eConference
2021 Government Enforcement eConference
Contains material from Nov 2021
2021 Government Enforcement eConference
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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.
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1.
Opening Keynote Presentation: Words Matter (Nov 2021)
David Peavler
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Session 1
—29 mins
Opening Keynote Presentation: Words Matter (Nov 2021)
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.
Originally presented: Sep 2021 Government Enforcement Institute
David Peavler,
Regional Director, U.S. Securities and Exchange Commission, Fort Worth Regional Office, U.S. Securities and Exchange Commission - Fort Worth, TX
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2.
The Proactive General Counsel (Nov 2021)
Kit Addleman, Bruce Byrd, Patrick K. Craine
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Session 2
—62 mins
The Proactive General Counsel (Nov 2021)
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.
Originally presented: Sep 2021 Government Enforcement Institute
Kit Addleman,
Partner, Haynes and Boone, LLP - Dallas, TX
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
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3.
Staffing and Scoping Internal Investigations: Choosing Outside Counsel and Other Key Decisions at the Outset of an Internal Investigation (Nov 2021)
Dianne Ralston, Michael W. Stockham, John C. Wander
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Session 3
—60 mins
Staffing and Scoping Internal Investigations: Choosing Outside Counsel and Other Key Decisions at the Outset of an Internal Investigation (Nov 2021)
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.
Originally presented: Sep 2021 Government Enforcement Institute
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
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4.
ESG and Enforcement (Nov 2021)
Brooke Hopkins, G. Jeffrey Boujoukos, Jonathan D. Brightbill, John A. Poakeart
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Session 4
—60 mins
ESG and Enforcement (Nov 2021)
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?
Originally presented: Sep 2021 Government Enforcement Institute
Brooke Hopkins,
Managing Director, AlixPartners - Dallas, TX
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
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5.
FCPA and Anti-Corruption (Nov 2021)
Charles E. Duross, Jim Letten, Jason Rose, Bernard Woolfley
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Session 5
—62 mins
FCPA and Anti-Corruption (Nov 2021)
The latest in FCPA enforcement and anti-corruption trends and policy developments, compliance best practices, and international updates.
Originally presented: Sep 2021 Government Enforcement Institute
Charles E. Duross,
Partner, Morrison & Foerster LLP - Washington, DC
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
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6.
D&O Insurance and Government Enforcement Actions: Perspectives and Tips from the Insured, the Insurer, and the Defense Bar (Nov 2021)
Kip Mendrygal, Jennifer Judge, Michael R. Smith, Scott C. Thomas
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Session 6
—59 mins
D&O Insurance and Government Enforcement Actions: Perspectives and Tips from the Insured, the Insurer, and the Defense Bar (Nov 2021)
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.
Originally presented: Sep 2021 Government Enforcement Institute
Kip Mendrygal,
Partner, Locke Lord LLP - Dallas, TX
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
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7.
Cooperation Credit: Illusion vs. Reality (Nov 2021)
Jessica B. Magee, Toby M. Galloway, Brian K. Kidd, Eric R. Werner
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Session 7
—61 mins
Cooperation Credit: Illusion vs. Reality (Nov 2021)
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.
Originally presented: Sep 2021 Government Enforcement Institute
Jessica B. Magee,
Partner, Holland & Knight - Dallas, TX
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
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8.
Ethical Issues Facing In-House Counsel (Nov 2021)
Jay Dewald, Paul E. Coggins, Matthew G. Nielsen, Kelly Vickers
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Session 8
—58 mins
Ethical Issues Facing In-House Counsel (Nov 2021)
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.
Originally presented: Sep 2021 Government Enforcement Institute
Jay Dewald,
Partner, Norton Rose Fulbright - Dallas, TX
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
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9.
The General Counsel and the Independent Auditor (Nov 2021)
Danny S. Ashby, Chris Davis, Umair Nadeem, Ira H. Raphaelson
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Session 9
—62 mins
The General Counsel and the Independent Auditor (Nov 2021)
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.
Originally presented: Sep 2021 Government Enforcement Institute
Danny S. Ashby,
Partner, Morgan, Lewis & Bockius LLP - Dallas, TX
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
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10.
Emerging Issues in Data Privacy and Protection (Nov 2021)
Allan M. Johnson, Jake Meek, Tim Newman
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Session 10
—59 mins
Emerging Issues in Data Privacy and Protection (Nov 2021)
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.
Originally presented: Sep 2021 Government Enforcement Institute
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
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11.
Recent Decisions "Wrap-Up": Updates and Practical Impacts from the Supreme Court and Circuit Courts (Nov 2021)
Alan M. Buie, Douglas A. Allen, Jeffrey J. Ansley, Jennifer S. Freel
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Session 11
—46 mins
Recent Decisions "Wrap-Up": Updates and Practical Impacts from the Supreme Court and Circuit Courts (Nov 2021)
Panelists discuss the most significant enforcement-related decisions from the past two years.
Originally presented: Sep 2021 Government Enforcement Institute
Alan M. Buie,
Assistant United States Attorney, United States Attorney's Office, Western District of Texas - Austin, 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
Jennifer S. Freel,
Counsel, Vinson & Elkins LLP - Austin, TX