SEC Enforcement: An Update on the Latest Issues & Best Ways to Handle Them Webinar (1.5 Hours)

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SEC Enforcement: An Update on the Latest Issues & Best Ways to Handle Them Webinar (1.5 Hours)

CPE Credit: 1.5 Hours

Price: $129.00

NASBA Field of Study: Accounting

 

Overview

In this webinar taken from our SEC Conference, you will discover the latest issues that the SEC is targeting, what factors trigger investigations and enforcement actions, and the possible outcomes.
 

AGENDA HIGHLIGHTS


  SEC Leadership & Enforcement Highlights

  Enforcement Process
   – Chronology
   – Investigations sources
   – Remedies in corporate cases

  Current Trends & Developments
   – Recent priorities

      – Extensive rulemaking
      – Wide-ranging enforcement
   – Accountability
   – Earnings management
   – Non-GAAP Measures
   – Internal Controls
   – Insider trading
   – ESG
   – Cybersecurity
   – Clawbacks
   – Retaliation

 

LEARNING OBJECTIVE  To update accountants and other financial professionals on the latest SEC enforcement issues, and show them
the best ways to avoid problems and handle SEC investigations.

PREREQUISITE  None.    ADVANCE PREPARATION  None.    PROGRAM LEVEL  Update.   NASBA FIELD OF STUDY  Accounting.
DELIVERY METHOD  Group Internet-Based.

 

Speakers

SPEAKERS


Anne McKinley, Assistant Regional Director, Division of Enforcement, SEC

Brad Mroski, Managing Director, AlixPartners, former Assistant Chief Accountant, Division of Enforcement, SEC

John Sikora, Partner, Latham & Watkins LLP, formerly in the SEC's Enforcement Division

Workshop

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Forum

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