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IPO Webinar Series: The Road to IPO

In this four-part IPO Webinar Series, hosted by FTI Consulting, our experts will address the challenges, opportunities and market trends facing companies considering and preparing for an IPO. Each webinar in the series will focus on a different stage in the IPO process – from evaluating whether an IPO is an appropriate strategy to operating as a newly public company.

The third webinar in the series titled, The Road to IPO, will explore and discuss the key ingredients of an IPO preparation program:
•How to navigate today’s market forces to maximize enterprise value after listing day
•IPO due diligence with respect to all stakeholders
•Developing a multi-stakeholder communications plan
•The new rules and regulations of an IPO: the impact of social media and the JOBS Act
•Successful strategies and common pitfalls leading up to listing day

Who should attend:
•Board of Directors from privately held companies
•C-suite executives from privately held companies – CEO, CFO, GC, CMO, CCO and IRO
•Outside Legal Counselors
•Private Equity and Venture Capital Investors

•John Huber, Senior Managing Director, Forensics & Litigation Consulting, FTI Consulting
•Kal Goldberg, Senior Managing Director, Strategic Communications, FTI Consulting
•Glenn W. Tyranski, Senior Vice President, Financial Compliance, NYSE Regulation, Inc.

CPE credit: Participation in the live webinar qualifies for 1 CPE credit. Field of Study: Finance

Please note that CPE credit can only be given to individuals who remain logged into the LIVE webinar and respond to the polling questions provided during the webinar. Please note that this is a NASBA (not FTI) requirement. In accordance with the standards of the National Registry of CPE Sponsors, CPE credits are granted based on a 50‐minute hour.
Recorded Oct 10 2012 63 mins
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Presented by
John Huber, Kal Goldberg, Glenn W. Tyranski
Presentation preview: IPO Webinar Series: The Road to IPO

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  • How to Prove/Defend Fraudulent Transfer Claims–A Legal and Valuation Perspective Mar 16 2017 5:00 pm UTC 90 mins
    Dion Hayes, Jeff Litvak, Scott Friedland, Clara Chin
    This webcast will consist of an analysis of the issues commonly confronted in fraudulent transfer litigation under the U.S. Bankruptcy Code and state law. The first portion of the program will provide attendees with an overview of the relevant legal aspects of the fraudulent transfer litigation, including discussion of:

    •Relevant provisions of the U.S. Bankruptcy Code, including §548;
    •Bankruptcy Code §544 and the Uniform Fraudulent Transfer Act;
    •Proving constructive fraud versus actual fraud; and
    •Recent developments in case law.

    The second half of the program will focus on valuation analyses often performed in conjunction with constructive fraud claims under §548 and state law, including:

    •Performing the balance-sheet test;
    •Assessing the adequacy of capital; and,
    •Analyzing the debtor’s ability to pay debts as they become due.

    Numerous case studies will be used during the program to highlight the legal and valuation issues.

    The program and a Q&A session will be presented by litigation and bankruptcy attorney Dion Hayes from the law firm of McGuireWoods LLP and valuation experts Jeff Litvak, Scott Friedland and Clara Chin of FTI Consulting.
  • Navigating Dodd-Frank’s Whistleblower Provisions and the FCPA (2016 Update) Recorded: Jan 18 2017 97 mins
    Patrick F. Stokes, Sean X. McKessy, F. Joseph Warin, John W.F. Chesley, Erika A. Kelton, Jim Barratt
    The word is out—the SEC has made good on its promise to pay millions of dollars in awards to those who come forward with evidence of securities law violations and employees are taking notice. For the fifth consecutive year, 2016 saw the number of tips flowing into the SEC Office of the Whistleblower reach a record high, including a new high for complaints of FCPA violations. In 2016, the SEC awarded to whistleblowers over $57 million—higher than the combined award amount from all previous years.

    Meanwhile, the SEC’s Division of Enforcement brought multiple enforcement actions to discourage what it views as overly restrictive employee severance and confidentiality agreements as well as an unprecedented stand-alone enforcement action against an employer for allegedly retaliating against a whistleblower employee. In addition, federal courts across the nation continue to reach disparate conclusions concerning the scope of Dodd-Frank’s whistleblower retaliation provisions. These trends, coupled with dynamic developments in FCPA enforcement, provide the perfect storm for keeping in-house counsel and compliance professionals up at night.

    The panel discussing these developments will include Patrick F. Stokes of Gibson, Dunn & Crutcher and Sean X. McKessy of Phillips & Cohen, respectively the former chiefs of DOJ’s FCPA Unit and the SEC’s Office of the Whistleblower. Joined by co-panelists F. Joseph Warin and John W.F. Chesley of Gibson Dunn, Erika A. Kelton of Phillips & Cohen, and Jim Barratt of FTI Consulting, this free 90-minute webcast will include a dynamic and participatory discussion on Dodd-Frank’s statutory and regulatory framework, discuss its early and recent interpretations by the SEC Office of the Whistleblower and federal courts, analyze the statute’s intersection with the FCPA, and provide participants with practical tips for navigating the minefield of whistleblower complaints.
  • SEC Enforcement– Today and Tomorrow– Developments in 2016, Expectations for 2017 Recorded: Jan 17 2017 61 mins
    Bill McLucas, Doug Davison, Marty Wilczynski, Steve Richards
    In this annual webcast, our panel will analyze key developments in SEC enforcement and notable events from 2016, and will discuss what to look for in 2017. Among other items, the panel will address:
    •The change in leadership at the SEC and what to expect;
    •Results of litigation and current issues arising from SEC actions;
    •Themes from cases involving the FCPA, financial fraud, gatekeepers, market structure, insider trading, and investment management;
    •Updates on the Whistleblower Program, use of technology, and other ongoing initiatives;

    Please join panelists Bill McLucas and Doug Davison, securities partners at Wilmer Cutler Pickering Hale and Dorr LLP; and Marty Wilczynski and Steve Richards, Senior Managing Directors with Ankura Consulting as they address these and other developments in SEC enforcement.
  • The Ability-to-Pay Defense: A Strategy for Reducing Criminal Fines Recorded: Oct 26 2016 82 mins
    Seth Farber, Trey Nicoud, Basil Imburgia, Jeff Litvak
    In recent years, criminal fines and penalties have risen drastically as a result of price-fixing and bid-rigging conspiracies uncovered among automotive parts manufacturers. While companies face these mounting fines, they need not accept the fine initially imposed. The United States Sentencing Guidelines do allow for a reduction of a criminal fine based on a company’s inability to pay. This webcast seeks to inform practitioners on the considerations of this ability-to-pay defense, strategies and process. As an illustration, this webcast includes a case study analyzing a company’s ability to pay a fine resulting from antitrust violations; however, the described methodology has other applications. Additional arenas where this defense has relevance include environmental clean-up costs, healthcare fraud, securities and commodities fraud, as well as FCPA and sanctions violations.

    The session will provide insight into the financial analyst’s role in evaluating the company’s financial status and the basis of the framework for the ability-to-pay argument. As part of the case study, the session will walk through an ability-to-pay model including analysis of projected free cash flow and the strength of the company’s balance sheet. Lastly, the session will address the importance of the financial expert’s role in discussions with the DOJ and its financial expert.
  • Surviving a Restatement: Ten Pitfalls to Avoid Recorded: Sep 21 2016 49 mins
    Bradley Bondi, Michael Wheatley
    The SEC has been very active in pursuing enforcement cases relating to accounting errors that led to a restatement. The decisions of the board of directors and management before, during, and after a restatement will be under scrutiny. A company’s actions in investigating and correcting accounting errors and ultimately restating financials are critical to avoid a prolonged SEC investigation, increased liability in civil litigation, loss of confidence by lenders and shareholders, and potential delisting by an exchange. Appropriately managing a restatement requires special care and skill.

    Join us for this webcast on Wednesday, September 21, 2016 at 1:00 pm to hear a leading practitioner’s perspective on how to avoid potential pitfalls in the restatement process.
  • DOL's New Conflict of Interest Regs: Game Changer for Retirement Advisers Recorded: Jul 14 2016 54 mins
    Brad Bondi, Michael Wheatley
    In April 2016, the Department of Labor issued final regulations expanding the definition of “fiduciary” for advisers to retirement plans, including advisers to IRAs and ERISA plans. Some advisers and financial institutions who previously were not considered fiduciaries now will be required to meet a fiduciary standard of care and, unless an exemption applies, may not engage in so-called “prohibited transactions” that create potential conflicts of interest (e.g., receiving compensation from third parties in connection with a transaction involving an IRA or an ERISA plan).

    The DOL also created a key exemption known as the Best Interest Contract Exemption (“BIC Exemption”). In general, the BIC Exemption allows advisers to engage in otherwise “prohibited transactions” as long as certain criteria are met. The new regulations will be phased in over time. The new definition of “fiduciary” will apply on April 10, 2017. The entire regulatory package will apply on January 1, 2018.

    In this Webcast, Brad Bondi (a partner at Cahill Gordon & Reindel LLP who leads the securities enforcement and regulatory practices) and Michael Wheatley (an associate at Cahill) will address issues concerning the new regulations, its impact on the financial services industry, best practices for financial services firms and lawyers to prepare for this new regulatory scheme, and pitfalls to avoid.
  • UK Bribery Act Update: Significant Enforcement is Here, Massive Change Coming Recorded: Jun 30 2016 67 mins
    Vivian Robinson QC, Barry Vitou, Richard Kovalevsky QC, Julian Glass
    Miss this webinar at your peril! On the eve of the 5th anniversary of the Bribery Act entering into force we have now seen significant enforcement activity in the UK and the UK corporate crime regime is on the cusp of the biggest change in its history that will impact on every business with far reaching consequences for business.

    In this webinar we shall look back over the last 12 months and forecast where we see developments in the year to come. We shall discuss:

    1. Our take on the developments over the last twelve months, including the first DPA, corporate prosecution under the Bribery Act and use of the new sentencing guidelines.
    2. What's next:
    · What do the biggest alleged bribery scandal of all time and the Panama Papers have in common?
    · DPA's v. Prosecution. With no discount for a DPA, what is the point?
    · Changing the UK's AML regime: the other side of the Bribery Act coin & big changes are planned
    · The London May Anti-corruption summit and the proposed biggest change to UK corporate criminal law, ever…which will eclipse the impact of the Bribery Act.

    And you have our personal guarantees, that we won’t discuss Brexit and what that might mean for bribery and corporate crime. At all.

    Don’t miss this opportunity to hear Vivian Robinson QC, former general counsel to the UK’s Serious Fraud Office and now a partner in McGuireWoods London; Barry Vitou, partner in Pinsent Masons LLP’s London office; Richard Kovalevsky QC, 2 Bedford Row; and Julian Glass, Managing Director, FTI Consulting, as they answer your questions and address these key topics.

    Our predictions for last year were eerily accurate. Can you really afford to miss it?
  • Using Law & Accounting to Determine Separateness or Piercing of Corporate Veil Recorded: May 25 2016 93 mins
    Neil Gray, Jeff Litvak, Clara Chin
    Alter ego/separateness litigation is sought to breach the defendant’s corporate structure in order to obtain access to the financial or other resources of the defendant’s subsidiaries. In order to determine separateness or “pierce the corporate veil,” the plaintiff is generally required to prove that the corporate form was ignored, controlled or manipulated to an extent that it was merely the alter ego of another person or entity and that the misuse of the corporate form would constitute a fraud or used to promote injustice. We will cover the three elements that courts look to in order to determine separateness: (1) the corporation is substantially controlled or manipulated by another; (2) the control was or will be misused to commit fraud or promote injustice and (3) the claimant suffered or will suffer injury as a result. We will also discuss factors that indicate whether affiliated companies should be treated as a single entity including:
    •Fraudulent representation by corporation’s shareholders or directors;
    •Use of the corporation to promote fraud, injustice or illegal activities;
    •Commingling of assets and affairs;
    •Failure to observe required corporate formalities;
    •Other shareholder acts or conduct ignoring, controlling, or manipulating the corporate form
    •Existence of common officers, directors, and employees;

    This webcast will provide legal and accounting perspectives on determining separateness or piercing the corporate veil and will cover:
    •Need for accounting expertise and issues to examine from an accounting perspective;
    •Evidentiary basis and the federal rules of evidence;
    •Permitted Uses including accounting expertise and expert opinions;
    •Cases where alter-ego claim was made;
    •Hypothetical case study
  • Law Firms Under Cyber-Siege: How Law Firms Can Manage Data Breach Risks Recorded: Apr 19 2016 70 mins
    Joe Segreti, John Reed Stark
    Law firms have now become primary targets for cyber-attacks. Along those lines, law firm clients have moved from trusting their law firms to safeguard their data to holding them to the same standard as any other service provider, expecting a mature and robust cybersecurity program. As discussed at last week’s Incident Response Forum in Washington, D.C., law firms face two critical and burning questions:

    1. What are the best and most appropriate cybersecurity solutions for law firms? and

    2. What should law firms be doing right now to manage the risk of the inevitable cyber-attack?

    Although data breaches are preordained, law firms can still take important and thoughtful preemptive measures to exceed their client’s (now heightened) cybersecurity expectations and improve (rather than restrain) their business operations. But unfortunately, the cybersecurity marketplace is a chaotic morass replete with a mishmash of consultant jargon pitching dubious panaceas and dire doomsday scenarios. This webcast aims to make sense of all of the confusion and concentrate on how law firms can:

    --Identify cybersecurity vulnerabilities;
    --Remediate issues;
    --Improve processes and data protection;
    --Beef-up enterprise security posture with practical and realistic solutions; and
    --Take preemptive steps not only to insure adequate preparation for the latest data breaches, but also to assure sufficient compliance amid increasing regulatory, governmental (and client) scrutiny.
  • Insights and Observations on Post-Acquisition Disputes Involving Earnouts Recorded: Mar 1 2016 93 mins
    Jeff Litvak, Jeremy McGannon, Michael Faris
    This webcast will introduce participants to the basics of the earnout as an element of the purchase price in M&A transactions and the common disputes that arise from earnout provisions.

    The panel will discuss the intricacies of earnouts, legal considerations and recent case law relating to earnouts, the mechanics of earnouts, common disputes involving earnouts, the valuation and recognition of earnouts, and more. This program will also address the role of the neutral accounting arbitrator in resolving an earnout dispute.

    The program is geared to lawyers involved in mergers and acquisitions.
  • What Every CFO, GC and CCO Needs to Know About "Pen Testing" & Risk Assessments Recorded: Feb 4 2016 68 mins
    John Reed Stark, Joe Segreti
    In addition to becoming a compliance prerequisite, so-called “penetration testing” and “risk and security assessments” also create added opportunities to:

    •determine where cybersecurity vulnerabilities lie;
    •remediate issues;
    •improve processes; and
    •beef-up enterprise security posture.

    The emerging penetration testing marketplace, however, is a chaotic morass, with a mishmash of consultant jargon painting varying doomsday scenarios and pitching uniquely branded panaceas.

    This webcast walks GCs, CFOs and CCOs through the “pen testing” maze, providing key insights on how to engage the right blend of capable, trustworthy and innovative cybersecurity professionals.
  • How Every GC, CFO and CCO Should be Preparing for the Inevitable Data Breach Recorded: Jan 21 2016 69 mins
    John Reed Stark, Jason Smolanoff
    Although data breaches are inevitable, companies should still take important and thoughtful preemptive measures to meet their compliance obligations and to help prepare themselves to respond.

    This webcast focuses on preemptive steps that GCs, CFOs and CCOs should implement today to not only insure adequate preparation for the latest forms of data breaches, but also to assure adequate compliance amid increasing regulatory scrutiny.
  • SEC Enforcement – Key Developments in 2015 Recorded: Jan 15 2016 63 mins
    Bill McLucas, Doug Davison, Marty Wilczynski, Jason Flemmons
    In this annual webcast, our panel will analyze key developments in SEC enforcement and notable events from 2015, and will discuss what to look for in 2016. Among other items, the panel will address:

    •Results of litigation and current issues arising from SEC administrative proceedings;
    •Actions involving financial fraud, gatekeepers, market structure, and investment management;
    •The impact of the Whistleblower Program, use of technology, and requiring admissions in settlements;
    •Significant “first ever” cases in a broad range of areas; and much more
  • What Every GC, CFO and CCO Needs To Know About Data Breach Response Recorded: Jan 7 2016 64 mins
    John Reed Stark, Brian Rubin
    A data breach responder is like a high-tech plumber. Just like a plumber does when a house’s basement floods, data breach responders identify the cause of a breach; combine forces to contain its damage; and collaborate on remediation.

    But while a plumber can provide reasonable assurances that the basement will not flood again, a data breach responder cannot promise the same about a future data breach. In fact, another breach is not only possible, it’s likely. That is why data breaches don’t define victim companies – how they respond to data breaches does.

    Yet while today’s news outlets provide an endless stream of data breach reports, rarely is an actual incident response ever discussed. Understanding data breach response workflow not only helps a company prepare for a breach, it also helps a company manage cybersecurity risk overall. This webcast covers the most typical workflows that companies must undertake amid the incident response of a data breach.
  • The Minefield of Dodd-Frank’s Whistleblower Provisions and the FCPA: 2015 Update Recorded: Dec 8 2015 77 mins
    F. Joseph Warin, John W.F. Chesley, Erika Kelton
    The word is out—the SEC has made good on its promise to pay millions of dollars in awards to those who come forward with evidence of securities law violations and employees are taking notice. For the fourth consecutive year, 2015 saw the number of tips flowing into the SEC Office of the Whistleblower reach a record high, including a new high for complaints of FCPA violations. Indeed, SEC FCPA Unit Chief Kara Brockmeyer recently described Dodd-Frank’s whistleblower incentive provisions as a “game-changer” for FCPA enforcement. Meanwhile, the SEC’s Division of Enforcement brought an unprecedented enforcement action to discourage what it views as overly restrictive employee confidentiality agreements. And federal courts across the nation continue to reach disparate conclusions concerning the scope of Dodd-Frank’s whistleblower retaliation provisions. These trends, coupled with dynamic developments in FCPA enforcement, provide the perfect storm for keeping in-house counsel and compliance professionals up at night.

    Featuring an experienced panel of plaintiff- and defense-side whistleblower and anti-corruption practitioners, including counsel to the whistleblower who received the largest award in Dodd-Frank’s history, this webcast will detail Dodd-Frank’s statutory and regulatory framework, discuss its early and recent interpretations by the SEC Office of the Whistleblower and federal courts, analyze the statute’s intersection with the FCPA, and provide the participant with practical tips for navigating the minefield of whistleblower complaints.
  • Gauging Investor Exposure One Year After Halliburton Recorded: Sep 10 2015 27 mins
    Professor Stephen E. Christophe, Ph.D., Nessim Mezrahi
    In this webcast, panelists from the economic consulting firm Nathan Associates will evaluate the market trends in securities class actions by analyzing aggregate investor losses stemming from alleged violations of the federal securities laws on all Rule 10b-5 cases that have been filed since the Halliburton decision. As part of this webcast, Nathan Associates will report regression-based monthly market capitalization losses, monthly aggregate Rule 10b-5 losses, average artificial stock price inflation for all public companies facing impeding litigation, and the RMC ratio (Rule 10b-5 Market Capitalization Loss Percentage).

    Please join panelists Professor Stephen E. Christophe, Ph.D., a recognized authority on securities, and Nessim Mezrahi, principal, financial litigation, at Nathan. They will be prepared to comment on the trends and potential losses on all Rule 10b-5 cases that have been filed since the Halliburton ruling last summer.
  • Financial Statements 101 – Accounting Fundamentals for Lawyers Recorded: Jul 2 2015 78 mins
    Jeff Litvak, Jeremy McGannon
    This webcast will cover fundamental concepts of accounting, focusing on issues that lawyers often encounter. Our panel of accounting experts will cover the three financial statements–balance sheet, income statement, and cash flows–and describe the components that are used to create them. In addition, our panel will cover how to derive meaningful conclusions from the data through ratio and trend analysis.

    In addition to understanding financial statements, this webcast will cover common Generally Accepted Accounting Principles and International Financial Reporting Standards.
  • The UK Bribery Act After Five Years — Where Are We Now? Recorded: Jun 30 2015 63 mins
    Vivian Robinson QC, Barry Vitou, Anne-Marie Ottaway and Julian Glass
    The DPA party invitation letters have been sent.

    On the eve of the fifth anniversary of the Bribery Act, our panelists will take a look back at the Bribery Act’s pre-school years and what the future looks like.

    A lot of water has passed under the bridge since the Bribery Act was passed in the last days of the last Labour government in the UK. Two general elections later and another change of government, the political and legal landscape looks a lot different:

    This webinar will cover:

    --Deferred Prosecution Agreements: now or never?
    --The Bribery Act: How long until a corporate prosecution?
    --Failure to prevent fraud offence: Will this new law be passed?
    --Penalties: Jail time and fines

    Please join us. We look forward to catching up!
  • The Reemergence of Accounting Fraud as an SEC Enforcement Priority Recorded: Jun 15 2015 63 mins
    Claudius Sokenu, Jerome Fortinsky, Howard Scheck, Stacy Fresch
    The risk for public companies and senior management becoming the subject of a financial fraud investigation by the Securities and Exchange Commission has never been greater. Mary Jo White, the SEC’s Chair, and the SEC’s Director of Enforcement, Andrew Ceresney, have publicly stated that financial fraud cases are a programmatic priority for the Commission. Indeed, the Commission has formed a Fraud and Audit Task Force to proactively identify potential schemes. Moreover, the Commission officials have routinely touted the Commission’s data analytic capabilities for detecting anomalies and red flags and have encouraged collaboration internally within the Commission and with other regulators.

    This webcast will provide insights to all those in the financial reporting process including attorneys, accountants and other professionals preparing or auditing financial statements, investigating allegations of accounting misstatements or defending targets of investigations and lawsuits. Senior management, audit committee members and independent auditors are especially at risk given that the Commission has signaled a desire to bring enforcement action against gatekeepers. Consequently, it is important to understand what the Commission will be examining and how to respond when the Enforcement Division comes knocking.

    The webcast will focus on the sources of the government’s investigations, hot accounting topics, process for investigating financial fraud allegations and the government’s expectations for responding to allegations of financial fraud. You will get insights on how to manage expectations of the board of directors and independent auditors as well as strategies for defending companies and individuals. Additionally, this webcast will cover cross border considerations, lessons from recent enforcement cases, and related class action lawsuits.
  • Cyber Insurance: A Pragmatic Approach to a Growing Necessity Recorded: Jun 10 2015 75 mins
    John Reed Stark, David R.Fontaine
    While the market for cyber insurance continues to grow dramatically, there still is no standardized form of cyber insurance policy language, and the actuarial challenges of measuring and gauging the impact of a cyber-attack make it difficult to match a cyber insurance policy with the unique risk profiles of today’s public and private companies.

    This webcast presents detailed, practical means of managing this challenge by analyzing and scrutinizing the typical cyber-incident response workflow that follows most cyber-attacks. The webcast will examine -- before any cyber-attack occurs -- which workflow costs will trigger coverage, which workflow costs will be outside of coverage, and which workflow costs might be uninsurable.
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  • Title: IPO Webinar Series: The Road to IPO
  • Live at: Oct 10 2012 6:00 pm
  • Presented by: John Huber, Kal Goldberg, Glenn W. Tyranski
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