Annual Disclosure Documents 2021 Current Developments and Best Practices

PLI’s Annual Disclosure Documents program returns with its shorter format and narrow focus. This program will highlight the important changes and updates over the past year in disclosure requirements. Expert panelists will analyze recent regulatory developments and discuss practical and useful best practices for attorneys working with disclosure documents.

The afternoon panel, Ethics and Whistleblower Developments: Challenges Related to Preparing and Reviewing Disclosure Documents, to address to following:

• Review of legal ethics issues that may arise when preparing disclosure documents.
• What are an attorney’s liabilities as gatekeepers?
• Appearing and practicing before the Commission: how do Rule 102(e) proceedings work?
• Whistleblower developments under Section 21F of the Securities Exchange Act of 1934.
• SOX 307: What are the SEC’s up-the-ladder attorney reporting requirements?
• Additional impact of these issues and challenges on lawyer’s obligations with respect to ethical behavior, competence, conflicts of interest and other professional responsibilities.

In addition, Mayer Brown partner, Richard Rosenfeld, will participate in the program’s panel, Learnings from Enforcement and the Impact on Disclosure Practices. During this panel, speakers will identify enforcement priorities and their impact on disclsoure practices; analyze insider trading enforcement; discuss lessons learned deom current financial reporting cases; and cover the most recent FCPA developments.