Jacob Frenkel
Attorney/Partner
Speaker
Dickinson Wright
Clients hire Jacob because his aggressive, tenacious, creative and proactive strategies often put the other side on its heels, and because he gets successful results in investigations and litigation. Jacob has secured superior results for his securities enforcement, white-collar criminal defense, FCPA and internal and government investigations clients. Jacob brings his experience and outstanding reputation, including for creative strategies and solutions, to the defense of investigations, litigation strategy and governance counseling. Jacob's clients view him as a trusted advisor who understands the needs of their business.
Topic
9:10 AM - 9:35 AM
Wednesday Investor Session 1/31/2024
SEC Compliance and Enforcement Liability for Officers, Directors and Gatekeepers of Microcap Issuers
- Regulatory Overview: An overview of the SEC compliance requirements for microcap companies and the specific liabilities that corporate board members face in ensuring compliance.
- Fiduciary Duties: What are the fiduciary duties of corporate board members? Understanding their responsibility to act in the best interests of shareholders and to comply with all relevant SEC regulations.
- Reporting and Disclosure Obligations: Magnifying reporting and disclosure obligations that microcap companies must meet, including periodic filings, financial statements, and material event disclosures.
