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 Content preview:  The Directors Roundtable Institute Invites You to Attend a
    Program For Boards of Directors, their Advisors & other Business Leaders
   KEY ISSUES FACING BOARDS OF DIRECTORS OF FINANCIAL INSTITUTIONS AND CORPORATIONS:
    HEIGHTENED EXPECTATIONS & RISK AROUND COMPLIANCE PROGRAMS [...] 
 
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The Directors Roundtable Institute Invites You to Attend a Program
For Boards of Directors, their Advisors & other Business Leaders

KEY ISSUES FACING BOARDS OF DIRECTORS=20
OF FINANCIAL INSTITUTIONS AND CORPORATIONS:
HEIGHTENED EXPECTATIONS & RISK AROUND COMPLIANCE PROGRAMS

[1]FREE REGISTRATION

Thursday, April 12, 2018,
8:30 - 10:30 A.M. (8:00 A.M. Registration)
The Harvard Club, 35 W. 44th Street, New York

There is no fee to attend and continental breakfast will be served.
Two hours of New York CLE is pending.

Directors, C-Suites, and General Counsel are increasingly focusing on
compliance - a critical aspect to every business operation. Mistakes can
seriously heighten corporate and personal liability. Not only do the DOJ
and SEC have an impact on compliance, but state and local regulators -
particularly in New York - are also intensely overseeing compliance
initiatives and ethics of financial services institutions and other
industries.

Our Distinguished Panel will provide an overview of key DOJ, SEC, and state
regulatory issues in financial services and other industry compliance, as
well as how corporate leaders can ensure practical actions are taken on
issues such as:
* Prosecutors' heightened expectations of internal investigations
* Assessing pre-incident compliance programs
* Elements of effective remediation
* Increasing expectations around "big data" and transaction
monitoring
* Avoiding, selecting, and interfacing with government-imposed monitors
* Trends and patterns in securities litigations and government
enforcement actions

DISTINGUISHED
SPEAKERS
Alexander Vasilescu
Head of Litigation (New York)
U.S. Securities and Exchange Commission

Yan Cao
Principal, Cornerstone Research

Richard Strassberg
Partner, Goodwin Procter LLP

The Directors Roundtable Institute is a 501(c)(3) not-for-profit which
organizes worldwide programming for Directors and their advisors. Join us
on social media for the latest news for Directors on corporate governance
and other important VIP issues.
[2]image [3]image [4]image

REGISTRATION:You can also register by using this link
http://www.directorsroundtable.com/id=3D1413. To contact us, call Karen
Todd at (727) 493-2067 or e-mail to Jack Friedman, Chairman of the
Directors Roundtable, at karen.f.todd@gmail.com.

References
1. http://www.directorsroundtable.com/id=3D1413
2. https://www.facebook.com/Directors-Roundtable-595279027290710/
3. https://twitter.com/KarenDirectors
4. https://www.linkedin.com/company/6220289/ =0AThis message was sent to br=
uce@transocean.com from karen@directorsroundtable.com
Karen Todd | 1222 S. Genesee Ave. | Los Angeles, CA 90019=0AManage Your Sub=
scription:=0Ahttp://app.icontact.com/icp/mmail-mprofile.pl?r=3D21882054&l=
=3D477&s=3DCF48&m=3D279406&c=3D175357=0A

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 Advisors &amp; other Business Leaders</td>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09</tr>
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=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09Head of Litigation (New York)<=
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=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09U.S. Securities and Exchange C=
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=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09Principal, Cornerstone Researc=
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Strassberg</strong><br />
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09Partner,<br />
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09Goodwin Procter LLP</td>
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px; width: 100%; font-size: 16px; line-height: 20px; font-family: Arial, sa=
ns-serif; color: #000000; text-align:left;" valign=3D"top">The Directors Ro=
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programming for Directors and their advisors. Join us on social media for t=
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P issues.</td>
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=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<td style=3D"padding: 15px 0 5=
px; width: 100%; font-size: 16px; line-height: 20px; font-family: Arial, sa=
ns-serif; color: #000000; text-align:left;" valign=3D"top"><strong><u>REGIS=
TRATION:</u></strong>You can also register by using this link <a href=3D"ht=
tp://click.icptrack.com/icp/relay.php?r=3D21882054&msgid=3D279406&act=3DCF4=
8&c=3D175357&destination=3Dhttp%3A%2F%2Fwww.directorsroundtable.com%2Fid%3D=
1413">http://www.directorsroundtable.com/id=3D1413</a>. To contact us, call=
 Karen Todd at (727) 493-2067 or e-mail to Jack Friedman, Chairman of the D=
irectors Roundtable, at <a href=3D"mailto:karen.f.todd@gmail.com">karen.f.t=
odd@gmail.com</a>.</td>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09</tr>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09<!-- TEXT END --><!-- TEXT END --=
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c7149266/image/gif" style=3D"display: block;" width=3D"1" /></td>
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=09=09=09=09=09=09=09=09=09=09=09=09=09=09<tr>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<td style=3D"padding: 0; width=
: 100%;" valign=3D"top">
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<table border=3D"0" cellpaddin=
g=3D"0" cellspacing=3D"0" style=3D"width: 100%;">
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<tbody>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<tr>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<td style=3D"padding:=
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y: Arial,sans-serif; color: rgb(0, 0, 0); font-weight: bold; text-align: ce=
nter;" valign=3D"top">
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<p>KEY ISSUES FACING =
BOARDS OF DIRECTORS OF FINANCIAL INSTITUTIONS AND CORPORATIONS:<br />
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<br />
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09HEIGHTENED EXPECTATIO=
NS &amp; RISK AROUND COMPLIANCE PROGRAMS</p>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09</td>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09</tr>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09</tbody>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09</table>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09</td>
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nt-family: Arial, sans-serif;" valign=3D"top"><a class=3D"btn-lnk-color" hr=
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%2Fid%3D1413" style=3D"color: #ffffff; text-decoration: none;">FREE REGISTR=
ATION</a></td>
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=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09</td>
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=09=09=09=09=09=09=09=09=09=09=09=09=09=09<tr>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<td style=3D"padding: 0; width=
: 100%;" valign=3D"top">
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<table border=3D"0" cellpaddin=
g=3D"0" cellspacing=3D"0" style=3D"width: 100%;">
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<tbody>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<tr>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<td style=3D"padding:=
 0px 10px 10px; width: 100%; font-size: 16px; line-height: 20px; font-famil=
y: Arial,sans-serif; color: rgb(0, 0, 0); font-weight: bold; text-align: ce=
nter;" valign=3D"top">Thursday, April 12, 2018,<br />
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=098:30 =E2=80=93 10:30 =
A.M.<br />
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09(8:00 A.M. Registrati=
on)<br />
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<br />
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09The Harvard Club,<br =
/>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=0935 W. 44th Street, Ne=
w York<br />
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<br />
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09There is <u>no fee</u=
> to attend and continental breakfast<br />
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09will be served.<br />
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09Two hours of New York=
 CLE<br />
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09is pending.</td>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09</tr>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09</tbody>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09</table>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09</td>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09</tr>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09<tr>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<td style=3D"padding: 0; width=
: 100%;" valign=3D"top">
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<table border=3D"0" cellpaddin=
g=3D"0" cellspacing=3D"0" style=3D"width: 100%;">
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<tbody>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<tr>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<td style=3D"padding:=
 0 0 10px; width: 100%; font-size: 16px; line-height: 20px; font-family: Ar=
ial, sans-serif; color: #000000; text-align:left;" valign=3D"top">
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<p>Directors, C-Suite=
s, and General Counsel are increasingly focusing on compliance =E2=80=93 a =
critical aspect to every business operation. Mistakes can seriously heighte=
n corporate and personal liability. Not only do the DOJ and SEC have an imp=
act on compliance, but state and local regulators =E2=80=93 particularly in=
 New York =E2=80=93 are also intensely overseeing compliance initiatives an=
d ethics of financial services institutions and other industries.</p>

=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<p>Our Distinguished =
Panel will provide an overview of key DOJ, SEC, and state regulatory issues=
 in financial services and other industry compliance, as well as how corpor=
ate leaders can ensure practical actions are taken on issues such as:</p>

=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<ul>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<li>Prosecutors=E2=
=80=99 heightened expectations of internal investigations</li>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<li>Assessing pre-=
incident compliance programs</li>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<li>Elements of ef=
fective remediation</li>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<li>Increasing exp=
ectations around =E2=80=9Cbig data=E2=80=9D and transaction monitoring</li>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<li>Avoiding, sele=
cting, and interfacing with government-imposed monitors</li>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09<li>Trends and pat=
terns in securities litigations and government enforcement actions</li>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09</ul>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09</td>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09</tr>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09</tbody>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09</table>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09=09</td>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09</tr>
=09=09=09=09=09=09=09=09=09=09=09=09=09=09<!-- TEXT END -->
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=09=09=09=09=09=09=09=09=09=09=09=09</table>
=09=09=09=09=09=09=09=09=09=09=09=09</td>
=09=09=09=09=09=09=09=09=09=09=09</tr>
=09=09=09=09=09=09=09=09=09=09=09<!-- TEXT END --><!-- TEXT START -->
=09=09=09=09=09=09=09=09=09=09</tbody>
=09=09=09=09=09=09=09=09=09</table>
=09=09=09=09=09=09=09=09=09</td>
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=09=09=09=09=09=09=09=09</tr>
=09=09=09=09=09=09=09</tbody>
=09=09=09=09=09=09</table>
=09=09=09=09=09=09</td>
=09=09=09=09=09</tr>
=09=09=09=09</tbody>
=09=09=09</table>
=09=09=09<!-- END TWO COLUMN SECTION --></td>
=09=09</tr>
=09</tbody>
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=09=09This message was sent to <strong>bruce@transocean.com</strong> from <=
strong>karen@directorsroundtable.com</strong><br />
=09=09<br />
        Karen Todd<br />
=09=091222 S. Genesee Ave.<br />
=09=09Los Angeles, CA 90019<br />
=09=09<br />
        <a href=3D"http://www.directorsroundtable.com/" target=3D"_blank"><=
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