SEPTEMBER 24 | Best Practice Forum | E&C Reporting Trends: Understanding the Impact of our Current Environment
In May the SEC reported a 35% increase in reports to its Whistleblower Office since the onset of the COVID-19 crisis. Meanwhile, the world’s largest helpline provider experienced a precipitous decline in reports. Most organizations are experiencing extraordinary shifts these days — join us as we discuss current trends with 6 people who are best situated to help us make sense of the impact of our current environment on employee reporting. We’ll tackle the topic in three segments:
SEC trends and enforcement
Jane A. Norberg, Chief of the Office of the Whistleblower, US Securities
& Exchange Commission (SEC)
Anita Bandy, Associate Director, Enforcement Division of the SEC
Insights and recommendations from legal counsel advising both sides of the whistleblowing process
Jordan A. Thomas, Partner, Labaton Sucharow
Christopher C. Burris, Special Matters and Government Investigations,
King & Spalding
Analysis of trends by the world’s largest helpline provider, and lessons learned from one of the leading companies providing essential services
Carrie Penman, Chief Risk and Compliance Officer, NAVEX Global
Justin Ross, Staff VP and Chief Compliance Officer, FedEx Corporation
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Anita BandyAssociate Director, Division of Enforcement, Securities and Exchange Commission
Anita Bandy is an Associate Director in the Securities and Exchange Commission’s Division of Enforcement, where she assists in planning and directing the Commission’s enforcement program. Anita joined the Commission in 2004 and then served in several positions of increasing responsibility in the Enforcement program. During her tenure at the Commission, Anita has led multiple enforcement initiatives and has supervised dozens of investigations that resulted in actions spanning a wide range of matters, including financial fraud, offering frauds, market manipulation, the Foreign Corrupt Practices Act, the Jumpstart Our Business Startups Act, and other illegal acts that occur in the mergers & acquisitions, cyber, broker-dealer and investment-adviser space. Prior to joining the SEC, Anita spent several years in private practice at the law firm of Proskauer LLP, where she focused on white collar and SEC defense work. She received her J.D. with honors from American University and her undergraduate degree with honors from the University of Michigan.
Carrie PenmanChief Risk and Compliance Officer, NAVEX Global
As one of the earliest ethics officers in the industry, Carrie Penman has been with NAVEX Global since 2003 after serving four years as deputy director of the Ethics and Compliance Officer Association (ECOA) now ECI. A scientist by training, she developed and directed the first corporate-wide global ethics program at Westinghouse Electric Corporation from 1994-1999.
As Chief Risk and Compliance Officer for NAVEX Global, Carrie leads the company’s formal risk management processes. She also oversees its internal ethics and compliance activities employing many of the best practices that NAVEX Global recommends to its customers.
Carrie has extensive client-facing risk and compliance consulting experience, including more than 15 years as an advisor to boards and executive teams; most recently as NAVEX Global’s SVP of Advisory Services. She has also served as a corporate monitor and independent consultant for companies with government settlement agreements.
Carrie was recently awarded the inaugural Lifetime Achievement Award for Excellence in Compliance 2020 by Compliance Week magazine. In 2017, Carrie received the ECI’s Carol R. Marshall Award for Innovation in Corporate Ethics for an extensive career contributing to the advancement of the ethics and compliance field worldwide.
Christopher C. BurrisPartner, Special Matters and Government Investigations, King & Spalding
Chris Burris focuses on white-collar criminal defense, corporate internal investigations, regulatory enforcement action defense and complex litigation. As a partner in our Special Matters and Government Investigations practice, Chris defends corporations and individuals in a variety of criminal, regulatory, False Claims Act and other matters.
As a defense lawyer, Chris represents leading corporations and individuals in criminal and regulatory enforcement matters. He has particular experience with defending clients in False Claims Act/qui tam matters, handling dozens of cases concerning a variety of issues.
In addition, Chris counsels clients in matters concerning privacy, information security and related issues. He also conducts internal investigations on behalf of management, boards of directors and audit committees.
Previously, Chris served on active duty in the U.S. Navy Judge Advocate General’s Corps for nearly six years, where he gained broad experience in trial prosecution and defense, appeals and internal investigations. As a Commander in the Naval Reserves, he currently serves as the Executive Officer of the Navy Reserve unit overseeing issues involving international and operational law, admiralty and maritime law, environmental law, and information operations and intelligence law.
Jane A. Norberg Chief, Office of the Whistleblower, Division of Enforcement, U.S. Securities and Exchange CommissionJane A. NorbergChief, Office of the Whistleblower, Division of Enforcement, U.S. Securities and Exchange Commission
Jane Norberg is the Chief of the Office of the Whistleblower in the Division of Enforcement of the U.S. Securities and Exchange Commission. She joined the SEC in January 2012 as Deputy Chief and was promoted to Chief in September 2016. In her capacity as Chief, Ms. Norberg helps administer the whistleblower program including working with whistleblowers and their counsel, reviewing and analyzing whistleblower applications for award, and engaging in public outreach to educate potential whistleblowers and other interested parties about the program. Prior to joining the SEC staff, Ms. Norberg was engaged in private law practice for 14 years, including at Shearman & Sterling LLP.
Jordan A. ThomasPartner, Labaton Sucharow
A principal architect of the SEC Whistleblower Program, in 2011, Jordan Thomas established the nation’s first whistleblower practice exclusively focused on violations of the federal securities laws. To date, he has won the largest SEC whistleblower award in history, more than $83 million for whistleblowers who reported misconduct at Merrill Lynch, which led to its $415 million settlement with the Commission. In addition to significant monetary recoveries, among his many landmark cases, he successfully represented the first officer of a public company to win an SEC whistleblower award, the first SEC whistleblower to receive criminal immunity, and the first SEC whistleblower to receive a whistleblower award because his company retaliated against him.
A longtime public servant and seasoned trial lawyer, Jordan joined Labaton Sucharow from the Securities and Exchange Commission where he served as an Assistant Director and, previously, as an Assistant Chief Litigation Counsel in the Division of Enforcement. He had a leadership role in the development of the SEC Whistleblower Program, including leading fact-finding visits to other federal agencies with whistleblower programs, drafting the proposed legislation and implementing rules, and briefing House and Senate staffs on the proposed legislation.
Prior to joining the Commission, Jordan was a Trial Attorney at the Department of Justice, where he specialized in complex financial services litigation involving the FDIC and Office of Thrift Supervision. He began his legal career as a Navy Judge Advocate on active duty and recently retired as a Captain in its Reserve Law Program. While in law school, he worked as a stockbroker.
Jordan served as the Chair of the Investor Rights Committee of the District of Columbia Bar and a board member of the City Bar Fund, the pro bono affiliate of the Association of the Bar of the City of New York. He is admitted to practice in the District of Columbia and the States of Connecticut, New Mexico, New York and Virginia.
Justin RossStaff Vice President and Chief Compliance Officer, FedEx Corporation
Justin is the Chief Compliance Officer for FedEx Corporation, responsible for developing and overseeing enterpise-wide compliance programs for FedEx operating companies and international regions. Justin has been with FedEx since 2003, working in a variety of roles in Legal and Compliance in the United States and Europe. He received his undergraduate degree from Rhodes College in Memphis, Tennessee and law degree from the University of Memphis in Memphis, TN.