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Diversifying the American Board: Ethics and Compliance
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In this interactive session, we will discuss the current legal and regulatory environment facing U.S. companies and the important sources of board responsibilities.

2/3/2015
When: Tuesday, February 3rd
From 5:00 - 8:00 PM
Where: Deloitte & Touche
30 Rockefeller Plaza
New York, New York  10112
United States
Contact: 212-533-2141 x300


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Diversifying the American Board:  Ethics and Compliance

 

The oversight of ethics and compliance programs is a critical responsibility of the board of directors.  In addition to complying with requirements embedded in listing standards, securities regulations, and state corporate law, the Federal Sentencing Guidelines provide for a number of specific activities to be overseen – or in some cases, executed - by the board.  Boards also have an important role to play in setting the culture of the organization, starting with analyzing the character of the chief executive officer selected to lead the company.  Establishing an appropriate “tone at the top” is a lofty goal, one that remains elusive for many directors. 

 

In this interactive session, we will discuss the current:

- Legal and regulatory environment facing U.S. companies, and

- Important sources of board responsibilities.

 

Our distinguished panel will also explore the leading practices employed by effective boards in setting the tone at the top, and for the effective oversight of the ethics and compliance programs.  Benefits and potential pitfalls will be shared.

 

This panel is important for current and prospective Board members and governance professionals interested in keeping up with best practice ethics and effective corporate compliance.  Attendees will also have an opportunity to talk further with the speakers at the reception following the discussion.

 

Panelists

 

Cynthia KrusCynthia Krus, Partner, Sutherland; author, Handbook for Corporate Secretaries:  expert on state and federal law.  She is recognized as a leading adviser to business development companies (BDCs) and small business investment companies (SBICs). Cynthia has more than 20 years working in this specialized area, Cynthia brings deep, hands-on experience to the complex issues—both legal and strategic—faced by companies. She counsels public companies in a broad range of corporate and securities matters, such as corporate governance, crisis management, whistleblower response, disclosure, executive compensation and shareholder matters.

   

  

 

Irena Gecas-McCarthy Principal, Deloitte & Touche LLP’s Governance, Regulatory & Risk strategies practice. She advises both domestic and foreign financial institutions regarding a broad range of regulatory and compliance topics. Irena advises clients for pre-examination diagnostic, post-examination remediation, and supervisory action response purposes. She has also performed gap analyses and benchmarked firms against regulatory and industry practices and provided assistance on regulatory questions arising in due diligence and merger/acquisition activities. Irena has led some of the largest scale and long-term remediation projects in the areas of risk management, compliance, credit and bank operations. She has also worked  with a number of large financial services firms on regulatory reform, transition to Federal Reserve oversight as a new bank holding company, non-bank SIFI, or Savings and Loan Holding Company and Enhanced Prudential Standards.

 

Joanne Pace, is a global Fortune 100 senior financial services executive who held multiple financial and operating roles during her more than 30 year career.  Joanne served as Chief Operating Officer and Managing Director of Morgan Stanley Investment Management and is currently an active independent board director with public and private companies as well as an advisory board director in the financial and investment arena.  Joanne currently serves on the Board of the Oppenheimer Funds where she is Chair of the Audit Committee and is a member of the Regulatory and Oversight Committee; and serves on the Board of Horizon Blue Cross Blue Shield of New Jersey where she is a member of the Audit and Finance as well as the Personnel and Compensation Committees.

 

Keith T. Darcy (moderator).  is Senior Adviser to Deloitte & Touche LLP’s governance, regulatory and risk strategies’ (GR&RS) enterprise compliance practice. Deloitte’s GR&RS practice provides consultative services to assist organizations and their boards in developing sustainable governance, compliance and risk management programs by helping to identify, monitor, mitigate, and manage their enterprise risks.

 

  

 

   




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Event Schedule*

5:00 - 5:30 PM Registration

5:30 - 7:00 PM Panel Discussion

7:00 - 8:00 PM Networking Reception

Cost*:
$25 FWA Members,

$50 Non-Members

 

Directions: Subway - B/D/F/M 47th - 50th Streets, Rockefeller Center station; Q/N/R 49th Street Station.

(GE Bldg. between West 50th & West 51st Streets and 5th & 6th Avenues)
Empire Room on 40th floor (register in lobby)

Allow 15 minutes to clear security.

 


 



Special thanks to Deloitte & Touche LLP's partner Nicole Sandford for hosting this event. Deloitte is an FWA President's Circle member

 

This event is organized by the Directorships & Corporate Governance Committee of the FWA of New York, Inc., with special recognition to Nicole Standford Deloitte & Touche LLP Partner, Diana Merenda Client Lifecycle Exchange®, and Susan Becker Becker Consulting Services.


 

Reservations Required -- Bring Photo ID -- No Walk-Ins

 Reservations/Cancellations and payments are required by Friday, January 31, 2015.

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