Webcast: IPO and Public Company Readiness: Regulatory Considerations for Public Companies and Their Key Stakeholders

Webcasts  |  January 15, 2025

Please join us for a briefing where we provide an in-depth legal perspective on the critical regulatory compliance issues companies must address when preparing for an Initial Public Offering (IPO) and operating as a newly public company. Emphasizing the importance of robust compliance frameworks, we examine key legal risks associated with OFAC (Office of Foreign Assets Control) sanctions, Anti-Money Laundering (AML) regulations, the Foreign Corrupt Practices Act (FCPA), and other emerging regulatory concerns such as climate change disclosures and diversity requirements.

This session is designed for legal professionals and executives seeking to mitigate compliance risks and establish a foundation for ongoing regulatory adherence in the post-IPO environment.

Key topics include:

  • OFAC and AML Compliance: Understanding sanctions, money laundering risks, and the controls necessary to mitigate them.
  • FCPA Considerations: Navigating anti-bribery and corruption regulations in international operations.
  • Climate Change Disclosures: Meeting the growing demand for environmental impact reporting.
  • Diversity and Inclusion Requirements: Addressing stakeholder expectations and legal mandates for diversity in the workplace and boardroom.
  • Compliance Program Implementation: Considerations and steps for developing and implementing a comprehensive compliance program to minimize risks during the IPO process.
  • IPO Diligence and Disclosure: Preparing to meet the scrutiny of regulators, investors, and underwriters in the due diligence and disclosure phases.

MCLE CREDIT INFORMATION:

This program has been approved for credit in accordance with the requirements of the New York State Continuing Legal Education Board for a maximum of 1.0 credit hour, of which 1.0 credit hour may be applied toward the areas of professional practice requirement. This course is approved for transitional/non-transitional credit.

Gibson, Dunn & Crutcher LLP certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 1 hour.

Gibson, Dunn & Crutcher LLP is authorized by the Solicitors Regulation Authority to provide in-house CPD training. This program is approved for CPD credit in the amount of 1.0 hour. Regulated by the Solicitors Regulation Authority (Number 324652).

Neither the Connecticut Judicial Branch nor the Commission on Minimum Continuing Legal Education approve or accredit CLE providers or activities. It is the opinion of this provider that this activity qualifies for up to 1 hour toward your annual CLE requirement in Connecticut, including 0 hour(s) of ethics/professionalism.

Application for approval is pending with the Colorado, Illinois, Texas, Virginia, and Washington State Bars.

PANELISTS:

Cynthia Mabry is a partner in the Houston office of Gibson, Dunn & Crutcher. Cynthia concentrates her practice on capital markets, securities, mergers and acquisitions and general corporate matters. She represents public and private entities, investors and underwriters in capital markets and finance transactions, including offerings of equity and debt securities.

Adam Smith is a partner in the Washington, D.C. office of Gibson, Dunn & Crutcher and serves as co-chair of the firm’s International Trade Practice Group. He is an experienced international lawyer with a focus on international trade compliance and white collar investigations, including federal and state economic sanctions enforcement, CFIUS, the Foreign Corrupt Practices Act, embargoes, and export and import controls.

Patrick Stokes is a litigation partner in Gibson, Dunn & Crutcher’s Washington, D.C. office. He is the co-chair of the Anti-Corruption and FCPA Practice Group and a member of the firm’s White Collar Defense and Investigations, National Security, Securities Enforcement, Trials, and Litigation Practice Groups.

Sam Raymond is Of Counsel in the New York office of Gibson Dunn & Crutcher and a member of the White Collar Defense and Investigations, Litigation, Anti-Money Laundering, Fintech and Digital Assets, and National Security Groups. As a former federal prosecutor, Sam has a broad-based government enforcement and investigations practice, with a specific focus on investigations and counseling related to anti-money laundering, the Bank Secrecy Act, and sanctions.

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