

0.75 hr

The SEC’s Cooperation Program:  Reflections on Five Years of Experience

A look at the Enforcement Division’s cooperation program, including how the Division has made use of its cooperation tools, what individuals and entities have to gain by cooperating, and what to expect from the Division in the future.

Andrew Ceresney, Director of Enforcement, U.S. Securities and Exchange Commission - Washington, DC

 
9:45 am

1.00 hr
0.50 hr ethics

The Company in Crisis: Talking to Investors, Regulators and the Media

Best practices for crisis communication, including strategies for dealing with the media, investors and the public, plus a discussion of both the legal requirements and strategic considerations pertaining to required disclosures in company filings.

Moderator:
Audrey T. Andrews, Senior Vice President and General Counsel, Tenet Healthcare Corporation - Dallas, TX
Panelists:
Kit Addleman, Partner, Haynes and Boone, LLP - Dallas, TX
Paul A. Castanon, Vice President, Deputy General Counsel and Corporate Secretary, Tenet Healthcare Corporation - Dallas, TX
Paul E. Coggins, Partner, Locke Lord LLP - Dallas, TX
Erik Hotmire, Partner, Brunswick Group, LLP - Washington, DC

10:45 am
Break

11:00 am

1.00 hr

SEC and DOJ Financial Fraud Investigations

An update on the SEC’s and DOJ’s recent enforcement efforts involving accounting fraud investigations and related litigation.

Moderator:
Jason S. Flemmons, Senior Managing Director, FTI Consulting, Inc. - Washington, DC
Panelists:
David King, Enforcement Accountant, U.S. Securities and Exchange Commission - Fort Worth, TX
Jason S. Varnado, Deputy Criminal Chief–Major Fraud, United States Attorney's Office, Southern District of Texas - Houston, TX
David R. Woodcock, Regional Director, U.S. Securities and Exchange Commission - Fort Worth, TX

Wednesday Afternoon, May 13, 2015

Presiding Officer:
Steve Korotash, Partner, Morgan, Lewis & Bockius LLP - Dallas, TX

NETWORKING LUNCHEON

12:00 pm
Networking Lunch

Interact and network with faculty and fellow colleagues. Buffet lunch included in registration. 

 
12:45 pm
Break

1:00 pm

1.00 hr
0.50 hr ethics

The Corporate Board and Its Role in Government Investigations

An examination of the legal responsibilities, regulator expectations and best practices for corporate board members in connection with government investigations and in authorizing and responding to internal investigations. 

Moderator:
Alan J. Berkeley, Partner, K&L Gates - Washington, DC
Panelists:
Holly L. Clarke, Senior Vice President and General Counsel, L-3 Communications Integrated Systems, L.P. - Rockwall, TX
Matthew D. Orwig, Partner, Jones Day - Dallas, TX
Robb L. Voyles, Executive Vice President and General Counsel, Halliburton - Houston, TX

The Lightning Round: Agency Recent Developments and Current Priorities

2:00 pm

0.25 hr

Consumer Financial Protection Bureau

David Hendricks, Attorney Advisor, Office of Enforcement’s Field Litigation Team, Consumer Financial Protection Bureau - Chicago, IL

2:15 pm

0.25 hr

Federal Trade Commission

Dama J. Brown, Regional Director, Federal Trade Commission - Dallas, TX

2:30 pm

0.25 hr

Commodity Futures Trading Commission

Richard Foelber, Chief, Office of Cooperative Enforcement, U.S. Commodity Futures Trading Commission - Washington, DC

2:45 pm

0.25 hr

Federal Bureau of Investigation

Michael Costanzi, ASAC, Federal Bureau of Investigation - Dallas, TX

3:00 pm

0.25 hr

Securities and Exchange Commission

David L. Peavler, Associate Regional Director, U.S. Securities and Exchange Commission - Fort Worth, TX

 
3:15 pm
Break

3:30 pm

0.50 hr ethics

Professionals in the Cross-Hairs: Update on the Government’s Gatekeeper Focus

Recent developments in the crusade for greater accountability of officers, directors, attorneys and accountants, plus a survey of recent cases and trends with a discussion of the SEC’s focus on disciplining attorneys involved in representing clients in SEC investigations.

Scott W. Friestad, Associate Director, Division of Enforcement, U.S. Securities and Exchange Commission - Washington, DC
Jim Letten, Former U.S. Attorney, EDLA and Assistant Dean, Tulane University Law School - New Orleans, LA

4:00 pm

0.75 hr

D&O Insurance: What You Absolutely Need to Know

Understand policy selection criteria, coverage notices, negotiations, demands and litigation.  

Moderator:
Paul E. Pelletier, Member, Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. - Washington, DC
Panelists:
Jane Njavro, Vice President, Woodruff Sawyer & Company - San Francisco, CA
Jeffrey M. Schumm, Chief Administrative Officer, General Counsel, and Corporate Secretary, Orthofix International N.V. - Lewisville, TX
Jonathan A. Shapiro, Member, Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C - San Francisco, CA

4:45 pm

0.75 hr

The Forensic Auditor: A Key Witness in the Defense Arsenal

Explore the numerous and critical contributions that a forensic auditor can provide in conducting internal investigations and preparing to defend a government action.

Moderator:
Eric W. Sitarchuk, Partner, Morgan, Lewis & Bockius LLP - Philadelphia, PA
Panelists:
Robert P. Gray, Partner, Forensic, Litigation & Valuation Services, Baker Tilly Virchow Krause, LLP - Dallas, TX
Julie L. Nielsen, Director, Berkeley Research Group, LLC - Tampa, FL
Todd C. Ranta, Partner, PwC - Dallas, TX

5:30 pm
Adjourn to Reception

Join Institute faculty and attendees for drinks and hors d'oeuvres.
THANK YOU TO OUR SPONSOR
Navigant Consulting, Inc.

Thursday Morning, May 14, 2015

Presiding Officer:
Barrett R. Howell, Partner, K&L Gates LLP - Dallas, TX

8:00 am
Conference Room Opens

Includes continental breakfast. 

8:30 am

0.75 hr

False Claims Act Update

The government reports a continued inflow of new FCA actions and billions of dollars in FCA judgments and settlements. These high stakes and the courts’ acceptance of novel theories of FCA liability continue to mold the landscape for FCA enforcement. Review current FCA enforcement and investigations and what it means for government contractors.

Moderator:
B. Scott McBride, Partner, Baker & Hostetler LLP - Houston, TX
Panelists:
Jeremy D. Kernodle, Partner, Haynes and Boone, LLP - Dallas, TX
Clay B. Scheitzach, Senior Vice President & Group Counsel, Xerox Business Services, LLC - Dallas, TX
Susan Strawn, Assistant U.S. Attorney, United States Attorney's Office, Western District of Texas - San Antonio, TX

9:15 am

1.00 hr

Government Investigations and the External Auditor

Review the critical considerations involved in the company-auditor and defense counsel-auditor relationship during the pendency of an internal investigation or government probe.  

Moderator:
Dale E. Barnes, Partner, Morgan, Lewis & Bockius LLP - San Francisco, CA
Panelists:
Timothy R. McCormick, Partner, Thompson & Knight LLP - Dallas, TX
Claudius B. Modesti, Director, Public Company Accounting Oversight Board - Washington, DC
Sarah Simpson, Associate General Counsel, Deloitte, LLP - Stamford, CT

10:15 am
Break

10:30 am

1.00 hr
0.50 hr ethics

Cyber Security: Proactive Steps to Minimize Liability 

Under the assumption that no steps will guarantee freedom from an intrusion, analyze the steps that a company should take to minimize the likely liability when an intrusion occurs. 

Moderator:
Mark L. Krotoski, Partner, Morgan, Lewis & Bockius LLP - Silicon Valley, CA
Panelists:
Ronald W. Breaux, Partner, Haynes and Boone, LLP - Dallas, TX
Erin Nealy Cox, Executive Managing Director, Stroz Friedberg - Dallas, TX
Tracy M. Preston, SVP & General Counsel, The Neiman Marcus Group - Dallas, TX

11:30 am

1.00 hr

Current Trends in Criminal and Civil Investigations

Review investigative strategies and tactics that the government is using and related legal issues that counsel may face.

Moderator:
Alan M. Buie, Assistant United States Attorney, United States Attorney's Office, Western District of Texas, Austin Division - Austin, TX
Panelists:
Peter J. Henning, Professor of Law, Wayne State University Law School - Detroit, MI
Benjamin D. Singer, Deputy Chief, Fraud Section, U.S. Department of Justice - Washington, DC
Robert L. Webster, Partner, Fitzpatrick Hagood Smith & Uhl LLP - Dallas, TX

12:30 pm
Adjourn

UT Law CLE

2015 Government Enforcement Institute

Faculty

Conference Faculty

Kit Addleman
Partner, Haynes and Boone, LLP
Dallas, TX
Audrey T. Andrews
Senior Vice President and General Counsel, Tenet Healthcare Corporation
Dallas, TX
Dale E. Barnes
Partner, Morgan, Lewis & Bockius LLP
San Francisco, CA
Alan J. Berkeley
Partner, K&L Gates
Washington, DC
Ronald W. Breaux
Partner, Haynes and Boone, LLP
Dallas, TX
Dama J. Brown
Regional Director, Federal Trade Commission
Dallas, TX
Alan M. Buie
Assistant United States Attorney, United States Attorney's Office, Western District of Texas, Austin Division
Austin, TX
Paul A. Castanon
Vice President, Deputy General Counsel and Corporate Secretary, Tenet Healthcare Corporation
Dallas, TX
Andrew Ceresney
Director of Enforcement, U.S. Securities and Exchange Commission
Washington, DC
Holly L. Clarke
Senior Vice President and General Counsel, L-3 Communications Integrated Systems, L.P.
Rockwall, TX
Paul E. Coggins
Partner, Locke Lord LLP
Dallas, TX
Michael Costanzi
ASAC, Federal Bureau of Investigation
Dallas, TX
Erin Nealy Cox
Executive Managing Director, Stroz Friedberg
Dallas, TX
Jason S. Flemmons
Senior Managing Director, FTI Consulting, Inc.
Washington, DC
Richard Foelber
Chief, Office of Cooperative Enforcement, U.S. Commodity Futures Trading Commission
Washington, DC
Scott W. Friestad
Associate Director, Division of Enforcement, U.S. Securities and Exchange Commission
Washington, DC
Robert P. Gray
Partner, Forensic, Litigation & Valuation Services, Baker Tilly Virchow Krause, LLP
Dallas, TX
David Hendricks
Attorney Advisor, Office of Enforcement’s Field Litigation Team, Consumer Financial Protection Bureau
Chicago, IL
Peter J. Henning
Professor of Law, Wayne State University Law School
Detroit, MI
Erik Hotmire
Partner, Brunswick Group, LLP
Washington, DC
Jeremy D. Kernodle
Partner, Haynes and Boone, LLP
Dallas, TX
David King
Enforcement Accountant, U.S. Securities and Exchange Commission
Fort Worth, TX
Mark L. Krotoski
Partner, Morgan, Lewis & Bockius LLP
Silicon Valley, CA
Jim Letten
Former U.S. Attorney, EDLA and Assistant Dean, Tulane University Law School
New Orleans, LA
B. Scott McBride
Partner, Baker & Hostetler LLP
Houston, TX
Timothy R. McCormick
Partner, Thompson & Knight LLP
Dallas, TX
Claudius B. Modesti
Director, Public Company Accounting Oversight Board
Washington, DC
Julie L. Nielsen
Director, Berkeley Research Group, LLC
Tampa, FL
Jane Njavro
Vice President, Woodruff Sawyer & Company
San Francisco, CA
Matthew D. Orwig
Partner, Jones Day
Dallas, TX
David L. Peavler
Associate Regional Director, U.S. Securities and Exchange Commission
Fort Worth, TX
Paul E. Pelletier
Member, Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
Washington, DC
Tracy M. Preston
SVP & General Counsel, The Neiman Marcus Group
Dallas, TX
Todd C. Ranta
Partner, PwC
Dallas, TX
Clay B. Scheitzach
Senior Vice President & Group Counsel, Xerox Business Services, LLC
Dallas, TX
Jeffrey M. Schumm
Chief Administrative Officer, General Counsel, and Corporate Secretary, Orthofix International N.V.
Lewisville, TX
Jonathan A. Shapiro
Member, Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C
San Francisco, CA
Sarah Simpson
Associate General Counsel, Deloitte, LLP
Stamford, CT
Benjamin D. Singer
Deputy Chief, Fraud Section, U.S. Department of Justice
Washington, DC
Eric W. Sitarchuk
Partner, Morgan, Lewis & Bockius LLP
Philadelphia, PA
Susan Strawn
Assistant U.S. Attorney, United States Attorney's Office, Western District of Texas
San Antonio, TX
Jason S. Varnado
Deputy Criminal Chief–Major Fraud, United States Attorney's Office, Southern District of Texas
Houston, TX
Robb L. Voyles
Executive Vice President and General Counsel, Halliburton
Houston, TX
Robert L. Webster
Partner, Fitzpatrick Hagood Smith & Uhl LLP
Dallas, TX
David R. Woodcock
Regional Director, U.S. Securities and Exchange Commission
Fort Worth, TX

Planning Committee

Barrett R. Howell—Co-Chair
Partner, K&L Gates LLP
Dallas, TX
Steve Korotash—Co-Chair
Partner, Morgan, Lewis & Bockius LLP
Dallas, TX
Audrey T. Andrews
Senior Vice President and General Counsel, Tenet Healthcare Corporation
Dallas, TX
Danny S. Ashby
Partner, Morgan, Lewis & Bockius LLP
Dallas, TX
Brad Bennett
Executive Vice President, Chief of Enforcement, Finra
Rockville, MD
Holly L. Clarke
Senior Vice President and General Counsel, L-3 Communications Integrated Systems, L.P.
Rockwall, TX
Jason S. Flemmons
Senior Managing Director, FTI Consulting, Inc.
Washington, DC
Merri Jo Gillette
Partner, Morgan, Lewis & Bockius LLP
Chicago, IL
Joanna Jefferson
Program Director, The University of Texas School of Law
Austin, TX
Jim Letten
Former U.S. Attorney, EDLA and Assistant Dean, Tulane University Law School
New Orleans, LA
Lori Scott McWilliams
Central Regional Managing Partner, Deloitte Financial Advisory Services LLP
Dallas, TX
Julie L. Nielsen
Director, Berkeley Research Group, LLC
Tampa, FL
Paul E. Pelletier
Member, Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
Washington, DC
Steven Rogers
Chief Counsel - Environment, Health & Safety, The Boeing Company
Seattle, WA
David R. Woodcock
Regional Director, U.S. Securities and Exchange Commission
Fort Worth, TX

UT Law CLE

2015 Government Enforcement Institute

Credit Information

MCLE Credit

Texas
10.75 hrs  |  2.00 hrs Ethics
Legal Specialization(s): Administrative Law, Civil Appellate Law, Civil Trial Law, Criminal Appellate Law, Criminal Law
Additional Information
A Texas MCLE Reporting Form will be included in your course materials. Please complete and return to the registration desk and UT Law CLE will report credit on your behalf to the State Bar of Texas, or you can self-report your credit directly to the State Bar of Texas at texasbar.com. A Certificate of Attendance will be provided at the conference to keep for your records.  
California
10.75 hrs  |  2.00 hrs Ethics
Additional Information
At the conference, you will need to sign in on the Record of Attendance form at the registration desk. Self-report your CLE credit directly to the State Bar of California at calbar.ca.gov. You will receive a Certificate of Attendance at the conference to keep for your records. UT Law CLE will maintain Attendance Records for four years.  
Delaware
10.80 hrs  |  2.00 hrs Ethics
Illinois
9.50 hrs  |  2.00 hrs Ethics
Additional Information
At the conference, you will need to sign in on the Record of Attendance form at the registration desk. You will receive a Certificate of Attendance at the conference to keep for your records. UT Law CLE will verify the number of Illinois attorneys in attendance within 10 days after the conference. Self report your credit to the MCLE Board of the Supreme Court of Illinois. UT Law CLE will maintain Attendance Records for four years.
Nebraska
10.75 hrs  |  2.00 hrs Ethics
Additional Information
At the conference, you will need to sign in on the Record of Attendance form at the registration desk. You will receive a Certificate of Attendance at the conference to keep for your records. UT Law CLE will report credit on your behalf to the Nebraska Supreme Court Continuing Legal Education Commission within 30 days after the conference. UT Law CLE will maintain Attendance Records for four years.
New Jersey
12.00 hrs  |  2.00 hrs Ethics
Additional Information
As The University of Texas School of Law is a State Bar of Texas approved MCLE provider (Sponsor #13), our courses are presumptively approved for MCLE credit based on a 50-minute credit hour, and in accordance with the Regulations of the Supreme Court of New Jersey Board on Continuing Legal Education. More information and details can be found at Regulation 2.01:4.

At the conference, you will need to sign in on the Record of Attendance form at the registration desk. Self-report your CLE credit directly to the Supreme Court of New Jersey Board on Continuing Legal Education. You will receive a Certificate of Attendance at the conference to keep for your records. UT Law CLE will maintain Attendance Records for four years.  
New York
12.00 hrs  |  2.00 hrs Ethics
Additional Information
As The University of Texas School of Law is a State Bar of California approved MCLE provider (#1944), and the State Bar of California is a New York Approved Jurisdiction, our courses are approved for MCLE credit based on a 50-minute credit hour, and in accordance with the Program Rules and the Regulations and Guidelines of the New York State Continuing Legal Education Board. More information and details can be found at Section 6 of the Regulations and Guidelines.

At the conference, you will need to sign in on the Record of Attendance form at the registration desk. Self-report your CLE credit directly to the New York State Bar Association. You will receive a Certificate of Attendance at the conference to keep for your records. UT Law CLE will maintain Attendance Records for four years.  
Ohio
10.75 hrs  |  2.00 hrs Ethics
Additional Information
At the conference, you will need to sign in on the Record of Attendance form at the registration desk. UT Law CLE will report credit on your behalf to The Supreme Court of Ohio within 30 days after the conference. You will receive a Certificate of Attendance at the conference to keep for your records.
Oklahoma
13.00 hrs  |  2.50 hrs Ethics
Additional Information
At the conference, you will need to sign in on the Record of Attendance form at the registration desk. You will receive a Certificate of Attendance at the conference to keep for your records. UT Law CLE will report credit on your behalf to the Oklahoma Bar Association within 30 days after the conference.
Pennsylvania
8.50 hrs  |  2.00 hrs Ethics
Additional Information
At the conference, you will need to sign in on the Record of Attendance form at the registration desk. You will receive the Pennsylvania CLE Board Credit Request Form and approval documentation to self-report credit directly to the Pennsylvania CLE Board. You will receive a Certificate of Attendance at the conference to keep for your records. UT Law CLE will maintain Attendance Records for four years.  
Other States
Note on Self-Reporting Your Credits in Another State
If you wish to satisfy MCLE or other professional education requirements in another state for a program offered by the University of Texas School of Law, please check with the state bar or other licensing authority in that state before taking the program to ensure it will qualify for self-reporting your credits.

Other Credit

International Association of Privacy Professionals (IAPP)
National Accounting CPE
13.00 hrs
Additional Information
The University of Texas School of Law is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional 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.

Delivery Method: Group-Live

To comply with NASBA Standards, attendees claiming CPE credit must sign in to verify attendance for each segment. Attendance sign-in sheets will be available at the registration desk. You will need your CPA license number to sign in. A CPE Certificate of Completion will be provided at the conclusion of the conference.

Reporting: CPAs are responsible for reporting CPE credits earned to their state's accountancy board, and must retain appropriate documentation of their participation in learning activities. Visit your state’s reporting website for more information or www.nasba.org.

UT Law CLE

2015 Government Enforcement Institute

Key Dates

Dallas

  • Last day for Individual early registration: May 8, 2015
    Add $50 for registrations received after this time
  • Last day for Group Special 1 early registration: May 8, 2015
    Add $50 for registrations received after this time
  • Last day for Group Special 2 early registration: May 8, 2015
    Add $50 for registrations received after this time
  • Last day for cancellation (full refund): May 8, 2015
  • Last day for cancellation (partial refund): May 11, 2015
    $50 processing fee applied

UT Law CLE

2015 Government Enforcement Institute

Hotel / Venue

Dallas

Belo Mansion

2101 Ross Avenue
Dallas, TX
214.220.0239
Map

Parking Information

$4 per day for Dallas Bar Members
$10 per day for Non-Dallas Bar members

Nearby Hotel Accommodations

Fairmont Hotel

1717 N. Akard St.
Dallas, TX
(214) 720-2020 (reservations)

Accommodations

$189 room rate good through April 21, 2015 (subject to availability). 
Reserve your room online
 

UT Law CLE

2015 Government Enforcement Institute

Sponsors