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: 2.5 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.
 

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