Professional Experience Jim Bowers is director, Compliance Risk Services and practices in the areas of compliance risk management, corporate governance, ethics, and antitrust and securities law. In this capacity, Jim provides legal advice related to the numerous compliance and ethical requirements mandated under a variety of state and federal laws, as well as regulations and compliance best practices. Jim joined the firm after 25 years of legal and compliance experience at Aetna Inc. The last position he held at Aetna was vice president, corporate compliance, where Jim had broad responsibilities for compliance and ethics matters, including executive and board compliance counseling. Over the years, Jim also has functioned as senior antitrust and securities counsel. Prior to joining Aetna, Jim held a senior position in the Office of the General Counsel at the Securities and Exchange Commission and before that taught law at the University of South Carolina School of Law and Boston University School of Law. Representative Matters · Conducted compliance risk assessments and designed and implemented compliance programs for companies in multiple industries, including insurance, energy, transportation, and investment · Developed compliance governance charters and codes of conduct/ethics · Developed compliance and ethics training programs for directors, senior management, and employees · Implemented anti-money-laundering and anti-bribery controls to comply with the USA Patriot Act, Office of Foreign Assets Control rules, and Foreign Corrupt Practices Act · Provided export control and anti-boycott advice · Provided general antitrust, securities, and privacy law advice, and developed compliance guidelines to manage risks identified · Designed and implemented record-management/document-retention processes · Conducted Medicare and Medicaid compliance program reviews, including risk assessment, policy review, and training evaluation and design · Advised pension fund on protecting assets through implementation of risk-based investment management contract requirements and targeted investment manager compliance disclosures News, Publications & Presentations · Author, "Proposal to Update COSO's Internal Control Framework," Day Pitney Alert, January 3, 2012 · Speaker, "Mitigation Under FERC Penalty Guidelines," ACI's 5th National Forum on Energy Trading: Compliance & Regulatory Enforcement, Washington, DC, November 17-18, 2011 · Featured, "Lawyers of Color - High Achievers," Connecticut Law Tribune, September 26, 2011 · Author, "SEC Issues Rules Establishing Whistleblower Program," Day Pitney Alert, June 8, 2011 · Author, "Employers Beware of New Certification Requirement Before Employing Foreign Nationals," Day Pitney Alert, April 26, 2011 · Author, "Antitrust Agencies Propose "Safety Zone" for Accountable Care Organizations," Day Pitney Alert, April 7, 2011 · Speaker, "Amended Federal Sentencing Guidelines: Will Increased Clarity Translate to More Effective Compliance?" Minority Corporate Counsel Association 10th Annual Conference, Chicago, March 15-17, 2011 · "Connecticut's Insurance Department Issues Tough Notice Requirement for Data Breaches," Day Pitney Alert, September 13, 2010 · "How Effective Will Your Compliance Program Be After November 1, 2010," Day Pitney Alert, July 21, 2010 · Co-author, "Do the Red Flag Rules Apply Overseas?" Compliance Week, January 11, 2010 · Co-author, "FTC Delays Identity Theft Red Flags Rule for Fourth Time," Day Pitney Alert, November 2, 2009 · Co-author, "Investment Management Compliance Update: Placement Agents Under Fire," The Metropolitan Corporate Counsel, October 2009 · Co-author, "NY State Comptroller Bans Pension Fund "Pay-to-Play" Political Contributions," Day Pitney Alert, September 25, 2009 · Featured, "Minorities And The Law: Cracking Corporate America," Connecticut Law Tribune, August 31, 2009 · "Placement Agents Under Fire," Investment Management Compliance Update, August 18, 2009 · "Breaking News: FTC Grants Further Delay to Identity Theft Rule," Day Pitney Alert July 29, 2009 · "FTC Identity Theft Rule Compliance Date in Sight," Day Pitney Alert, July 28, 2009 · Speaker, "New Haven Reflects on the Inaugural," March 26, 2009 · Featured, "Delaware Court Upholds Business Judgment Rule," Compliance Week, March 16, 2009 · "Delaware Court Affirms Directors' Business Judgment in Handling the Current Financial Crisis," Day Pitney Alert, March 4, 2009 · "Enterprise Risk Management Provides Protection Against S&P Credit Rating Downgrade," The Metropolitan Corporate Counsel, February 2009 · "Enterprise Risk Management Provides Protection Against S&P Credit Rating Downgrade" Day Pitney Alert, January 6, 2009 · Speaker, "Insight on Oversight," Bank Audit Committee Conference, June 12-13, 2008 · Co-author, "Tough New Ethics Rules For Government Contractors," Day Pitney Alert, April 4, 2008 · Co-author, "SEC Admonishes Pension Funds to Implement Compliance Programs," Day Pitney Alert, March 26, 2008 · Co-author, "U.S. Supreme Court Raises the Bar for Antitrust Suits," Day Pitney Alert, May 24, 2007 · "Directors Avoid Compliance Liability -- Again," Day Pitney Alert, January 2, 2007 · Co-author, "Planning for a Data Security Crisis," ECOA Member Only Newsletter, November 2006 · Speaker, "Data Protection and Security," Ethics & Compliance Officer Association annual meeting, Salt Lake City, UT, October 4, 2006 · Co-author, "Cleaning E-House: New Federal Rules Effective at Year-End Suggest Action Now," DBH Alert, September 12, 2006 · Co-author, "Energy Risk & Markets - Waking Up To Compliance Risk," Public Utilities Fortnightly, September 2006 · Panelist, "The New Market Behavior Rules, How They Impact Market Manipulation, and FERC's Expanded Penalty Authority," Energy Bar Association's Sixtieth Annual Meeting, Washington, D.C., April 27, 2006 · Co-author, "Can an 'Ineffective' Compliance Program Violate the False Claims Act?" DBH Alert, December 1, 2005 · "Nine Steps to Bulletproof Director Personal Liability," Directorship, December 2005 · Speaker, "Compliance Risk Management," Prudential Insurance Company of America's 3rd Annual Risk Management Conference, Newark, NJ, November 1, 2005 · Co-author, "Enterprise Risk Management: New Tool or Repackaged Pabulum?" DBH Alert, July 14, 2005 · Co-author, "Arthur Andersen v. United States: No Excuse to Lower Your Guard on Document Retention Best Practices," DBH Alert, June 28, 2005 · "Regulatory Pressures Take a Bite Out of Company Profits," Corporate Legal Times, March 2005 · Co-author, "Organizational Sentencing Guidelines: The New Paradigm For Effective Compliance and Ethics Programs," November 2004 · Speaker, "Promoting Ethical Conduct Through Risk Management," Securities Forum 2004, Cromwell, CT, October 26, 2004 · Speaker "Compliance Risk Management: Emerging Approach for Structuring Compliance and Ethics Programs," Ethics Officer Association Annual Conference, Scottsdale, AZ, October 20, 2004 · Panelist, "Advising Your Client in the Age of Sarbanes-Oxley," Hispanic National Bar Association Annual Convention, New York, NY, October 10, 2004 · "An Emerging Approach For Structuring Compliance, Ethics Programs," Compliance Week, September 8, 2004 · Speaker, "Ethical Considerations for Lawyers Representing Corporations in Compliance Matters," ABA Annual Meeting, Atlanta, GA, August 7, 2004 · "DBH Launches Compliance Subsidiary," The Connecticut Law Tribune, June 28, 2004 · Co-author, "Compliance Programs to Detect And Prevent Crime: Amended Federal Sentencing Guidelines," DBH Alert, June 7, 2004 Professional Affiliations · Connecticut Bar Association, Business Law Section · American Bar Association, Antitrust Section Outside Interests · Board of Governors, Hartford Hospital · Senior Advisory Council, Harvard Law School Association · Director, YMCA of Greater Hartford · Board of Visitors, University of Hartford Libraries · Trustee and Chair, Audit Committee, Connecticut Bar Foundation (1997-2009) · Trustee and Chair, Finance Committee, Connecticut Landmarks (2000-2008) · Trustee and Chair, Educational Policies Committee, St. Joseph College (2000-2006) · President, Renbrook School (1993-2003) · President, Greater Hartford Legal Assistance (1989-1997) Awards and Achievements · Distinguished Service Award, Connecticut Bar Foundation (2011) · Member of Visiting Committee for Harvard Law School (2011) · Recognized by the Connecticut Law Tribune in the "Minorities and the Law: High Achievers" special section (2009 & 2011) · Lecturer, Yale Law School (1981-1982) · Lecturer, University of Connecticut School of Law (1981) · Attorney Fellow, Office of General Counsel, Securities and Exchange Commission (1977-1979) · Assistant professor, University of South Carolina School of Law (1973-1977) · Visiting professor, Boston University School of Law (1975) |