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


  COVID-19 Related Considerations
   – COVID-19 Risk Factors

  SEC Enforcement Actions and Penalties
   – SEC enforcement trends
   – Sources of SEC investigations
   – Chronology of SEC investigation process
   – Arsenal of SEC enforcement weapons
   – Focus on conduct of individuals
   – Financial reporting enforcement trends
   – Accounting areas of focus
   – Examples of specific risks for initiation of SEC investigations
   – SEC accounting investigation objectives
   – Areas of scrutiny
   – Key considerations
   – Best practices for accounting and reporting compliance

  Financial Reporting & Audit Group
   – SEC whistleblower program update
   – Creating a whistleblower-friendly environment
   – Recent accounting and reporting case examples

 

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


Jina Choi, Partner, Securities, Enforcement and White Collar Defense, Morrison & Foerster LLP

Meaghan Schmidt, Managing Director, AlixPartners

Erin Schneider, Regional Director, Division of Enforcement, SEC

Detailed Learning Objectives

• Identify COVID-19 related risk factors noted by the SEC

Identify the total dollar amount of penalties and disgorgements collected by the SEC in FY 2020

Identify those individuals considered by the SEC to be accountable for financial reporting as financial “gatekeepers”

Recognize current SEC accounting areas of focus

Identify SEC accounting investigation objectives

Identify best practices for accounting and reporting compliance

Recognize the characteristics of the Financial Reporting and Audit Group (FRAud)

Recognize the sanction threshold for qualifying as a whistleblower eligible for a reward from the SEC

Identify recent trends in the SEC’s whistleblower program