Horatio at Rome’s Bridge:
The Corporate Gatekeeper in Today’s Environment – Substantial Risk for Sure, and Opportunity?

09/27/2011 11:30 a.m. - 02:00 p.m.

Corporate, Corporate Governance, Securities Litigation, and Securities Enforcement

Crowne Plaza Cabana
4290 El Camino Real
Palo Alto, CA 94306


Palo Alto Events
(650) 813-5746

How has the definition of corporate gatekeeper, and its attendant obligations and responsibilities, evolved in recent years? Headlines and events in this Dodd-Frank world focus on risk of heightened expectations, whistleblowers, personal liability, and civil and criminal penalties, not to mention ethical dilemmas. What is the gatekeeper role of Corporate Counsel, Audit Committee Member, Ethics and Compliance Officers, Internal and External Auditors, C-Suite and others? We will discuss the impact of recent actions by the SEC and other regulatory bodies against gatekeepers. What are the responsibilities and opportunities of serving as a gatekeeper?

Hear from a panel with experience in the regulatory, legal, compliance, and ethical aspects of advising gatekeepers on the complex facets of risk scenarios, as well as the benefits and opportunities of the roles. Learn and share how gatekeepers of major corporations maximize the benefits while mitigating the risk. The discussion will include examples of where others went wrong, and what others are doing to proactively and successfully fulfill the role as gatekeeper with the companies for whom they put their credibility on the line.


  • William Salzmann
    Securities and Exchange Commission
  • Randy Fons
    Partner, Morrison & Foerster LLP; former Regional Director, Securities and Exchange Commission
  • Jonny Frank
    Partner, StoneTurn Group; retired Partner, PWC; former Assistant United States Attorney, Eastern District of New York
  • Kirk Hanson
    Executive Director, Markkula Center for Applied Ethics

  • Cathy Connolly
    Partner, StoneTurn Group

MCLE credit is pending.

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