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You are cordially invited to join the Financial Services Committee and Legal Committee co-hosted lunch event on US Compliance and Recent Trends of Legal and Board Governance Risks on November 27th from 11:30 am to 1:30 pm at AmCham Shanghai Conference Room. U.S. law is increasingly affecting the conduct of even foreign companies operating across borders. The U.S. government's recent criminal enforcement initiatives on Cryptocurrencies exemplify the trend. Combined with developments in other U.S. compliance regimes, these aggressive enforcement trends present new risks that must be addressed by both U.S. and foreign companies. Recent trends also have great impact on increasing investigations on board directors and officers. Our experts from US will discover recent trends of SEC investigations.


This event is supported by the Lockton Insurance Brokers LLC. Lockton is the world's largest privately held, independent insurance broker, and clients typically describe us as team members who care about their business. Energy, innovation, and deep expertise fuel our efforts to solve problems and achieve real results.

Agenda

11:30 AM - 12:00 PM
Registration & Networking Lunch
12:00 PM - 12:05 PM
Opening Remarks
12:05 PM - 12:20 PM
Cracking Down on Cryptocurrencies & Criminalizing Unfair Competition
12:20 PM - 12:35 PM
Cryptocurrency Traceability - Are Coins Tainted
12:35 PM - 12:50 PM
Trends in Related Risk Management for Individual Executives
12:50 PM - 1:25 PM
Panel Discussions / Q&A
Facilitated by Claudia Margolis
1:25 PM - 1:30 PM
Closing / Event Ends

Speakers

  • Dana Kopper (EVP & MD at Lockton, inc)

    Dana Kopper

    EVP & MD at Lockton, inc

    Dana Kopper is an Executive Vice President & Managing Director of the Directors’ & Officers’ Liability and Governance Risk Management Group.

    Dana has provided a broad range of governance and risk management consulting and transactional services to public, private, for-profit, and not-for-profit organizations for the past 39 years.

    He is one of the country’s leading D&O and professional liability brokers – a noted expert (court qualified expert witness) in the areas of international directors’ and officers’ legal liability, investment management professional liability, governance infrastructure design, board effectiveness, director accountability, organizational compliance efficacy, and associated risk mitigation strategies. Dana was selected as the AIG 2012 Broker of the Year.

    Dana has lived and worked throughout the U.S., Europe, the Middle East, and Asia. He is actively involved with international directors’ and officers’ liability and corporate governance issues with emphasis on U.S. exchange listed firms headquartered in foreign countries.

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  • Claudia Margolis (Team Leader, China-US Business Practice at Lockton Insurance Brokers LLC.)

    Claudia Margolis

    Team Leader, China-US Business Practice at Lockton Insurance Brokers LLC.

    Claudia, a Producer with Lockton Insurance Brokers LLC, is dedicated to helping businesses and entrepreneurs from Asia – and especially the Greater China region (Mainland China, Hong Kong, Taiwan) -- to establish a presence and succeed in the US.

    Claudia confers with clients to identify and analyze unique risk profiles, understands their business strategies, and then deploys the right risk-management resources to meet the clients’ needs in all lines of personal and commercial insurance, risk management, and employee benefits.

    Claudia has served Chinese and Chinese-American businesses over the last 18 years from platforms in the insurance, legal and consulting industries. She is fluently bicultural as well as bilingual (Mandarin Chinese).

    Committed to serving the communities around her, Claudia devotes time and contributes resources to help non-profit organizations and government agencies such as the LA County Arts Commission, Blue Ribbon of LA Music Center, and many US-China trade associations.

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  • Ramesh Moosa (Partner, Forensics & Cyber Security at PwC China / Hong Kong)

    Ramesh Moosa

    Partner, Forensics & Cyber Security at PwC China / Hong Kong

    Ramesh is a Forensics partner in the Consulting practice in China/Hong Kong and leads the Digital Forensics & eDiscovery and Cyber Security practice. He has over 23 years of experience and worked with PwC in China, Hong Kong, U.S. and Singapore. Ramesh started his career as a senior Law Enforcement Officer in Singapore conducting criminal investigations work. Ramesh combines his investigative and technology expertise to help clients combat crime spanning bribery and corruption, money laundering, fraud and cyber crime. Ramesh was a founding committee member of the Association of Information Security Professionals in Singapore and has provided expert witness testimony in Courts in Hong Kong and Singapore. Ramesh has also supported financial regulatory bodies in the conduct of digital forensics services and eDiscovery services as part of their enforcement activities.

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  • Carlos F. Ortiz (Partner at Blank Rome LLP)

    Carlos F. Ortiz

    Partner at Blank Rome LLP

    Carlos Ortiz is a seasoned trial lawyer with significant white collar defense and investigations experience. He uses his prominent 15-year background as a federal prosecutor to assist clients with matters relating to the Foreign Corrupt Practices Act (“FCPA”), high-risk task controversies, off-shore tax issues, anti-money laundering, allegations of fraud against government agencies and financial institutions, and e-commerce, as well as healthcare fraud.

    Carlos has a keen understanding of the complexities and nuances involved when corporations and financial institutions need to conduct internal investigations, address issues of corporate governance, or face civil regulatory and criminal exposure. His practice includes advising corporations and their boards of directors and committees in connection with corporate governance and compliance matters.

    He has conducted numerous domestic and international internal investigations on behalf of companies in the pharmaceutical, financial services, healthcare, aerospace, energy, and telecommunications industries. Carlos has extensive experience representing U.S. and Foreign based corporations, as well as individuals in connection with matters before enforcement and regulatory agencies including the U.S. Department of Justice (“DOJ”), the Internal Revenue Service (“IRS”), the Securities and Exchange Commission (“SEC”), and various State Attorneys General’s Offices.

    Chambers USA recognizes Carlos as a leader in white collar crime and government investigations law, describing him as “an excellent lawyer.”

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Tickets

A prepayment is required when choosing 'Standard Price'.

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Member Ticket
Member Price Complimentary
Member Company Employee Ticket
Standard Price RMB 200
Door Price RMB 300
Non-Member Ticket
Standard Price RMB 500
Door Price RMB 600

Venue

AmCham Shanghai Conference Center

Suite 568, Shanghai Centre, 1376 Nanjing Road West
Shanghai, China

If you have any questions please contact Mitch Lee

Contact Organizer

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