Regulatory Compliance: Essential Skills for Every IRO

Virtual

Register

Pricing

345
Member Price

395
Non-Member Price

Investor relations professionals are invited to attend this new half-day intensive on regulatory compliance for IROs. The program features legal experts who specialize in securities law, disclosure requirements, and SEC enforcement trends.

We will cover the foundational concepts such as key filings, rules, and proxy activities and engage in strategic-level discussions with professionals who are familiar with the inner workings of the SEC and shareholder activists. Whether you’re navigating your first 10-K or advising management on mitigating compliance risks, this program is designed to equip you with the knowledge and tools to succeed in today’s rapidly-evolving regulatory environment.

Learning Objectives

  • Understand the key regulatory filings and disclosure frameworks relevant to public companies, including 10-Ks, 10-Qs, 8-Ks, proxy statements, and Regulation FD.
  • Evaluate current and anticipated SEC priorities under the new U.S. administration and their potential impact on corporate disclosure and governance practices.
  • Identify strategies to navigate shareholder activism while ensuring compliance with regulatory requirements.
  • Analyze recent SEC enforcement actions to extract practical lessons for enhancing your organization’s compliance and disclosure protocols.

Who Should Attend

Whether you’re an early-career investor relations professional or seasoned IRO, this program is designed to enhance your compliance expertise at every experience level. This program is also suitable for finance staff involved in preparing or reviewing financial filings, corporate communications and ESG teams, and affiliated professionals who engage with investors or support external communications.

Program Overview

Understanding the Basics of Regulatory Compliance:

  • Essential regulatory filings
  • Disclosure rules and regulations
  • Importance of compliance for public companies

Recent SEC Updates:

  • Anticipated regulatory changes
  • Shifts in disclosure requirements
  • Changes in climate, DEI, and other ESG considerations

Regulatory Considerations and Shareholder Activism:

  • Strategies for engaging with activist investors
  • How to avoid common pitfalls
  • Maintaining compliance while managing activism-related risk

Lessons from SEC Enforcement Actions:

  • Case studies of recent enforcement actions and key takeaways

Speakers:

Elizabeth Bieber, Partner and Head, Shareholder Engagement and Activism Defense, Freshfields
Taryn Zucker, Partner, Freshfields

Additional speakers to be announced!

Cancellation Policy

All cancellation and refund requests must be submitted in writing via email to ProfessionalDevelopment@niri.org. Cancellation requests received up to 2 weeks (10 business days) before the event will be refunded in full, less a $50 administrative fee. No refunds will be given for cancellation or postponement requests received within 2 weeks (10 business days) of the event, including no-shows. All refunds will be processed within 10 business days of confirmation and in the same manner as original payment.

IRC credential holders can earn 2 professional development units (PDUs).