Pennsylvania (PA) Liability Risk Management CLE Course Catalog

When the world went on lockdown and many workers went remote, concerns over unchecked white collar crime by employees intensified. SEC and DOJ enforcement continued and will pick up speed as courts reopen and investigations involve more in-person interactions. Join our expert panelists as they discuss changes in investigations in the last year, updates on DOJ and SEC enforcement, and mitigation techniques to protect your business from employee fraud, insider trading, bribery and other misconduct.

Root cause analysis has been gaining traction as a more strategic way of conducting internal investigations and determining how to remediate issues. Too many times as compliance professionals we are caught in a cycle of treating the symptoms rather than the disease that infects your organization. This session will explore the benefits of leveraging your data to root out the cause of compliance issues, designing remedial measures to prevent misconduct, and carrying out remediation in a thoughtful and strategic way.

The SEC’s action of re-instituting the delegation of investigative enforcement authorities signals the potential for an uptick in both investigations and enforcement actions.

With companies’ obligations, risk - and value - defined by their agreements nowadays, contracts should be treated as their most vital business assets. That is why in-house legal departments need deeper insight into every agreement - to manage their risk profile and make better business decisions.

This panel will focus on different strategies sponsors are using to retain control (or at least put a stake through) the bankruptcy process. What are the risks to sponsors/litigation issues? The panelists will also discuss fiduciary duties, managing conflicts and retaining separate counsel, the interplay between corporate governance and aggressive sponsor action (e.g., selling or spinning/stripping-off assets), sponsor affiliates purchasing debt in the portfolio company’s capital structure, and 10b-5 compliance, as well as negotiating/litigating with a difficult board. This session also includes a discussion of issues that arise when dealing with a challenging board of directors, especially those where some or all directors have been appointed by a controlling shareholder.

This panel will discuss out-of-court loan-priming issues such as Serta and Transocean, among others.