SEC Enforcement: An Update on the Latest Issues & Best Ways to Handle Them Webinar
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Overview
This session examines recent developments in SEC enforcement policy: shifting priorities, changing regulatory philosophies, and their implications for organizations and professionals. You’ll learn how to:
- Understand regulatory investigation processes
- Strengthen compliance awareness and response strategies
- Evaluate how enforcement trends affect corporate compliance programs and risk management
Objective
To provide CPAs and other finance professionals with an understanding of current SEC enforcement trends so they can better assess risk and support organizational compliance efforts.
Emphasis
- Changes to SEC leadership and policies
- Shifting enforcement priorities and developments
- Voluntary dismissal of prior litigation
- The Wells Process and greater transparency
Speakers
Michael Diamant, Partner, Gibson Dunn
Osman Nawaz, Partner, Gibson Dunn
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View SubscriptionsPrerequisite
None
Level of Knowledge
Update
CPE Credits
1
Hour
NASBA Field of Study
Accounting