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

Topic Photo

Qualifies for Year-Long Passes!

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. You will also learn the best ways to avoid trouble and how to handle SEC investigations and enforcement actions if they do come your way.
 

AGENDA HIGHLIGHTS


  ESG, SPAC & COVID Related Considerations
   – Internal controls

   – Accounting matters
   – Insider trading

  SEC Enforcement Actions & Penalties
   – SEC enforcement trends
   – Sources of SEC investigations
   – Chronology of SEC investigation process
   – Arsenal of SEC enforcement weapons
   – Focus on conduct of individuals
   – Financial reporting enforcement trends
   – Accounting areas of focus
   – Examples of specific risks for initiation of SEC investigations
   – SEC accounting investigation objectives
   – Areas of scrutiny
   – Key considerations
   – Best practices for accounting and reporting compliance

  Common Mistakes Public Companies Make in SEC Investigations

  Financial Reporting & Audit Group
   – SEC whistleblower program update
   – Creating a whistleblower-friendly environment
   – Recent accounting and reporting case examples

  Examples of Specific Risks for Initiation of SEC Investigations

 

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.

 

This live webinar is also available as a self-study webinar
SEC Enforcement Issues: An Update on the Latest Issues & the Best Ways to Handle Them Self-Study Webinar (2 Hours)

Speakers

SPEAKERS


Jose A. Lopez, Partner, Perkins Coie LLP, former Senior Enforcement Attorney, SEC

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

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

Workshop

No results found.

Forum

No results found.