Pennsylvania (PA) 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.

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.

When your organization goes through an internal investigation, this is the moment of truth for your legal and compliance program and where the work really happens. It is critical that, as soon as allegations come to light, the company decides decisions are made about whether to investigate, who should direct and conduct the investigation, the goals and scope of an investigation, and whether a report will be issued, and how to best prepare the company for a potential investigation by a government agency. This session will set forth a framework of best practices and key considerations for effective internal investigations, including the need for disclosure to and coordination with auditors, regulators, and others.

In an increasingly aggressive regulatory environment, making sure you are up to date on enforcement trends can be pivotal to minimizing regulatory risk. Join this session and hear from our speakers who will share key insights into enforcement trends across agencies, as well as concrete takeaways on how to build a solid foundation with regulators that will safeguard your organization against regulatory risk.

Just starting out on your risk management journey? This session is for you! Our expert speakers will take you through the fundamentals, starting with what sort of assessment you should be conducting within your organization to determine what your framework will look like. They will then tackle all the facets of building out a framework, from the Intersectionality between legal, compliance and audit: What should the relationship be? What protocols and procedures are in place? How do the groups interact to be safe and effective? Through implementation and organizational adoption.

Having an effective compliance program is not only a legal obligation for businesses, but it is also considered a corporate responsibility and it is absolutely essential for risk mitigation. Join this session as expert panelists discuss the importance of staff training when integrating compliance standards into company culture, as well as best practices and tools for navigating the shifting risks of business. This session will delve into building out a robust compliance program, from standards, policies and procedures, to investigations and remedial measures. Leave this session with an understanding of the tools you need to build an effective and efficient program.

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.