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Overview

Don’t miss The University of Texas School of Law’s 3rd Annual Government Enforcement Institute (UTGEI)—quickly becoming one of the premier enforcement programs in the country.  

The Institute brings together a nationally recognized faculty to discuss key issues and strategies for protecting companies and executives in government investigations. It provides a unique collegial forum for in-house counsel and practitioners to engage with high-level current and former government officials from the SEC, DOJ, EPA, 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 in handling a government investigation.  Just a few of this year's UTGEI highlights include:

  • In-House Counsel’s Effective Management of Investigations, provides key considerations for conducting and managing internal investigations and collaborating with external counsel and includes representatives from NIKE, Inc., Chesapeake Energy Corporation, and (formerly) BP.
  • SEC Priorities: The Year Past, The Year Ahead featuring Scott Friestad, Associate Director of the SEC’s Division of Enforcement, and Shamoil T. Shipchandler, Director of the SEC’s Fort Worth Regional Office.
  • Punishing Corporations Isn’t Enough: The Government’s Push to Prosecute Individuals, moderated by Jim Letten, Senior Counsel with Butler Snow LLP, and former U.S. Attorney, looks at the implications of the Yates Memo and increased efforts to prosecute individuals in corporate fraud cases.
  • Surviving Internal Investigation and Prosecution with former GC of a major technology firm, Kent Roberts, discusses the dynamics of an internal investigation including Roberts’ own experience being indicted by the SEC during the options backdating scandal.
  • Cybersecurity for Business Infrastructure with information security and cyber risk leads from Chevron and Calpine Corporation.
  • When Bad Things Happen to Good Companies: Managing Catastrophic Environmental Risks, features EPA Regional Counsel, James O’Rourke Payne, and LyondellBasell Lead Counsel, Steve Cook, and discusses essential preparations and post-incident strategies for managing an environmental crisis.
  • Whistleblowers: The Challenges for In-House Counsel provides key strategies and considerations for successfully navigating the challenges posed to companies by whistleblowers.
  • Corporate Families, Board Committees and the Ethical Issues They Present with Randall M. Ebner, Assistant General Counsel with Exxon Mobil Corporations, and John K. Villa of Williams & Connolly LLP uses a hypothetical scenario to highlight the ethical problems and professional conflicts for corporate lawyers who advise companies and boards.  
  • Plus invaluable networking opportunities to interact with speakers and attendees, including the Thursday Networking Luncheon and Evening Reception
 
 

Event Schedule

Program is subject to change.
All times are Central Time Zone.

  • Time
    Credit
    Subject
    Speaker
  • Thursday Morning, Sep. 29, 2016
    Presiding Officer:
    Steve Korotash, Partner, Morgan, Lewis & Bockius LLP - Dallas, TX
  • 8:00 am
    Registration Opens
    Includes continental breakfast.

    Thank You to Our Breakfast Sponsor
    Baker Botts

  • 8:50 am
    Welcoming Remarks

  • 9:00 am
    0.50 hr
    Opening Keynote

    Shamoil T. Shipchandler, Regional Director, U.S. Securities and Exchange Commission - Fort Worth, TX

  • 9:30 am
    1.00 hr
    0.50 hr ethics
    In-House Counsel’s Effective Management of Investigations
    Hear key considerations for conducting and managing internal investigations and collaborating with external counsel in responding to government inquiries, including achieving cost effectiveness and significant ethical considerations.

    Moderator:
    Bridget Moore, Partner, Baker Botts - Washington, DC
    Panelists:
    Patrick Craine, Deputy General Counsel, Chief Risk and Compliance Officer, Chesapeake Energy Corporation - Oklahoma City, OK
    Ritu Gupta, Executive Director-Senior Legal Counsel Litigation, AT&T Services, Inc. - Bellaire, TX
    Casey P. Kaplan, Assistant General Counsel - Litigation and Investigations, NIKE, Inc. - Portland, OR
    James J. Neath, Associate General Counsel - Global Litigation & Environmental (Retired), BP - Houston, TX

  • 10:30 am
    Break

  • 10:45 am
    0.75 hr
    SEC Priorities: The Year Past, The Year Ahead
    A survey of recent SEC enforcement priorities and insights into the perils that may lie ahead.

    Moderator:
    Thomas J. Krysa, Shareholder, Brownstein Hyatt Farber Schreck, LLP - Denver, CO
    Panelists:
    Kit Addleman, Partner, Haynes and Boone, LLP - Dallas, TX
    Scott W. Friestad, Associate Director, Division of Enforcement, U.S. Securities and Exchange Commission - Washington, DC
    Shamoil T. Shipchandler, Regional Director, U.S. Securities and Exchange Commission - Fort Worth, TX

  • 11:30 am
    1.00 hr
    0.25 hr ethics
    The Audit Committee and Government Enforcement: Where the Buck Stops
    An examination of the increasing role that the audit committee plays in overseeing internal and external investigations; the government's perception of that role; what audit committees expect from the company’s counsel, external counsel and auditors; and best practices for navigating the many constituencies involved—auditors, regulators, investors and management.

    Moderator:
    Jason S. Flemmons, Senior Managing Director, Ankura Consulting Group - Washington, DC
    Panelists:
    Barbara Duganier, Corporate Director, Buckeye Partners, L.P. and MRC Global - Houston, TX
    N. Scott Fletcher, Partner, Jones Day - Houston, TX
    David L. Peavler, Associate Regional Director, U.S. Securities and Exchange Commission - Fort Worth, TX

  • Thursday Afternoon, Sep. 29, 2016
    Presiding Officer:
    Steve Korotash, Partner, Morgan, Lewis & Bockius LLP - Dallas, TX
  • 12:30 pm
    Networking Luncheon
    Interact and network with faculty and fellow colleagues.  Buffet lunch included in registration.

    Thank You to Our Sponsor
    FTI Consulting, Inc.

  • 1:15 pm
    1.00 hr
    That's a Crime?
    Are we criminalizing ordinary business conduct in this country...or are businesses getting away with "murder"? This panel debates the pitfalls or the myths of  "over-criminalization"—especially criminalizing conduct without requiring a corrupt mens rea.

    Moderator:
    David Gerger, Partner, Quinn Emmanuel Urquhart & Sullivan LLP - Houston, TX
    Panelists:
    Quincy Ollison, Assistant U.S. Attorney, U.S. Attorney's Office, Southern District of Texas - Houston, TX
    John D. Cline, Law Office of John D. Cline - San Francisco, CA
    Robert L. Levy, Counsel, Exxon Mobil Corporation - Houston, TX

  • 2:15 pm
    1.00 hr
    Cybersecurity for Business Infrastructure
    With the high level of attention on consumer-side data breaches, who is watching the infrastructure? Utilities, pipeline and the “internet of things” remain vulnerable to cyber-attacks. Learn how you can protect your company’s infrastructure and the likely regulatory repercussions in the event of an attack.

    Moderator:
    Mark L. Krotoski, Partner, Morgan, Lewis & Bockius LLP - Palo Alto, CA
    Panelists:
    Todd A. MacGregor, Lead, Threat Intelligence, Chevron Information Technology Corporation - Houston, TX
    Allan Manuel, Deputy CIO for Enterprise Policy, Portfolio Management & Governance, U.S. Department of Energy - Washington, DC
    Annessa McKenzie, Director, Enterprise Information Security and Cyber Risk, Calpine Corporation - Houston, TX

  • 3:15 pm
    Break

  • 3:30 pm
    0.75 hr
    Punishing Corporations Isn’t Enough: The Government’s Push to Prosecute Individuals
    A look at the implications of the Yates Memo, and the reinvigorated efforts of government agencies focusing their enforcement efforts on prosecuting individuals in corporate fraud cases.

    Moderator:
    Jim Letten, Senior Counsel, Butler Snow LLP - New Orleans, LA
    Panelists:
    Jeffrey J. Ansley, Partner, Bell Nunnally & Martin LLP - Dallas, TX
    Charles E. Duross, Partner, Morrison & Foerster LLP - Washington, DC
    Paul E. Pelletier, Partner, Pepper Hamilton LLP - Washington, DC

  • 4:15 pm
    1.00 hr
    0.25 hr ethics
    Whistleblowers: The Challenges for In-House Counsel
    An exploration of the myriad challenges posed for companies by whistleblowers, as well as viable strategies for successfully negotiating the difficult obstacles presented.

    Moderator:
    Kevin Edmundson, Edmundson PLLC - Spicewood, TX
    Panelists:
    Chip Jones, Shareholder, Littler Mendelson P.C. - Dallas, TX
    Jane Norberg, Acting Chief, Office of the Whistleblower, U.S. Securities and Exchange Commission - Washington, DC
    Jordan A. Thomas, Chair - Whistleblower Representation Practice, Labaton Sucharow LLP - New York, NY

  • 5:15 pm
    Adjourn to Reception
    Join us for drinks and hors d'oeuvres with program faculty and attendees.

    Thank You to Our Sponsor
    Butler Snow LLP

  • Time
    Credit
    Subject
    Speaker
  • Friday Morning, Sep. 30, 2016
    Presiding Officer:
    Barrett R. Howell, Partner, K&L Gates LLP - Dallas, TX
  • 8:00 am
    Conference Room Opens

  • 8:30 am
    0.75 hr
    Surviving Internal Investigations and Prosecution:  A General Counsel’s Personal Experience
    Peter Henning and Kent Roberts, the former General Counsel of a major technology firm, will discuss the dynamics of an internal investigation and the risks that lawyers and compliance officers can face in responding to a government inquiry, including Roberts’ experience being indicted and then sued by the SEC during the options backdating scandal.

    Peter J. Henning, Professor of Law, Wayne State University Law School - Detroit, MI
    Kent Hart Roberts, Attorney at Law - Dallas, TX

  • 9:15 am
    1.00 hr
    Protecting Intellectual Property: Will Criminal Authorities Help?
    A review of the relevant law and the workings of intellectual property investigations and prosecutions, as well as key steps that companies can take to increase the likelihood that criminal authorities will take action.

    Moderator:
    Alan M. Buie, Assistant U.S. Attorney, United States Attorney's Office, Western District of Texas, Austin Division - Austin, TX
    Panelists:
    Bruce P. Keller, Assistant U.S. Attorney, United States Attorney's Office, District of New Jersey - Newark, NJ
    Brandon N. McCarthy, Partner, K&L Gates LLP - Dallas, TX
    Paul Yanowitch, Assistant U.S. Attorney, United States Attorney's Office, Northern District of Texas, Dallas Division - Dallas, TX

  • 10:15 am
    Break

  • 10:30 am
    1.00 hr
    When Bad Things Happen to Good Companies: Managing Catastrophic Environmental Risks
    This panel discusses essential preparations for an environmental crisis and offers insights into post crisis issues like communications, multi post-incident investigations, emergency legislation and regulatory action, and the adverse attention that a crisis brings, all while keeping a company afloat.  

    Moderator:
    James J. Dragna, Partner, Morgan Lewis & Bockius LLP - Los Angeles, CA
    Panelists:
    Steven Cook, Lead Counsel Global HSE, LyondellBasell - Houston, TX
    Suzanne Beaudette Murray, Partner, Haynes and Boone, LLP - Dallas, TX
    James O’ Rourke Payne Jr., Regional Counsel, Environmental Protection Agency Region 6 - Dallas, TX

  • 11:30 am
    1.00 hr ethics
    Corporate Families, Board Committees and the Ethical Issues They Present
    Government investigations and shareholder claims and complaints can place huge stresses on the modern corporation, often forcing it to investigate itself and causing internal personal and professional conflicts in its senior management and board. These pressures create difficult ethical problems for corporate lawyers who advise companies, boards and board committees. Using a hypothetical scenario, this panel provides practitioners with guidance for some of these problems. 

    Randall M. Ebner, Assistant General Counsel-Compliance and Corporate, Exxon Mobil Corporation - Irving, TX
    Rebecca A. Gregory, Adjunct Faculty, SMU Dedman School of Law - Dallas, TX
    John K. Villa, Partner, Williams & Connolly LLP - Washington, DC

  • 12:30 pm
    Adjourn

Download Schedule

Conference Faculty

Kit Addleman

Partner, Haynes and Boone, LLP
Dallas, TX

Jeffrey J. Ansley

Partner, Bell Nunnally & Martin LLP
Dallas, TX

Alan M. Buie

Assistant U.S. Attorney, United States Attorney's Office, Western District of Texas, Austin Division
Austin, TX

John D. Cline

Law Office of John D. Cline
San Francisco, CA

Steven Cook

Lead Counsel Global HSE, LyondellBasell
Houston, TX

Patrick Craine

Deputy General Counsel, Chief Risk and Compliance Officer, Chesapeake Energy Corporation
Oklahoma City, OK

James J. Dragna

Partner, Morgan Lewis & Bockius LLP
Los Angeles, CA

Barbara Duganier

Corporate Director, Buckeye Partners, L.P. and MRC Global
Houston, TX

Charles E. Duross

Partner, Morrison & Foerster LLP
Washington, DC

Randall M. Ebner

Assistant General Counsel-Compliance and Corporate, Exxon Mobil Corporation
Irving, TX

Kevin Edmundson

Edmundson PLLC
Spicewood, TX

Jason S. Flemmons

Senior Managing Director, Ankura Consulting Group
Washington, DC

N. Scott Fletcher

Partner, Jones Day
Houston, TX

Scott W. Friestad

Associate Director, Division of Enforcement, U.S. Securities and Exchange Commission
Washington, DC

David Gerger

Partner, Quinn Emmanuel Urquhart & Sullivan LLP
Houston, TX

Rebecca A. Gregory

Adjunct Faculty, SMU Dedman School of Law
Dallas, TX

Ritu Gupta

Executive Director-Senior Legal Counsel Litigation, AT&T Services, Inc.
Bellaire, TX

Peter J. Henning

Professor of Law, Wayne State University Law School
Detroit, MI

Chip Jones

Shareholder, Littler Mendelson P.C.
Dallas, TX

Casey P. Kaplan

Assistant General Counsel - Litigation and Investigations, NIKE, Inc.
Portland, OR

Bruce P. Keller

Assistant U.S. Attorney, United States Attorney's Office, District of New Jersey
Newark, NJ

Mark L. Krotoski

Partner, Morgan, Lewis & Bockius LLP
Palo Alto, CA

Thomas J. Krysa

Shareholder, Brownstein Hyatt Farber Schreck, LLP
Denver, CO

Jim Letten

Senior Counsel, Butler Snow LLP
New Orleans, LA

Robert L. Levy

Counsel, Exxon Mobil Corporation
Houston, TX

Todd A. MacGregor

Lead, Threat Intelligence, Chevron Information Technology Corporation
Houston, TX

Allan Manuel

Deputy CIO for Enterprise Policy, Portfolio Management & Governance, U.S. Department of Energy
Washington, DC

Brandon N. McCarthy

Partner, K&L Gates LLP
Dallas, TX

Annessa McKenzie

Director, Enterprise Information Security and Cyber Risk, Calpine Corporation
Houston, TX

Bridget Moore

Partner, Baker Botts
Washington, DC

Suzanne Beaudette Murray

Partner, Haynes and Boone, LLP
Dallas, TX

James J. Neath

Associate General Counsel - Global Litigation & Environmental (Retired), BP
Houston, TX

Jane Norberg

Acting Chief, Office of the Whistleblower, U.S. Securities and Exchange Commission
Washington, DC

Quincy Ollison

Assistant U.S. Attorney, U.S. Attorney's Office, Southern District of Texas
Houston, TX

James O’ Rourke Payne Jr.

Regional Counsel, Environmental Protection Agency Region 6
Dallas, TX

David L. Peavler

Associate Regional Director, U.S. Securities and Exchange Commission
Fort Worth, TX

Paul E. Pelletier

Partner, Pepper Hamilton LLP
Washington, DC

Kent Hart Roberts

Attorney at Law
Dallas, TX

Shamoil T. Shipchandler

Regional Director, U.S. Securities and Exchange Commission
Fort Worth, TX

Jordan A. Thomas

Chair - Whistleblower Representation Practice, Labaton Sucharow LLP
New York, NY

John K. Villa

Partner, Williams & Connolly LLP
Washington, DC

Paul Yanowitch

Assistant U.S. Attorney, United States Attorney's Office, Northern District of Texas, Dallas Division
Dallas, 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

Kit Addleman

Partner, Haynes and Boone, LLP
Dallas, TX

Danny S. Ashby

Morgan, Lewis & Bockius LLP
Dallas, TX

Brad Bennett

FINRA
Rockville, MD

David Gerger

Partner, Quinn Emmanuel Urquhart & Sullivan LLP
Houston, TX

Joanna Jefferson

The University of Texas School of Law
Austin, TX

Josh Johnston

Deloitte Financial Advisory Services
Dallas, TX

Jim Letten

Senior Counsel, Butler Snow LLP
New Orleans, LA

David L. Peavler

Associate Regional Director, U.S. Securities and Exchange Commission
Fort Worth, TX

Paul E. Pelletier

Partner, Pepper Hamilton LLP
Washington, DC

David R. Woodcock

Partner, Jones Day
Dallas, TX

Credit Info

MCLE Credit
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.  
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.  
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 Louisiana Continuing Legal Education Committee within 30 days after the conference. You will receive a Certificate of Attendance at the conference to keep for your records.
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 in the Board of Continuing Legal Education Regulations.

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.
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.  
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.
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.
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
The University of Texas School of Law (Provider #250) live conferences are presumptively approved by The Texas State Board of Public Accountancy for Texas Accounting CPE credit based on a 50-minute credit hour. Approved for general CPE credit only.

At the conference, you will need to sign in on the Accounting CPE Record of Attendance form at the registration desk. You will receive a Texas Accounting Certificate of Completion at the conference for your records. Self-report your CPE credit directly to TSBPA. UT Law CLE will maintain Attendance Records for four years.  

Contact Laura Tolin, ltolin@law.utexas.edu, if you have additional questions.

Key Dates

Houston – Sep 29-30, 2016 – Hotel Derek
Conference Concluded
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Houston
Last day for Individual early registration: Sep 26, 2016

Add $50 for registrations received after this time

Last day for In-House Counsel early registration: Sep 26, 2016

Add $50 for registrations received after this time

Last day for Government Attorney early registration: Sep 26, 2016

Add $50 for registrations received after this time

Last day for Group (5 registrants minimum) early registration: Sep 26, 2016

Add $50 for registrations received after this time

Last day for Group (10 registrants minimum) early registration: Sep 26, 2016

Add $50 for registrations received after this time

Last day for cancellation (full refund): Sep 23, 2016

$50 processing fee applied after this date

Last day for cancellation: Sep 26, 2016

Venue

speaker

Hotel Derek

2525 West Loop South
Houston, TX 77027
713.961.3000
866.292.4100 (reservations)
Map

Accommodations

$179 room rate good through August 31, 2016 (subject to availability) 

Parking Information

Daily self-parking: $10
Overnight self-parking: $14

Our Sponsors

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