6th Annual Corporate Governance and Disclosure Seminar

Cleary Gottlieb Steen & Hamilton LLP

November 28, 2007

Agenda, Panelists and Course Materials

Ritz-Carlton Hotel, Battery Park

2 West Street, New York City

Program of Events

Panelists and Biographies

Guest Speakers

William D. Anderson
Managing Director, Goldman Sachs & Co.
Daniel H. Burch
Chairman & CEO, MacKenzie Partners, Inc.
Brian Richson
Partner, PricewaterhouseCoopers LLP
Carol A. Stacey
Vice President, The SEC Institute

Cleary Gottlieb attorneys

David M. Becker
Former SEC General Counsel
Alan L. Beller
Former Director, Division of Corporation Finance

Robin M. Bergen
David E. Brodsky

Nicolas Grabar
Ethan A. Klingsberg

Daniel S. Sternberg
Breon S. Peace
Giovanni P. Prezioso
Former SEC General Counsel

Course Materials

Table of Contents
Speaker Biographies Tab 1

Restatements

Correcting Errors and Living through a Restatement no tab
Collateral Implications on Restatements Tab 2

Section 10A - Audit Requirements Tab 3

Form 8-K, Item 4.02 Tab 4

Excerpts from Accounting Literature Tab 5

SEC Staff Accounting Bulletin: No. 99 - Materiality Tab 6

Staff Accounting Bulletin No. 108 Tab 7
Letter from SEC Chief Accountant Tab 8
Sample SEC Letter Tab 9

Internal Investigations

Key Questions in Counseling a Board of Directors in Internal Investigations Tab 10
Board of Director Considerations in Preventing and Investigating Misconduct Tab 11
McNulty Memorandum Tab 12
Statement of SEC Concerning Financial Penalties Tab 13
Seabord Report Tab 14

Shareholder Activism

Proxy Fights 2007 Tab 18

Other Current Developments

SEC and PCAOB Rules on Internal Controls Tab 19
Communication with Financial Analysts and Related Disclosure Issues Tab 20
Amendments to Rules 144 and 145 Tab 21

Advantage Materials

Restatements

Select Lawyer Links Topic Pages

Restatements

1934 Act Disclosure Topic Pages

Other Select Topic Pages

Internal Investigations

Select Lawyer Links Topic Pages

Internal investigations

Attorney-Client Privilege

Director Fiduciary Duties

Disney Fiduciary Duty Litigation

Thompson - McNulty memoranda

SEC enforcement

Shareholder Activism

Select Lawyer Links Topic Pages

Shareholder Access

Rule 14a-8
AFSCME v AIG
Shareholder face-to-face meetings Pfizer
Electronic shareholder forums Verizon, AMERCO

Shareholder Proposals

Shareholder Voting

Broker votes NYSE Rule 452

Empty voting Vote buying
Majority voting

Advantage Quick Reference Guide

Advantage utilizes Topic Pages

To aggregate primary sources using hyperlinks

Statutes, rules, cases and interpretations
Precedent examples e.g., SEC filings, merger agreements

Easy-to-use

Click on icons to open boxes and dropdowns
Click on links to access Topic Pages and source material
Use Topics and Index in upper left to navigate

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