December 07, 2020

Annual Disclosure Documents 2020: Current Developments and Best Practices


Practising Law Institute


A new, revamped agenda was created for this year's Annual Disclosure Documents program. Shorter in length and more narrow in its focus, this program will highlight the crucial changes and updates over the past year in disclosure requirements. A faculty of experienced practitioners from law firms and publicly traded companies will break down regulatory developments and the practical and useful best practices attorneys need to have when working with disclosure documents.

Mayer Brown partners Jennifer J. Carlson and Richard M. Rosenfeld will both be presenting in the program.

Jennifer J. Carlson will be presenting in Learnings from Enforcement and the Impact on Disclosure Practices. Topics will include:

  • Identifying enforcement priorities and their impact on disclosure practices.
  • What are the most recent FCPA developments?
  • Analysis of insider trading enforcement.
  • Discussion of lessons learned from current financial reporting cases.

Jennifer will also be presenting with Richard M. Rosenfeld in Ethics and Whistleblower Developments: Challenges to Be Aware of When Preparing and Reviewing Disclosure Documents. Topics will include:

  • Review of the legal ethics issues that arise when preparing disclosure documents. What ethical pitfalls should attorneys be on the lookout for?
  • Discussion on how to appear and practicing before the Commission. How do Rule 102(e) proceedings work? 
  • What are an attorney’s liabilities as gatekeepers? How do the legal ethics rules combine with the liabilities under the securities laws?
  • In-depth analysis of the whistleblower developments under Section 21F of the Securities Exchange Act of 1934.
  • Analysis of SOX 307: What are the SEC’s up-the-ladder attorney reporting requirements? What is an attorney’s duty of confidentiality?
  • Learn about the additional impact of these issues and challenges on lawyer’s obligations with respect to ethical behavior, competence, conflicts of interest, and other professional responsibilities.

For more information, please visit the event website.

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