UT Law Continuing Legal Education

7^th Annual

Government Enforcement Institute

The Premier In-House Counsel Forum for
Protecting Companies and Executives in Government Investigations

Dallas Sep 30 - Oct 1, 2021 Arts District Mansion (formerly Belo Mansion)
Conference Concluded

Live Webcast Sep 30 - Oct 1, 2021
Conference Concluded

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UNDERWRITER

EVENT SPONSORS
AlixPartners
FTI Consulting
Gray Reed
Haynes and Boone, LLP
Morgan, Lewis & Bockius, LLP
Norton Rose Fulbright
PwC

INSTITUTE SPONSORS
Ahuja & Clark, PLLC
Bracewell LLP
Forensic Risk Alliance
Holland & Knight LLP
Locke Lord LLP
Vinson & Elkins
Winstead PC

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Overview

We're back in Dallas this fall! Join us for The University of Texas School of Law’s 7th Annual Government Enforcement Institute (UTGEI)—one of the premier enforcement programs in the country, bringing together the top enforcement practitioners, in-house counsel, compliance professionals, and agency personnel. Hear from some of the nation’s most prominent authorities on key issues and strategies for protecting companies and executives in government investigations.

Event Schedule

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

Day 1 September 30, 2021
Day 2 October 1, 2021

Time

Credit

Subject

Speaker
Thursday Morning
Presiding Officer:
Steve Korotash, Morgan, Lewis & Bockius LLP - Dallas, TX
8:00 am
Dallas Only

Registration Opens

Includes continental breakfast

Thank You to Our Breakfast Sponsor
8:50 am

Welcoming Remarks
9:00 am

0.50 hr

Opening Keynote Presentation: Words Matter

Six months in, hear what the Gensler SEC has meant for public company and financial services firm disclosure obligations and how proposed rulemaking is likely to affect those obligations.

David Peavler, Regional Director, U.S. Securities and Exchange Commission, Fort Worth Regional Office, U.S. Securities and Exchange Commission - Fort Worth, TX
9:30 am

1.00 hr

The Proactive General Counsel

They don’t have a crystal ball to foretell future, but a proactive general counsel draws on skills and experience to identify and prevent risks before they occur, including the risk of regulatory and enforcement issues. This discussion highlights the strategies and efforts that CLOs and GCs use to, first, prevent problems that could give rise to enforcement inquiries and, second, how to proactively address them and evaluate scenarios to reduce the exposure and impact if a government inquiry should occur.

Moderator:
Kit Addleman, Partner, Haynes and Boone, LLP - Dallas, TX
Panelists:
Bruce Byrd, Executive VP/General Counsel, Palo Alto Networks - Santa Clara, CA
Patrick K. Craine, General Counsel and Corporate Secretary, Gulfport Energy Corporation - Oklahoma City, OK
10:30 am

15-Minute Break

Thank You to Our Thursday Coffee and Breaks Sponsor
10:45 am

1.00 hr
0.50 hr ethics

Staffing and Scoping Internal Investigations: Choosing Outside Counsel and Other Key Decisions at the Outset of an Internal Investigation

The foundation for any well-run internal investigation rests on several key decisions made at the outset. Once made, they can be difficult, if not impossible, to change. A shaky foundation can lead others to criticize the reasonableness of the investigation’s processes and results, which can lead to difficulties with outside auditors, regulators and other stakeholders. This session addresses many of those issues, and others, to ensure an investigation gets started on a solid footing.

Dianne Ralston, Chief Legal Officer, Schlumberger - Houston, TX
Michael W. Stockham, Partner, Holland & Knight LLP - Dallas, TX
John C. Wander, Partner, Vinson & Elkins LLP - Dallas, TX
11:45 am

1.00 hr

ESG and Enforcement

Examine the current status of ESG regulations and standards globally, including which of the U.S. regulatory agencies announced key focus and risk areas for ESG, and what may be coming. What can be learned from companies that have already experienced ESG pitfalls, including materiality considerations, disclosure issues, and “greenwashing”? And how can compliance and risk management programs be updated to mitigate ESG risks and leverage business opportunities?

Moderator:
Brooke Hopkins, Managing Director, AlixPartners - Dallas, TX
Panelists:
G. Jeffrey Boujoukos, Partner, Morgan, Lewis & Bockius LLP - Philadelphia, PA
Jonathan D. Brightbill, Partner, Winston & Strawn LLP - Washington, DC
John A. Poakeart, Senior Legal Director, PepsiCo, Inc. - Plano, TX
Thursday Afternoon
Presiding Officer:
Jason S. Flemmons, Senior Managing Director, Ankura Consulting Group - Washington, DC
12:45 pm
Dallas Only

Networking Luncheon (45 minutes)

Thank You to Our Luncheon Sponsor
1:30 pm

1.00 hr

Financial Fraud Enforcement

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

Moderator:
Jason S. Flemmons, Senior Managing Director, Ankura Consulting Group - Washington, DC
Panelists:
David Peavler, Regional Director, U.S. Securities and Exchange Commission, Fort Worth Regional Office, U.S. Securities and Exchange Commission - Fort Worth, TX
Avi Perry, Acting Chief, Fraud Section, Criminal Division, U.S. Department of Justice - Washington, DC
Benjamin D. Singer, Partner, O'Melveny & Myers LLP - Washington, DC
2:30 pm

1.00 hr
0.50 hr ethics

FCPA and Anti-Corruption

The latest in FCPA enforcement and anti-corruption trends and policy developments, compliance best practices, and international updates.

Moderator:
Charles E. Duross, Partner, Morrison & Foerster LLP - Washington, DC
Panelists:
Jim Letten, Partner, Butler Snow LLP - New Orleans, LA
Jason Rose, Senior Counsel, U.S. Securities and Exchange Commission - Fort Worth, TX
Bernard Woolfley, Senior Managing Director, Ankura Consulting Group - Washington, DC
3:30 pm

15-Minute Break
3:45 pm

1.00 hr

D&O Insurance and Government Enforcement Actions: Perspectives and Tips from the Insured, the Insurer, and the Defense Bar

A D&O policy can be a critical asset during a government enforcement event. Hear perspectives and tips from in-house counsel, outside counsel, and an insurance broker about what types of D&O policies are available, the key features of these policies, what types of enforcement events do/don’t trigger a policy, and tips about how to foster a cohesive and strategic working relationship between company, counsel, and the insurer during an enforcement event.

Moderator:
Kip Mendrygal, Partner, Locke Lord LLP - Dallas, TX
Panelists:
Jennifer Judge, Senior Vice President, Deputy General Counsel, Caliber Home Loans, Inc. - Coppell, TX
Michael R. Smith, VP, Client Advisor, Lockton Companies - Dallas, TX
Scott C. Thomas, Partner, Winston & Strawn LLP - Dallas, TX
4:45 pm

1.00 hr

Cooperation Credit: Illusion vs. Reality

What do companies and individuals under government investigation need to know about the pros and cons of cooperating, and what does “cooperation credit” really mean, anyway? This panel explores whether cooperation can be a reliable strategy when dealing with the DOJ or SEC, insights on how to approach and advocate for cooperation credit, and what type of cooperation has (or has not) been credited in some recent government actions.

Moderator:
Jessica B. Magee, Partner, Holland & Knight - Dallas, TX
Panelists:
Toby M. Galloway, Partner, Winstead PC - Fort Worth, TX
Brian K. Kidd, Partner, Morrison & Foerster LLP - Washington, DC
Eric R. Werner, Associate Regional Director, U.S. Securities and Exchange Commission - Fort Worth, TX
5:45 pm

Adjourn to Networking Reception

Join us for drinks and hors d'oeuvres with program faculty and attendees.

Thank You to Our Reception Sponsor

Time

Credit

Subject

Speaker
Friday Morning
Presiding Officer:
Kit Addleman, Partner, Haynes and Boone, LLP - Dallas, TX
8:30 am
Dallas Only

Conference Room Opens

Includes continental breakfast.

Thank You to Our Breakfast Sponsor
9:00 am

1.00 hr ethics

Ethical Issues Facing In-House Counsel

In-house attorneys are on the front-lines of potentially complex ethics issues arising from employee misconduct, executive decision-making, and corporate compliance. Explore some of the gray areas and difficult situations in-house attorneys may confront.

Moderator:
Jay Dewald, Partner, Norton Rose Fulbright - Dallas, TX
Panelists:
Paul E. Coggins, Partner, Locke Lord LLP - Dallas, TX
Matthew G. Nielsen, Partner, Bracewell LLP - Dallas, TX
Kelly Vickers, Associate General Counsel--International and Regulatory, Kimberly Clark Corp. - Dallas, TX
10:00 am

1.00 hr

The General Counsel and the Independent Auditor

Hear tips for legal departments in interacting with independent auditors during an investigation—when do you disclose information, how do you speak with "one voice" with an auditor, and more.

Moderator:
Danny S. Ashby, Partner, Morgan, Lewis & Bockius LLP - Dallas, TX
Panelists:
Chris Davis, Partner, Gray Reed - Dallas, TX
Umair Nadeem, Director, Forensic Risk Alliance - Dallas, TX
Ira H. Raphaelson, Senior Counsel, White & Case LLP - Washington, DC
11:00 am

15-Minute Break

Thank You to Our Friday Coffee and Breaks Sponsor
11:15 am

1.00 hr
0.50 hr ethics

Emerging Issues in Data Privacy and Protection

Significant shifts in regulation, technology, and consumer expectations are triggering transformative changes to how organizations manage their privacy and data governance programs. In this session, our panelists will discuss new and emerging privacy issues and challenges and share insights on how they are navigating this complex environment.

Allan M. Johnson, AVP—Senior Legal Counsel, AT&T - Dallas, TX
Jake Meek, Director of Information Governance & Privacy, PwC - Atlanta, GA
Tim Newman, Partner, Haynes and Boone, LLP - Dallas, TX
12:15 pm

0.75 hr

Recent Decisions "Wrap-Up": Updates and Practical Impacts from the Supreme Court and Circuit Courts

Panelists discuss the most significant enforcement-related decisions from the past two years.

Moderator:
Alan M. Buie, Assistant United States Attorney, United States Attorney's Office, Western District of Texas - Austin, TX
Panelists:
Douglas A. Allen, Assistant United States Attorney, United States Attorney's Office - Fort Worth, TX
Jeffrey J. Ansley, Partner, Bell Nunnally & Martin LLP - Dallas, TX
Jennifer S. Freel, Counsel, Vinson & Elkins LLP - Austin, TX
1:00 pm

Adjourn

Day 1 September 30, 2021
Day 2 October 1, 2021

Download Schedule

Conference Faculty

Kit Addleman

Partner, Haynes and Boone, LLP
Dallas, TX

Douglas A. Allen

Assistant United States Attorney, United States Attorney's Office
Fort Worth, TX

Jeffrey J. Ansley

Partner, Bell Nunnally & Martin LLP
Dallas, TX

Danny S. Ashby

Partner, Morgan, Lewis & Bockius LLP
Dallas, TX

G. Jeffrey Boujoukos

Partner, Morgan, Lewis & Bockius LLP
Philadelphia, PA

Jonathan D. Brightbill

Partner, Winston & Strawn LLP
Washington, DC

Alan M. Buie

Assistant United States Attorney, United States Attorney's Office, Western District of Texas
Austin, TX

Bruce Byrd

Executive VP/General Counsel, Palo Alto Networks
Santa Clara, CA

Paul E. Coggins

Partner, Locke Lord LLP
Dallas, TX

Patrick K. Craine

General Counsel and Corporate Secretary, Gulfport Energy Corporation
Oklahoma City, OK

Chris Davis

Partner, Gray Reed
Dallas, TX

Jay Dewald

Partner, Norton Rose Fulbright
Dallas, TX

Charles E. Duross

Partner, Morrison & Foerster LLP
Washington, DC

Jason S. Flemmons

Senior Managing Director, Ankura Consulting Group
Washington, DC

Jennifer S. Freel

Counsel, Vinson & Elkins LLP
Austin, TX

Toby M. Galloway

Partner, Winstead PC
Fort Worth, TX

Brooke Hopkins

Managing Director, AlixPartners
Dallas, TX

Allan M. Johnson

AVP—Senior Legal Counsel, AT&T
Dallas, TX

Jennifer Judge

Senior Vice President, Deputy General Counsel, Caliber Home Loans, Inc.
Coppell, TX

Brian K. Kidd

Partner, Morrison & Foerster LLP
Washington, DC

Jim Letten

Partner, Butler Snow LLP
New Orleans, LA

Jessica B. Magee

Partner, Holland & Knight
Dallas, TX

Jake Meek

Director of Information Governance & Privacy, PwC
Atlanta, GA

Kip Mendrygal

Partner, Locke Lord LLP
Dallas, TX

Umair Nadeem

Director, Forensic Risk Alliance
Dallas, TX

Tim Newman

Partner, Haynes and Boone, LLP
Dallas, TX

Matthew G. Nielsen

Partner, Bracewell LLP
Dallas, TX

David Peavler

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

Avi Perry

Acting Chief, Fraud Section, Criminal Division, U.S. Department of Justice
Washington, DC

John A. Poakeart

Senior Legal Director, PepsiCo, Inc.
Plano, TX

Dianne Ralston

Chief Legal Officer, Schlumberger
Houston, TX

Ira H. Raphaelson

Senior Counsel, White & Case LLP
Washington, DC

Jason Rose

Senior Counsel, U.S. Securities and Exchange Commission
Fort Worth, TX

Benjamin D. Singer

Partner, O'Melveny & Myers LLP
Washington, DC

Michael R. Smith

VP, Client Advisor, Lockton Companies
Dallas, TX

Michael W. Stockham

Partner, Holland & Knight LLP
Dallas, TX

Scott C. Thomas

Partner, Winston & Strawn LLP
Dallas, TX

Kelly Vickers

Associate General Counsel--International and Regulatory, Kimberly Clark Corp.
Dallas, TX

John C. Wander

Partner, Vinson & Elkins LLP
Dallas, TX

Eric R. Werner

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

Bernard Woolfley

Senior Managing Director, Ankura Consulting Group
Washington, DC

Planning Committee

Steve Korotash—Chair

Morgan, Lewis & Bockius LLP
Dallas, TX

Kit Addleman

Partner, Haynes and Boone, LLP
Dallas, TX

Danny S. Ashby

Partner, Morgan, Lewis & Bockius LLP
Dallas, TX

Patrick K. Craine

General Counsel and Corporate Secretary, Gulfport Energy Corporation
Oklahoma City, OK

Jason S. Flemmons

Senior Managing Director, Ankura Consulting Group
Washington, DC

Joanna Jefferson

The University of Texas School of Law
Austin, TX

Jim Letten

Partner, Butler Snow LLP
New Orleans, LA

Todd C. Ranta

PwC
Dallas, TX

Benjamin D. Singer

Partner, O'Melveny & Myers LLP
Washington, DC

MCLE Credit

Texas – 11.25 hrs | 2.50 hrs Ethics
Legal Specialization(s): Administrative Law, Civil Appellate Law, Criminal Law, Criminal Appellate Law, Civil Trial Law

You may claim your credit online in Your Briefcase, and UT Law CLE will report credit on your behalf to the State Bar of Texas. A Certificate of Attendance will be provided in Your Briefcase for your records. The system reports Texas CLE credit every Monday. If you are claiming credit in the last week of your birth month, self-report your CLE credit directly to the State Bar of Texas at texasbar.com

California – 11.25 hrs | 2.50 hrs Ethics

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 must claim your credit online in Your Briefcase, and will then be provided a Certificate of Attendance for your records. UT Law CLE will maintain Attendance Records for four years.

Kansas – 13.50 hrs | 1.00 hrs Ethics

You must claim your credit online in Your Briefcase, and will then be provided a Certificate of Attendance for your records. UT Law CLE will report credit on your behalf to the Kansas Continuing Legal Education Commission (KSCLE) within 30 days after the conference. UT Law CLE will maintain Attendance Records for four years.

Oklahoma – 13.50 hrs | 3.00 hrs Ethics

At the conference, you will need to sign in on the Record of Attendance form at the registration desk. You must claim your credit online in Your Briefcase, and will then be provided a Certificate of Attendance for your records. UT Law CLE will report credit on your behalf to the Oklahoma Bar Association within 30 days after the conference.

Pennsylvania – 11.00 hrs | 2.50 hrs Ethics

UT Law CLE is an approved provider of Pennsylvania credit, sponsor #236. You must claim your credit online in Your Briefcase, and will then be provided a Certificate of Attendance for your records. You may also be required to sign-in at the registration desk if you are attending in-person - please see staff onsite for more details. Attorney attendance will be reported to Pennsylvania within 2 weeks of the webcast conclusion. Attorneys are not able to report this credit on their own, and UT Law CLE pays all associated fees for the credit hours. Contact Laura Tolin, ltolin@law.utexas.edu, if you have additional questions.

Other States – 11.25 hrs | 2.50 hrs Ethics

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 to ensure it will qualify for self-reporting your credits.

At the conference, you will need to sign in on the Record of Attendance form at the registration desk. You must claim your credit online in Your Briefcase, and will then be provided a Certificate of Attendance for your records.

MCLE credit is presented based on a 60-minute credit hour.

Other Credit

TX Accounting CPE – 13.50 hrs

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.

MCLE Credit

Texas – 11.25 hrs | 2.50 hrs Ethics
Legal Specialization(s): Administrative Law, Civil Appellate Law, Criminal Law, Criminal Appellate Law, Civil Trial Law

UT Law CLE will report credit to the State Bar of Texas on your behalf. If you are claiming credit in the last week of your birth month, self-report your credit directly to the State Bar of Texas at texasbar.com. A Certificate of Completion will be emailed to you upon claiming credit.

California – 11.25 hrs | 2.50 hrs Ethics

Self-report your CLE credit directly to the State Bar of California at calbar.ca.gov. Print and keep the Certificate of Completion for your records. A Certificate of Completion will be emailed to you upon claiming credit.

Kansas – 13.50 hrs | 1.00 hrs Ethics

UT Law CLE will report credit on your behalf to the Kansas Continuing Legal Education Commission (KSCLE) within 30 days after the conference. UT Law CLE will maintain Attendance Records for four years.

Oklahoma – 13.50 hrs | 3.00 hrs Ethics

The University of Texas School of Law (Provider #169) live webcast presentations meet the requirements and are presumptively approved by the Oklahoma Bar Association for MCLE credit based on a 50-minute credit hour. This accreditation requires attendance verification. In compliance with the rules, UT Law CLE monitors and records attendee responses to questions that randomly appear during the live webcast presentation. The response record is detailed on the Certificate of Completion.

To claim Oklahoma MCLE credit, Oklahoma credit option must be selected PRIOR to viewing the live webcast. Upon claiming credit, a Certificate of Completion will be emailed to you. UT Law CLE will report credit on your behalf to the Oklahoma Bar Association within 30 days after the webcast.

Pennsylvania – 11.00 hrs | 2.50 hrs Ethics

UT Law CLE is an approved provider of Pennsylvania credit, sponsor #236. Attorney attendance will be reported to Pennsylvania within 2 weeks of the webcast conclusion. Attorneys are not able to report this credit on their own, and UT Law CLE pays all associated fees for the credit hours. Contact Laura Tolin, ltolin@law.utexas.edu, if you have additional questions.

Other States – 11.25 hrs | 2.50 hrs Ethics

Note on Self-Reporting Your Credits in Another State

To claim Other States MCLE credit, Other States credit option must be selected PRIOR to viewing the live webcast. You must claim your credit online in Your Briefcase, and will then be provided a Certificate of Attendance for your records.

This accreditation requires attendance verification. UT Law CLE monitors and records attendee responses to questions that randomly appear during the live webcast presentation. The response record is detailed on the Certificate of Completion.

MCLE credit is presented based on a 60-minute credit hour.

Other Credit

TX Accounting CPE – 13.50 hrs

The University of Texas School of Law (Provider #250) live webcast presentations meet the requirements and 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.

This accreditation requires attendance verification. In compliance with the rules, UT Law CLE monitors and records attendee responses to questions that randomly appear during the live webcast presentation. The response record is detailed on the Certificate of Completion.

To claim Texas Accounting CPE credit, the Texas Accounting CPE credit option must be selected PRIOR to viewing the live webcast. Upon claiming credit, a Certificate of Completion will be emailed to you. Self-report your CPE credit directly to the Texas State Board of Public Accountancy.

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

Key Dates

Dallas – Sep 30 - Oct 1, 2021 – Arts District Mansion (formerly Belo Mansion)

Conference Concluded

Live Webcast – Sep 30 - Oct 1, 2021

Conference Concluded

Buy