Illinois (IL) Corporate Compliance CLE Course Catalog

In this featured panel from the annual “Securities Enforcement Forum Central” event, SEC Regional Directors from five different offices stress the significance of cooperation, compliance, and enforcement actions to safeguard investors and tackle industry shortcomings. The Directors discuss their roles, discussing the importance of cooperation and recent SEC priorities.

It is critical for companies to handle internal investigations diligently, ensuring they're independent and cooperative. Expert panelists recommend communicating openly with the SEC and how to find the right balance when being transparent with findings.

The increasing demand for transparency, ethical practices, and sustainable operations poses unique challenges with regulatory compliance and environmental, social, and governance (ESG) requirements for businesses across various industries. This session will highlight how cutting-edge technology is pivotal in helping organizations tackle the multifaceted challenges of customs-related traceability issues, product import regulations, and compliance with the landmark Universal Labor and Fair Business Act.

As the digital landscape evolves, it is essential for organizations to stay ahead of the curve and effectively address cyber risks to protect sensitive information and maintain regulatory compliance. The SEC has taken a similar approach of trying to protect sensitive information with their broad suite of new cybersecurity rules, including policies and procedures to address cybersecurity risk, written incident response programs, and much more. Our panelists will share insights into the evolving expectations of the SEC, discuss compliance processes that should be implemented and identify best practices to improve incident response and reporting.