SEC Enforcement: An Update on the Latest Issues & Best Ways to Handle Them Webinar
Overview
SEC leadership changes, organizational restructuring, and shifting policy objectives reshape the SEC enforcement landscape including regulatory strategies. This course provides a practical update on recent SEC enforcement developments, organizational changes, leadership priorities, cooperation expectations, and emerging procedural developments affecting investigations and regulatory interactions. Participants will learn:
- Recent SEC enforcement initiatives, leadership changes, and policy shifts affecting the regulatory environment
- Current enforcement priorities, organizational changes, and emerging procedural trends
- Practical strategies and best practices for engaging with regulators and managing enforcement-related risk
This webinar qualifies for 1.5 CPE Credits in NASBA’s Accounting Field of Study.
Objective
To provide CPAs and other finance and compliance professionals with a practical update on current SEC enforcement developments, enabling them to better understand evolving regulatory priorities, assess enforcement risk, and prepare for effective engagement with government agencies and regulators.
Emphasis
- Leadership and the commission
- Navigating an investigation
– Where investigations come from
– Anatomy of an investigation - Enforcement priorities
– Insider trading
– Offering frauds
– Market manipulation
– Accounting and disclosure fraud
– Protection of retail investors
– Private funds and investment advisors - What is no longer a priority
– ESG disclosure cases
– Digital asset and crypto registration
– FCPA
– Cyber disclosure cases against victims
– Recordkeeping and off-channel sweeps
– Expansive and untested theories - The new accounting focus
– The financial reporting and accounting unit
– Accounting and auditing enforcement actions
– Individual accountability in financial reporting cases
– The PCAOB under new leadership - Process reforms
– The enforcement manual overhaul
– The end of “No-Deny”
Speakers
Jina Choi, Partner, Gibson Dunn
Michael Diamant, Partner, Gibson Dunn
Anne McKinley, Assistant Regional Director, Division of Enforcement, US Securities and Exchange Commission
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