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.
AGENDA HIGHLIGHTS
• SEC Enforcement History
– SOX
– Coordination with PCAOB
– Use of Big Data in searches
• Recent Trends & Developments
– Emphasis on corporate responsibility
– Monetary penalties
– ESG
– Potential accounting issues
– SPACs
– Russia/Ukraine related developments
– Crypto/digital asset offerings
– Cyber risks and related disclosures
– Whistleblower incentives and protections
• Financial Reporting Enforcement Trends
– Accounting and auditing enforcement cases
– Expanding scope of AAERs
• Best Practices for Accounting & Reporting Compliance
– Proactive
– Reactive
• Common Mistakes Public Companies Make in SEC Investigations
• Whistleblower Program Update
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 Selt-Study.
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
Detailed Learning Objectives
• RIdentify the current SEC commissioner
• Recognize where SEC investigations originate
• Recognize examples of rulemaking developments coming from the SEC
• Identify when the new cybersecurity disclosure rules were adopted
• Recognize the DOJs opinion on employee messaging practices
• Recognize the amount of the single largest whistleblower award
• Identify the types of laws that apply to whistleblower claims
• Recognize the definition of retaliation
• Identify examples of non-monetary SEC remedies