Henry Klehm leads the Firm's Securities Litigation & SEC Enforcement Practice. He has more than 30 years of experience in major corporate investigations, civil and criminal enforcement actions, and related litigation throughout the world, including experience as a senior enforcement officer at the U.S. Securities and Exchange Commission (SEC), as a senior in-house lawyer at two global financial institutions, and as a public company director. He counsels boards, corporations, and financial institutions on cross-border internal investigations, crisis management, corporate governance, and effective compliance and ethics programs, as well as legal matters related to internal control, auditing, litigation loss contingencies (ASC 450), and whistleblowers.
Recent representations include public companies, audit and special committees, financial institutions, and senior corporate officers in investigations and litigation involving disclosure, complex financial products, financial reporting, the Foreign Corrupt Practices Act (FCPA), money laundering, and economic sanctions.
Prior to joining Jones Day, Henry was Deutsche Bank's global head of compliance and Prudential Financial's deputy general counsel for regulatory matters. He was with the SEC for 10 years, serving as head of enforcement for the northeastern United States for five years, where he investigated, litigated, and supervised more than 500 enforcement actions including insider trading, financial frauds, Ponzi schemes, rogue traders, market manipulations, and investment company and advisor matters.
Since 2006, Henry has served as an independent director of RenaissanceRe Holdings, an NYSE-listed catastrophe reinsurance firm. He is currently chair of the Compensation and Governance Committee and previously chaired the audit committee.
Henry frequently lectures on cross-border investigations, financial services, and corporate governance matters.
Experiencia
- June 13, 2019
2019 German Client Conference: New Challenges Crossing Borders - October 20, 2016
PLI's Broker/Dealer Regulation and Enforcement 2016 - October 22, 2015
Current Issues in Securities Enforcement, panelist, PLI Broker-Dealer Regulation and Enforcement - September 15, 2015
Executive Roundtable Series - Opportunities and Risks in the International Marketplace: Developments and Trends in International Trade, Export Controls, and Global Cybersecurity - May 15, 2015
Ethics for Financial Services Lawyers: What In-House Counsel Need to Know, Financial Services Roundtable, Lawyers Council Spring Meeting - April 30, 2015
Institute of International Bankers Annual Anti-Money Laundering Seminar, Practical Suggestions for Effective BSA/AML Compliance Programs - Various
Cross Border Internal Investigations and Crisis Management, guest lecturer, Fordham University School of Law - February 9, 2015
Current Issues in Corporate Compliance Programs, panelist, Fordham University School of Law Corporate Compliance and Corporate Governance Symposium - December 10-11, 2014
Brazilian Companies and the U.S. Foreign Corrupt Practices Act: Exploring the Reach of the FCPA - June 13, 2014
2014 Speaker Series: When Complaints Reach the Board: Bench and Bar Perspectives on Internal Corporate Investigations, the Use of Special Committees, and Judicial Oversight of Board Investigations - April 25, 2014
Corporate Crisis Management, panelist, ABA Sixth Annual Insitute on Internal Investigations and Forum for In-House Counsel - April 1, 2014
Antimoney Laundering Developments, panelist, 2014 SIFMA Compliance & Legal Annual Seminar - October 24, 2012
PLI’s Broker/Dealer Regulation and Enforcement 2012 - February 2, 2012
Globalization of Anti-Corruption Enforcement: Russia - October 26, 2011
PLI’s Broker/Dealer Regulation and Enforcement 2011 - August 11, 2011
The Dodd Frank P.S.: Living with Whistleblowers in a New Era of SEC Enforcement - August 7, 2011
Will There Be Mutiny on the Bounty? The Risks of the Dodd Frank Whistleblower Provisions for Global Business, American Bar Association - June 30, 2011
Managing Your Risk - Bribery, Corruption and Business Ethics - May 19, 2011
Jones Day MCLE University - Chicago - May 2011
Managing your Risk - Bribery, Corruption and Business Ethics - March 31, 2011
Regulation and Enforcement of Broker-Dealers & Investment Advisers, American Conference Institute - October 27, 2010
PLI’s Broker/Dealer Regulation and Enforcement 2010 - April 22, 2010
Enterprise Risk Management, 2010 Speaker Series - March 25, 2010
Knowing, Managing, and Measuring your Corporate Compliance Risks and Needs - Dallas - March 24, 2010
Knowing, Managing, and Measuring your Corporate Compliance Risks and Needs - Houston - June 2009
Recent Developments in U.K. Anti-Corruption Law - October 29, 2008
Coping with Broker/Dealer Regulation and Enforcement - June 10, 2008
Dealing with the Government, panelist, Practising Law Institute, Internal Investigations 2008: Legal, Ethical & Strategic Issues - June 10, 2008
Internal Investigations 2008: Legal, Ethical & Strategic Issues - April 16, 2008
Conducting Cross-Border FCPA Investigations, moderator, Global Anti-Corruption Compliance & Ethics Conference
- University of Pennsylvania (J.D. cum laude 1988; Special Projects Editor, Law Review; John M. Olin Foundation Fellow in Law & Economics); Villanova University (B.S. in Business [Finance] cum laude 1980)
- New York and Pennsylvania
- Served with the U.S. Securities and Exchange Commission, Enforcement Division Northeast Regional Office in the following positions: Senior Associate Regional Director (1996-1999), Senior Assistant and Assistant Regional Director (1993-1996), Branch Chief (1990-1992), and Staff Attorney (1989-1990)
Super Lawyers — securities litigation (2013-2014)
U.S. Representative to Interpol for Economic Crime (1997-1999)
Member, U.S. Delegation to the Financial Action Task Force (FATF) (1996-1997)
SEC's Stanley Sporkin Award (1997)
Federal Bar Council's Manuel Cohen Younger Lawyer Award (1992)
- Law Clerk to Hon. Daniel H. Huyett 3rd, U.S. District Court, Eastern District of Pennsylvania (1988-1989)