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  • CT: Dodd-Frank Financial Reform

CT: Dodd-Frank Financial Reform

  • May 09, 2011
  • 6:00 PM - 7:30 PM
  • AON

Registration

  • Special price for members

Now that Dodd-Frank is a fact of life for US businesses, no provision of that law is currently receiving more attention (understandably so) than its expanded incentives for whistleblowers in securities, accounting fraud, and bribery allegations. It’s not the first time a relatively obscure provision of hotly debated legislation turns out to be the most impactful after passage. Under Dodd-Frank, the previously modest sums awarded by the Securities and Exchange Commission to whistleblowers have ballooned, such that employees who directly contact the SEC can get 10% to 30% of penalties that exceed $1 million. Come participate with your CEO Trust colleagues as we learn more about this important legislation.

Event Schedule:

6:00-6:30pm - Gathering
6:30-7:30pm - Program

PANELISTS:

GEORGE C. JEPSEN took office as Connecticut's Attorney General on Jan. 5, 2011.  A former legislator, state Senate majority leader and Democratic state party chairman, George  practiced law for more than 26 years before becoming Attorney General. Most recently, from April, 2003 to Dec. 1, 2010, he was of counsel to the Hartford law firm of Cowdery, Ecker and Murphy, LCC, in the areas of corporate transactions and civil and appellate litigation.  George graduated from Dartmouth College summa cum laude, Phi Beta Kappa in 1976 with a B.A. degree in Government with high distinction.  In 1982, he earned his J.D. degree, cum laude, from Harvard Law School and simultaneously earned a Master’s Degree in Public Policy from the John F. Kennedy School of Government.

TIM FLETCHER began his insurance brokerage career at Aon in 2003.  He co-manages one of New York's three deal teams within Aon's Financial Services Group (FSG).  The FSG group designs and negotiates insurance programs for a wide variety of commercial and financial institution clients.  Lines of insurance coverage include Directors and Officers Liability, Employment Practices Liability, Pension Trust Liability and Errors and Omissions.  Tim has a MBA from Columbia University and an undergraduate degree in Economics from Boston College.

MICHAEL GRUNDEI is a Partner in Wiggin and Dana's Corporate Department.  He has experience in public offerings and private placements of debt and equity securities for foreign and domestic issuers. Mike has represented issuers listed on the NYSE, AMEX and NASDAQ with respect to '34 Act' compliance, proxy statements, no-action letters and other securities matters. Mike has represented companies, investment bankers, private equity funds and venture capitalists in a variety of matters including mergers and acquisitions, venture capital financing and restructurings.  Mike is a contributing editor of the Encyclopedia of Private Equity and Venture Capital.  He graduated magna cum laude from the University of Pennsylvania and earned his law degree from Duke University School of Law.