GENERAL SESSIONS
Emerging matters of corporate governance
What keeps Boards up at night? A panel discussion on governance focuses and the impact on service excellence featuring non-executive directors.
Dannette Smith, Secretary to the Board of Directors, UnitedHealth Group
Panelists:
- Gale Chang, Associate General Counsel and Assistant Secretary, Bank of America
- Douglas K. Chia, President, Soundboard Governance LLC
- Peggy Foran, Chief Governance Officer, Vice President and Corporate Secretary, Prudential Financial
- Kate Kelly, Vice President, Associate General Counsel and Corporate Secretary, Bristol Myers Squibb
Stay off the data breach list: Prevention and solutions
Learnings from the publicly traded companies that have felt the lasting impacts of cyber fraud. Protect your brand from reputational risk and strengthen data security infrastructure.
- Miles Edmundson, Business Information Security Officer, EQ
- Simon Osamoh, Director of Compliance and Risk Management, EQ
BREAKOUT SESSIONS
10b5-1: A safe harbor for insiders to sell
CLE CREDIT ELIGIBLE*
How do your executives avoid issues when they sell shares? Our experts will lay out the path to compliance, using 10b5-1 to avoid violating insider trading rules. We’ll review how the SEC defines and views ‘insiders’ and what you need to do to stay compliant when selling shares. For legal, human resources and investor relations professionals.
- David Becker, General Counsel, Chief Risk & Compliance Officer, EQ
- Carol Sherman, Partner, Kelley Drye
- Merrill Stone, Partner, Kelley Drye
Getting restricted and control shares into circulation without getting into trouble
CLE CREDIT ELIGIBLE*
The SEC’s continued pressure to reduce fraud in unregistered issuances requires effort for issuers to get restricted shares right. Hear from expert legal counsel on what to look for, and avoid, when compensating your executives. For lawyers and Equity Compensation professionals.
- David Becker, General Counsel, Chief Risk & Compliance Officer, EQ
- Carol Sherman, Partner, Kelley Drye
- Merrill Stone, Partner, Kelley Drye
Escheatment audits: What you need to know
What's happening in unclaimed property audits? Hear case studies and real stories from recent audits.
- Will King, Senior Manager, State and Law Tax, KPMG
- Freda Pepper, Counsel, Reed Smith
Insights to global capital markets
Case studies, highlights and trends from the capital markets team in the U.S. and U.K. covering everything from spin-offs, rights issues and a deeper look into what you can do today to prepare for your next corporate action.
- Joe Conte, Head of Corporate Actions, EQ
- Paul Matthews, CEO, EQ Boardroom, Equiniti Group
- Becky Paulson, Vice President, Account Management, EQ
The wolf pack: How companies are defending against activism
How IR and Company Secretaries should be collaborating to prepare companies - large and small.
- Tom Kies, Executive Vice President, EQ Proxy Governance
Panelists:
- Keith Gottfried, Partner & Global Head of Shareholder Activism Defense; Morgan, Lewis & Bockius LLP
- Gary LaBranche, FASAE, CAE, President & CEO, National Investor Relations Institute
- Nick Lamplough, Partner, Joele Frank
How business intelligence is transforming equity compensation
Utilize your participant data to drive powerful insights at the executive level. Walking through specific case studies, this session will give you the leverage you need to influence company decisions.
- Jim Wulforst, Executive Vice President, Head of Equity Compensation, EQ
EQ+
What’s new at EQ: Equity Compensation, Proxy Solicitation, Virtual Annual Meetings and shareholder and issuer portals.
- Adam Burke, Executive Vice President, Relationship Management, EQ
- Bill Milbauer, Executive Vice President, National Sales Manager, EQ
*Kelley Drye is an accredited provider of CA, IL, TX and NY CLE. This continuing legal education program will offer California, Illinois and Texas credits and New York non-transitional credit. In accordance with the requirements of the New York State CLE Board, this non-transitional CLE program is not approved for newly-admitted attorneys within the first two years of admission to the Bar.
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