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Corporate Monitors: Roles and Trends in the Enforcement and Compliance Landscape


Product Code - LGN109
Speaker(s): Jacob Frenkel, Shulman, Rogers, Gandal, Pordy & Ecker, P.A.; John Hanson, CPA, CFE, CCEP, Artifice Forensic Financial Services, LLC
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The use of corporate monitors by government agencies as a tool for verifying an organization’s compliance with the terms of a settlement agreement resolving corporate criminal or regulatory responsibility is a growing trend. The government is increasing its use of corporate monitors in contracting matters relating to suspension and debarment, not just to criminal cases where they have become prevalent.

Corporate monitors are responsible largely for assessing and reporting to the government on the effectiveness of the corporate compliance and ethics programs of organizations that have had significant legal or regulatory issues resolved by settlement with government agencies. Monitors not only must be experts in corporate compliance and ethics programs but also must have a keen understanding of government expectations about what constitutes an effective program and, in the case of government contractors, what constitutes “present responsibility” and a “responsible government contractor.”

The faculty for this program will explain the role of a corporate monitor along with the developing area of standards and ”best practices” that apply to monitors. Attendees will also learn about current trends among government agencies concerning when agencies may require a monitor, the selection process, scope, conflict resolution and reporting.

Educational Objectives:

• Understand the role and purpose of a corporate monitor.
• Learn the standards and “best practices” for corporate monitors.
• Find out about current trends in the use of corporate monitors among government agencies.
• Learn practical tips about the selection of and working with a corporate monitor.

Who would benefit from attending?

• In-house counsel.
• External counsel.
• Corporate compliance, risk and ethics officers.
• Members of corporate boards of directors, including audit, risk and governance committee members.
• Executives and directors of government contractors.

Program Level: Basic

Credit Available: CLE. For more information, please click on the “CLE Credit” tab.

Jacob Frenkel, Shulman, Rogers, Gandal, Pordy & Ecker, P.A.; John Hanson, CPA, CFE, CCEP, Artifice Forensic Financial Services, LLC

Jacob S. Frenkel, Shulman, Rogers, Gandal, Pordy & Ecker, P.A.
Jacob Frenkel brings his unique perspective as a former state and federal criminal prosecutor and former SEC enforcement lawyer to his leadership of Shulman Rogers’ Securities Enforcement, White-Collar Criminal, Corporate Investigations and Corporate Governance practices. He is an internationally recognized expert media commentator about high profile corporate fraud, securities and corporate governance matters for such major domestic and international television and radio networks, print wire services and international publications as CNBC, NBC, CBS, BBC, Bloomberg, Reuters, Associated Press, Agence France Presse, and the Wall Street Journal.

Mr. Frenkel practices from the firm’s Potomac, Maryland office. He emphasizes the representation of corporations and their officers, directors and other senior officials in federal and state securities investigations, proceedings before stock exchanges and capital markets self-regulatory organizations, and federal and state criminal investigations including financial crimes and public corruption, and investigations by committees of the United States Congress. He conducts internal investigations for public, non-public and nonprofit corporations and represents individuals in internal investigations. He also serves as an expert witness in cases involving corporate investigations, securities enforcement, securities fraud, stock manipulation and white collar criminal defense matters.

Mr. Frenkel earned a J.D. from Tulane University Law School and a B.A. in Public Policy from Tulane. He is licensed to practice in Maryland and Louisiana.

John Hanson, CPA, CFE, CCEP, Artifice Forensic Financial Services, LLC
John Hanson is the founder and Executive Director of Artifice Forensic. He has more than 20 years of fraud investigations, forensic accounting, corporate compliance and audit experience. His most recent focus has been in the area of independent corporate monitorships. In addition to serving in three current federal monitorships, he is a thought leader and passionate advocate on best practices for this developing and growing field of service.

Before forming Artifice, John spent more than five years as a leader in the fraud investigations and forensic accounting practice of a large publicly-traded international financial consulting firm, where he focused on helping companies and other entities prevent, detect, respond to and resolve issues associated with fraud or questions of corporate integrity. He was also a special agent with the FBI, where for nearly ten years he specialized in white collar crime and investigated a wide variety of complex fraud schemes and financial crimes. For his last two years in the FBI, Mr. Hanson served as a supervisory special agent and instructor at the FBI Academy, where he developed and implemented fraud and investigative training curriculum for new agent trainees and conducted advanced fraud related in-service training for experienced FBI agents. Prior to serving with the FBI, he spent five years as the Director of Internal Audit and Quality Control for a large privately held mortgage origination and servicing company.

This program is CLE-credit eligible.

If you have further questions regarding a specific state or how to file for CLE credit, please contact Bloomberg BNA customer service at 800-372-1033 and ask to speak to the Legal and Business CLE Accreditation Coordinator.

Hardship Policy
Bloomberg BNA offers a hardship policy for attorneys earning less than $50,000 per year. If an attorney wishes to take advantage of this option, he or she must contact Bloomberg BNA directly. For attorneys who are unemployed or earning less than $35,000 per year, a full discount off the price of the program will be awarded upon written proof of hardship. Attorneys earning between $35,000 and $50,000 per year will receive a 50% discount off the price of the program. Any attorney working in the public service sector also qualifies for a special price. If you have further questions regarding the hardship policy or seek additional information, please contact Bloomberg BNA customer service at 800-372-1033 and ask to speak to Lindsey Pace, CLE Accreditations Coordinator, or email us at accreditations@bna.com.

Questions
For more information about Mandatory or Minimum Continuing Legal Education (MCLE) requirements, visit the American Bar Association website at http://www.abanet.org/cle/mandatory.html.