SEC Enforcement: An Update on the Latest Issues & Best Ways to Handle Them Self-Study Webinar
Overview
This self-study webinar 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.
DETAILED LEARNING OBJECTIVES
• Identify Chairman Atkins’s core enforcement philosophy and its focus on traditional fraud and investor harm
• Recognize the SEC’s foundational mission of investor protection, fair markets, and capital formation
• Understand the current organizational structure of the SEC’s Division of Enforcement
• Differentiate between enforcement priorities under prior SEC leadership and current leadership
• Explain the purpose and focus of the SEC’s Cross-Border Task Force
• Describe the role of the SEC’s Examinations Division in supporting enforcement activities
• Identify recent SEC enforcement trends related to crypto-related litigation
• Understand enhanced transparency and information-sharing expectations in the Wells process
• Analyze trends in SEC enforcement activity levels in fiscal year 2025
• Recognize common characteristics of recent large-scale fraud enforcement actions
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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