Investigative Due Diligence: A Practical Guide To What Directors Need to Know

Join director Wayne Yetter and K2 Intelligence’s Richard Plansky and Austin Berglas for a discussion on:

Investigative Due Diligence: A Practical Guide To What Directors Need to Know

Wednesday September 30, 2015 
2pm EDT/11am PDT 


(This webinar may be viewed on desktop, laptop and tablet devices.) 

 

Speakers: 
Speaker Name: 
Wayne Yetter
Speaker Title: 
Director, InfuSystem Holdings, Inc. (INFU), Special Diversified Opportunities Inc. (SDOI), and MTG Biotherapeutics, Inc.
Speaker Bio: 

Wayne had a 30 year career in the pharmaceutical industry and held executive positions at Pfizer, Merck, Astra-Merck (now AstraZeneca) and Novartis.  His roles included VP, Marketing Operations and VP Far East and Pacific at Merck, founding CEO of Astra-Merck, and President and CEO of Novartis Pharmaceuticals Corp., the US division of Novartis AG.  He also served as COO of IMS Health, a healthcare market research data company, and as Chairman and CEO of Synavant, Inc. “spin-out” of IMS.  He has served as Chairman or Lead Independent Director of several public companies including Noven Pharmaceuticals, Transkaryotic Therapies, Matria Healthcare, and most recently NuPathe Inc. (each of these companies was acquired).  Wayne is currently a director of InfuSystem Holdings, Inc. (INFU), Special Diversified Opportunities Inc. (SDOI), and MTG Biotherapeutics, Inc.

Speaker Photo: 
Speaker Name: 
Richard Plansky
Speaker Title: 
Executive Managing Director and Regional Head of the Americas, K2 Intelligence
Speaker Bio: 

Richard Plansky is Executive Managing Director at K2 Intelligence and Regional Head of the Americas, based in New York City.

Before joining K2, Richard was Senior Managing Director and Head of the New York office at Kroll Advisory Solutions, where he led the U.S. general investigations practice. At Kroll, he also played a key role in developing the firm’s Cyber Investigations practice.

Richard has an extensive background in corporate investigations, including fraud, intellectual property infringement, FCPA violations, and employee misconduct of all varieties. Other areas of particular expertise include fact-finding investigations in support of litigation, investigative due diligence, and investigations in the context of private schools, colleges, and universities. Richard has also led two ground-breaking undercover investigations on behalf of the City of New York that demonstrated the ease with which guns could be purchased by criminals at both gun shows and through the Internet.

Prior to working at Kroll, Richard was Deputy Criminal Justice Coordinator for the Mayor of the City of New York, where he supervised the development of numerous criminal justice initiatives. Prior to that, he served as an Assistant District Attorney for the District Attorney of New York County.

Richard’s work as a prosecutor has been featured on Court TV’s “Murder by the Book,” A&E’s “Cold Case Files,” and the Discovery Channel’s “The New Detectives.” He has also appeared as a commentator on Fox News Channel, CNBC, and TruTV and presented on trademark enforcement strategies at conferences sponsored by the International Ant-Counterfeiting Coalition and the U.S. State Department.

Richard received his J.D. degree from Harvard Law School and a B.A. degree in Psychology from Duke University.

Speaker Photo: 
Speaker Name: 
Austin Berglas
Speaker Title: 
Senior Managing Director and head of the U.S. Cyber Investigations and Incident Response, K2 Intelligence
Speaker Bio: 

Austin P. Berglas is Senior Managing Director and head of the U.S. Cyber Investigations and Incident Response practice at K2 Intelligence. He brings deep investigative experience in counter intelligence, national security, criminal cyber investigations and incident response to K2 Intelligence.

Before joining K2 Intelligence, Austin served as Assistant Special Agent in Charge (ASAC) of the Federal Bureau of Investigation’s (FBI) Cyber Branch in the New York Office (NYO), where he oversaw all national security and criminal cyber investigations in the largest cyber branch in the FBI. Among the high profile, joint and international operations he managed were the dismantlement of the Blackshades organization and seizures of numerous TOR based sites including Silk Road and Silk Road 2.0. Most recently, he led the criminal investigation into the computer network attack against JPMorgan Chase and established the Financial Cyber Crimes Task Force, the FBI’s first joint effort with the New York City Police Department (NYPD) and the Metropolitan Transportation Authority (MTA) to combat cyber threats and high technology crimes affecting New York City and the nation. Prior to being named ASAC of the NYO’s Cyber Branch, he was designated as an Assistant Inspector, Inspection Division, FBI Headquarters in Washington, D.C.

In May 2013, Austin was named Acting Special Agent in Charge (A/SAC) of the NYO’s Special Operations/Cyber Division, where he led over 400 employees in the largest technical and physical surveillance operation in the FBI, overseeing all investigations in the New York Cyber branch, an office he helped to create in 2009. As A/SAC, he was also responsible for the Special Events and Crisis Management Programs consisting of SWAT, Evidence Response, Underwater Search and Recovery, and Rapid Deployment. While at the FBI he has also served as supervisor of the New York Office Computer Crimes Squad/Cyber Crimes Coordinator, where he was responsible for the investigations into computer intrusions, intellectual property rights violations, and Internet fraud, extortion and gambling. In addition, he has served as the Crimes Against Children Coordinator in the FBI’s NYO, responsible for the coordination and investigation of crimes including international and domestic kidnapping, sex tourism, and the sexual exploitation of children over the Internet.

He has been rewarded for his work, receiving the FBI Director’s Award for Excellence in a Cyber Investigation in 2010 and the Voice for All Children Award presented by the Coalition Against Child Abuse and Neglect in 2006.

Prior to entering the FBI in 1999, Austin was a Captain in the United States Army serving in various roles as a light cavalry officer and deploying to Haiti in 1995 in support of Operation Uphold Democracy.

He received his B.S. from Dickinson College and has participated in Navigating Strategic Change hosted at the Kellogg School of Management at Northwestern University.

Speaker Photo: 
Speaker Name: 
Jim Kristie
Speaker Title: 
Editor and Associate Publisher, Directors & Boards
Speaker Bio: 

Jim Kristie is editor and associate publisher of Directors & Boards, the only major independently-owned journal of corporate governance thought leadership in North America.  He is the longest-tenured editor (at 30 years) serving this field.  In addition to his editorial duties, Jim teaches journalism at Temple University.

Speaker Photo: 
Benefits: 
  • 60 minutes--maximum value for time
  • Completely free to attend
  • Time for questions and comments
  • All participants receive a copy of the webinar materials after the event
  • Unbiased third party director education
Sponsor: 
K2 Intelligence

Investigative due diligence is about finding the answers that a financial or legal analysis cannot.  This gathering of intelligence can help the board make more informed decisions tied to business risks, among them:  the risks associated with corporate transactions such as mergers, financings or IPOs; the risks associated with new business relationships such as new board members, executive team members, or the formation of strategic partnerships; or and the risks associated with the protection of critical information systems and processes, such as cyber preparedness and incident response plans.


When the stakes are high, companies need to be confident that there are no surprises waiting to be uncovered by shareholders, the media, or the government.  Among the key topics that will be addressed are:

•         M&A due diligence, including successor liability issues
•         Character, integrity, and reputational risk issues 
•         Activist investors 
•         Cyber due diligence 
•         Supply chain and third party vendor risk, compliance and corruption


Speakers

Wayne Yetter

Director, InfuSystem Holdings, Inc. (INFU), Special Diversified Opportunities Inc. (SDOI), and MTG Biotherapeutics, Inc.

Wayne had a 30 year career in the pharmaceutical industry and held executive positions at Pfizer, Merck, Astra-Merck (now AstraZeneca) and Novartis.  His roles included VP, Marketing Operations and VP Far East and Pacific at Merck, founding CEO of Astra-Merck, and President and CEO of Novartis Pharmaceuticals Corp., the US division of Novartis AG.  He also served as COO of IMS Health, a healthcare market research data company, and as Chairman and CEO of Synavant, Inc. “spin-out” of IMS.  He has served as Chairman or Lead Independent Director of several public companies including Noven Pharmaceuticals, Transkaryotic Therapies, Matria Healthcare, and most recently NuPathe Inc. (each of these companies was acquired).  Wayne is currently a director of InfuSystem Holdings, Inc. (INFU), Special Diversified Opportunities Inc. (SDOI), and MTG Biotherapeutics, Inc.

Richard Plansky

Executive Managing Director and Regional Head of the Americas, K2 Intelligence

Richard Plansky is Executive Managing Director at K2 Intelligence and Regional Head of the Americas, based in New York City.

Before joining K2, Richard was Senior Managing Director and Head of the New York office at Kroll Advisory Solutions, where he led the U.S. general investigations practice. At Kroll, he also played a key role in developing the firm’s Cyber Investigations practice.

Richard has an extensive background in corporate investigations, including fraud, intellectual property infringement, FCPA violations, and employee misconduct of all varieties. Other areas of particular expertise include fact-finding investigations in support of litigation, investigative due diligence, and investigations in the context of private schools, colleges, and universities. Richard has also led two ground-breaking undercover investigations on behalf of the City of New York that demonstrated the ease with which guns could be purchased by criminals at both gun shows and through the Internet.

Prior to working at Kroll, Richard was Deputy Criminal Justice Coordinator for the Mayor of the City of New York, where he supervised the development of numerous criminal justice initiatives. Prior to that, he served as an Assistant District Attorney for the District Attorney of New York County.

Richard’s work as a prosecutor has been featured on Court TV’s “Murder by the Book,” A&E’s “Cold Case Files,” and the Discovery Channel’s “The New Detectives.” He has also appeared as a commentator on Fox News Channel, CNBC, and TruTV and presented on trademark enforcement strategies at conferences sponsored by the International Ant-Counterfeiting Coalition and the U.S. State Department.

Richard received his J.D. degree from Harvard Law School and a B.A. degree in Psychology from Duke University.

Austin Berglas

Senior Managing Director and head of the U.S. Cyber Investigations and Incident Response, K2 Intelligence

Austin P. Berglas is Senior Managing Director and head of the U.S. Cyber Investigations and Incident Response practice at K2 Intelligence. He brings deep investigative experience in counter intelligence, national security, criminal cyber investigations and incident response to K2 Intelligence.

Before joining K2 Intelligence, Austin served as Assistant Special Agent in Charge (ASAC) of the Federal Bureau of Investigation’s (FBI) Cyber Branch in the New York Office (NYO), where he oversaw all national security and criminal cyber investigations in the largest cyber branch in the FBI. Among the high profile, joint and international operations he managed were the dismantlement of the Blackshades organization and seizures of numerous TOR based sites including Silk Road and Silk Road 2.0. Most recently, he led the criminal investigation into the computer network attack against JPMorgan Chase and established the Financial Cyber Crimes Task Force, the FBI’s first joint effort with the New York City Police Department (NYPD) and the Metropolitan Transportation Authority (MTA) to combat cyber threats and high technology crimes affecting New York City and the nation. Prior to being named ASAC of the NYO’s Cyber Branch, he was designated as an Assistant Inspector, Inspection Division, FBI Headquarters in Washington, D.C.

In May 2013, Austin was named Acting Special Agent in Charge (A/SAC) of the NYO’s Special Operations/Cyber Division, where he led over 400 employees in the largest technical and physical surveillance operation in the FBI, overseeing all investigations in the New York Cyber branch, an office he helped to create in 2009. As A/SAC, he was also responsible for the Special Events and Crisis Management Programs consisting of SWAT, Evidence Response, Underwater Search and Recovery, and Rapid Deployment. While at the FBI he has also served as supervisor of the New York Office Computer Crimes Squad/Cyber Crimes Coordinator, where he was responsible for the investigations into computer intrusions, intellectual property rights violations, and Internet fraud, extortion and gambling. In addition, he has served as the Crimes Against Children Coordinator in the FBI’s NYO, responsible for the coordination and investigation of crimes including international and domestic kidnapping, sex tourism, and the sexual exploitation of children over the Internet.

He has been rewarded for his work, receiving the FBI Director’s Award for Excellence in a Cyber Investigation in 2010 and the Voice for All Children Award presented by the Coalition Against Child Abuse and Neglect in 2006.

Prior to entering the FBI in 1999, Austin was a Captain in the United States Army serving in various roles as a light cavalry officer and deploying to Haiti in 1995 in support of Operation Uphold Democracy.

He received his B.S. from Dickinson College and has participated in Navigating Strategic Change hosted at the Kellogg School of Management at Northwestern University.

Jim Kristie

Editor and Associate Publisher, Directors & Boards

Jim Kristie is editor and associate publisher of Directors & Boards, the only major independently-owned journal of corporate governance thought leadership in North America.  He is the longest-tenured editor (at 30 years) serving this field.  In addition to his editorial duties, Jim teaches journalism at Temple University.


Benefits

  • 60 minutes--maximum value for time
  • Completely free to attend
  • Time for questions and comments
  • All participants receive a copy of the webinar materials after the event
  • Unbiased third party director education

Sponsor

K2 Intelligence