SEC Enforcement Issues: An Update on the Latest Issues & the Best Ways to Handle Them Self-Study Webinar (2 Hours)

SEC Enforcement Issues: An Update on the Latest Issues & the Best Ways to Handle Them Self-Study Webinar (2 Hours)

CPE Credit: 2 Hours

Price: $129.00

NASBA Field of Study: Accounting

 

Overview

In this self-study 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


  SEC Enforcement Actions, Penalties, Trends & Priorities

•  Sources of Investigations
   – SEC Whistleblower Program
   – Division referrals
   – Proactive enforcement efforts
   – Public information (news, analysts, etc.)
   – Self-reporting
   – Other regulators, such as FINRA and stock exchanges

•  SEC Investigation Process
   – Arsenal of SEC enforcement weapons
   – Focus on conduct of individuals
   – SEC financial reporting enforcement trends
   – Examples of specific risks for initiation of SEC investigations
   – SEC accounting investigation objectives
   – Some areas SEC investigators will scrutinize
   – Key considerations
   – Best practices for accounting and reporting compliance
   – Common mistakes made by public companies

•  Financial Reporting & Audit Group

•  Foreign Corrupt Practices Act (FCPA)

•  SEC Focus on Cyber: Disclosure & Internal Controls

 

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  Self-Study.

Speakers

SPEAKERS


Ivan Harris, Partner, Morgan, Lewis & Bockius LL

Jessica Matelis, Attorney, Securities Enforcement & Litigation, Foley & Lardner

 

Detailed Learning Objectives

Identify the SEC’s overall approach to enforcement messaging to marketplace participants

Identify the amount of FY 2019 penalties and disgorgements obtained by the SEC from marketplace participants

Recognize those individuals the SEC considers individually accountable for issuers’ financial transparency

Recognize the monetary sanction threshold for receipt of a financial award under the SEC’s whistleblower program

Recognize the trending degree of activity within the SEC’s whistleblower program

Identify those enforcement weapons at the disposal of the SEC enforcement division

Recognize the relative degree to which the SEC charged individuals when taking stand-alone enforcement actions

Identify individual SEC accounting investigation objectives

Identify the current SEC accounting areas of focus

Identify the investigative approaches utilized by the SEC’s Financial Reporting and Auditing Group