Santa Clara University

Markkual Center for Applied Ethics
Untitled Document

Morrison & Foerster
Morrison & Foerster and Markkula Center for Applied Ethics Seminar Series.

Horatio at Rome’s Bridge:

The Corporate Gatekeeper in Today’s Environment – Substantial Risk for Sure, and Opportunity?   

How has the definition of corporate gatekeeper, and its attendant obligations and responsibilities, evolved in recent years? Headlines and events in this Dodd-Frank world focus on risk of heightened expectations, whistleblowers, personal liability, and civil and criminal penalties, not to mention ethical dilemmas. What is the gatekeeper role of Corporate Counsel, Audit Committee Member, Ethics and Compliance Officers, Internal and External Auditors, C-Suite and others? We will discuss the impact of recent actions by the SEC and other regulatory bodies against gatekeepers. What are the responsibilities and opportunities of serving as a gatekeeper?

Hear from a panel with experience in the regulatory, legal, compliance, and ethical aspects of advising gatekeepers on the complex facets of risk scenarios, as well as the benefits and opportunities of the roles. Learn and share how gatekeepers of major corporations maximize the benefits while mitigating the risk. The discussion will include examples of where others went wrong, and what others are doing to proactively and successfully fulfill the role as gatekeeper with the companies for whom they put their credibility on the line.

Who Should Attend:

General Counsels; Compliance Officers; Ethics Officers; Internal Auditors; Audit and Governance Committee Members of Boards; CEOs; CFOs; Outside Counsel


  • Mark Fagel,
    Regional Director, Securities and Exchange Commission
  • Randy Fons
    Partner, Morrison & Foerster LLP; former Regional Director, Securities and Exchange Commission
  • Jonny Frank
    Partner, StoneTurn Group; retired Partner, PWC; former Assistant United States Attorney, Eastern District of New York 
  • Kirk Hanson
    Executive Director, Markkula Center for Applied Ethics


  • Cathy Connolly
    Partner, StoneTurn Group
    Partner, Morrison & Foerster


This invitation is transferable and open to colleagues and guests.

MCLE credit is pending