Current enforcement and regulatory changes place companies and executives at significant increased risk. Enforcement officials are now aggressively pursuing actions, imposing huge demands on business organizations in terms of time and costs. Wiretaps and other investigative techniques previously limited to hard core criminal investigations are now authorized for use in regulatory and white collar investigations. Senior officers and compliance directors are now targeted personally by the authorities. All of this creates an aura of uncertainty increasing the difficulty of conducting a successful business.
Dorsey & Whitney has introduced a new approach, providing executives with a cost-effective privileged route to enable them to meet these latest trends. The service has been developed in consultation with a wide range of businesses. It ensures executives and business organizations are able to meet requirements of them and provides defensive verification in the event of future investigations. This innovative service is designed to give executive and compliance peace of mind, allowing executives to concentrate on their business demands.
The program introduces the new Dorsey approach, explaining the importance of current trends and translating them into practical guidance for executives, including:
- Practical ways to encourage whistle blowers to go to the company compliance officer and not aim for the rewards under the Dodd Frank Act
- The response to DoJ and SEC targeting of top executives and control persons
- Cost-effective responses to higher risk international environments
- Whether UK extra-territorial reach requires rethinking of FCPA compliance programs
Our panel of experts will examine the range of issues from financial regulation, executive compensation clawback claims, anti-corruption laws, insider trading, breach of confidence and data privacy through to fraud and how to set “Tone at the Top” of the organization.
Nick Burkill, Partner (London)
Tom Gorman, Partner (Washington, DC)
Roger Magnuson, Partner (Minneapolis)