In this annual webcast, our panel will analyze key developments in SEC enforcement and notable events from 2015, and will discuss what to look for in 2016. Among other items, the panel will address:
•Results of litigation and current issues arising from SEC administrative proceedings;
•Actions involving financial fraud, gatekeepers, market structure, and investment management;
•The impact of the Whistleblower Program, use of technology, and requiring admissions in settlements;
•Significant “first ever” cases in a broad range of areas; and much more
In this annual webcast, our panel will analyze key developments in SEC enforcement and notable events from 2014, and will discuss what to look for in 2015. Among other items, the panel will address:
--Results of litigation and the shift toward the use of administrative law judges;
--The status of the Financial Reporting and Audit Task Force and SEC accounting initiatives;
--Significant “first ever” cases;
--The SEC’s “force multipliers,” such as increased focus on technology and whistleblowers; and much more.
Please join panelists Bill McLucas and Doug Davison, securities partners at Wilmer Cutler Pickering Hale and Dorr LLP; and Marty Wilczynski and Jason Flemmons, Senior Managing Directors with FTI Consulting as they address these and other developments in SEC enforcement.
In this webcast analyzing key developments in SEC enforcement, our panel will discuss notable events from 2013 and emerging issues for 2014. Among other items, the panel will address:
•The SEC’s shift towards requiring admissions, rather than no-admit-no-deny settlements;
•The increased use of analytic technology to identify fraud;
•The renewed focus on enforcement against “gatekeepers;”
•Results of litigating with the SEC; and much more.
Please join panelists Bill McLucas and Doug Davison, securities partners at Wilmer Cutler Pickering Hale and Dorr LLP; and Marty Wilczynski and Jason Flemmons, Senior Managing Directors with FTI Consulting Forensic and Litigation Consulting, as they address these and other developments in SEC enforcement.
Eliot Spitzer discusses the role of the SEC and the effects of potential regulations.Read more >
The risk for public companies and senior management becoming the subject of a financial fraud investigation by the Securities and Exchange Commission has never been greater. Mary Jo White, the SEC’s Chair, and the SEC’s Director of Enforcement, Andrew Ceresney, have publicly stated that financial fraud cases are a programmatic priority for the Commission. Indeed, the Commission has formed a Fraud and Audit Task Force to proactively identify potential schemes. Moreover, the Commission officials have routinely touted the Commission’s data analytic capabilities for detecting anomalies and red flags and have encouraged collaboration internally within the Commission and with other regulators.
This webcast will provide insights to all those in the financial reporting process including attorneys, accountants and other professionals preparing or auditing financial statements, investigating allegations of accounting misstatements or defending targets of investigations and lawsuits. Senior management, audit committee members and independent auditors are especially at risk given that the Commission has signaled a desire to bring enforcement action against gatekeepers. Consequently, it is important to understand what the Commission will be examining and how to respond when the Enforcement Division comes knocking.
The webcast will focus on the sources of the government’s investigations, hot accounting topics, process for investigating financial fraud allegations and the government’s expectations for responding to allegations of financial fraud. You will get insights on how to manage expectations of the board of directors and independent auditors as well as strategies for defending companies and individuals. Additionally, this webcast will cover cross border considerations, lessons from recent enforcement cases, and related class action lawsuits.
This past year was an eventful one for the SEC Division of Enforcement. In this webcast analyzing key developments in SEC enforcement, our panel will discuss notable events from 2012 and emerging issues for 2013.
Among other items, the panel will address:
--the SEC’s continued focus on insider trading and financial crisis cases;
--developments involving the SEC whistleblower program, cooperation initiative and settlement process;
--appellate and district court litigation trends; and much more.
Please join panelists Andrew Vollmer and Doug Davison, securities partners at Wilmer Cutler Pickering Hale and Dorr LLP, and Jason Flemmons, senior managing director, FTI Consulting Forensic and Litigation Consulting, as they address these and other developments in SEC enforcement.
You asked for it, we delivered it! EMC reinforces its commitment to the Atmos Object Storage Platform with NEW Atmos SEC Compliance via REST, enhanced security features and flexible hardware options for the Atmos 2.1 platform.
Join Jason Brown, EMC Atmos Product Manager for an in depth tour of these new features, plus a sneak preview of the future of Object Storage.
•NEW SEC Compliance via REST: SEC 17a-4f compliance standard for REST data
•Tighter Security and Control: Password protection added to the Atmos system management database to prevent unauthorized access. New ability to define two shared secrets for a single UID.
•Flexible Hardware Options: NEW G3-FLEX-240 comprised of a single 40U rack with flexible 4, 6, or 8 nodes configurations with a 1:30 server to drive ratio
•Enhanced administrative, monitoring, and replication enhancements, including UID / subtenant deletion
Although the numbers of accounting cases brought by the SEC’s Division of Enforcement have been in decline during the recent past, accounting activity within the Division is continuing at an increasing level. In this webcast, the Chief Accountant of the SEC’s Division of Enforcement joins a panel of experts to analyze the current state of the SEC’s enforcement efforts in the areas of accounting and auditing and where the SEC is focusing its efforts going forward.
Our panel will examine recent accounting cases in key areas including improper revenue recognition, cross border matters, impairment and disclosure issues relating to loans and securities, auditor liability and independence, materiality, and internal controls. The panel will also discuss initiatives, priorities and litigation developments within the Enforcement Division’s Office of the Chief Accountant.
Please join Howard Scheck, Chief Accountant of the Division of Enforcement; William R. Baker III, Partner at Latham & Watkins and former Associate Director of Enforcement at the SEC; and Lisa Troe, Senior Managing Director at FTI Consulting and a former Regional Chief Enforcement Accountant with the SEC’s Los Angeles Regional Office as they address these issues and your questions in a free webcast.
The SEC announced record enforcement results in 2011 and featured its work in bringing insider trading cases and CDO cases against broker-dealers and investment advisers. Many other notable items occurred during the year, including:
--Supreme Court decisions on elements of fraud cases.
--Auditor regulation issues.
--Developments in the SEC enforcement process.
--Developments in the settlement process.
Please join panelists, Andrew Vollmer and Douglas Davison, securities partners at Wilmer Cutler Pickering Hale and Dorr LLP, and Marty Wilczynski, Senior Managing Director – Forensic Litigation at FTI Consulting, Inc., as they address these and other developments in SEC enforcement during a free, one-hour webcast.
The SEC's new rules for the whistleblower bounty program, authorized by the Dodd-Frank Act, present a sea change for the way companies and financial institution manage and respond to whistleblowers, conduct internal investigations, and interact with the SEC. Please join us as we answer:
- What do the SEC whistleblower rules really mean?
- What compliance policies and procedures must be considered to address whistleblowers?
- How will the whistleblower rules affect internal investigations?
- What will the whistleblower rules mean for SEC Enforcement actions?
For this highly informative webcast we have all-star panel with representatives from the SEC, corporate America, and private law practice. This is a must attend program for in-house legal and compliance professionals, executives and managers, and practicing lawyers who deal with compliance or will be involved in creating their organization's whistleblower policies.
The government is visibly ramping up its enforcement efforts related to financial crimes.
In recent days, for example, SEC Commissioner Luis Aguilar stated that the agency is now investigating the "disturbing trend" of Chinese and other companies registered through backdoor mergers with dormant shell companies. "While the vast majority of these companies may be legitimate businesses, a growing number of them have accounting deficiencies or are outright vessels of fraud," Commissioner Aguilar said.
The SEC has also ramped up its enforcement efforts in the area of financial fraud at asset management firms, and has established a specialized unit within its Enforcement Division devoted to that function. This unit will spell “trouble with a capital T’’ for fund managers, according to legal experts.
More broadly, the SEC is also now working more closely than ever with the DOJ, and with task forces in key U.S. Attorney’s Offices such as New York, Virginia and New Jersey, to help identify and aggressively prosecute financial fraud.
Participants of this webinar will learn about recent SEC actions and the legal framework of accounting and financial fraud. In addition, we will address the common types of accounting fraud and the damages that arise as a result, illustrated by a case study.
Ray Boisvert, President and CEO of I-Sec Integrated Strategies (ISECIS)
Sheldon Shaw, Cyber Analytics Specialist, SAS
Dell- Beat Again (30 sec)Read more >
Allegations of securities fraud continue to dominate the financial media. A panel of securities experts from Analysis Group and Steptoe & Johnson LLP will explore trends emerging in white collar criminal and securities regulatory cases, including: - Trends in insider trading cases; - Current status of Ponzi scheme prosecutions; - SEC Enforcement Division initiatives - the Goldman case - New perspectives on issues of materiality, the quality of disclosure, and apportionment of risk - The role -- and qualifications -- of fact witnesses Our panelists will draw on case experience, including the high-profile Bear Stearns hedge fund managers criminal trial, United States v. Cioffii.Read more >
Sean McKessy and Vincente Martinez are the heads of the newly-established Whistleblower Offices at the Securities and Exchange Commission and the Commodity Futures Trading Commission, respectively. At their agencies, McKessy and Martinez lead critical, high-profile programs established under Dodd-Frank that are designed to pay awards to individuals who voluntarily provide original information about violations of the securities laws.
The new whistleblower rules have generated a huge number of questions for individuals and companies as to how the rules will be implemented and how they may impact existing compliance programs. In this webcast, the two men who are responsible for running these Whistleblower Offices will explain how the programs work, and how the new whistleblower rules may affect the role of compliance professionals and the internal reporting process. Topics will include:
•How the rules incentivize whistleblowers to report internally;
•How the rules affect the ability of compliance personnel to become whistleblowers;
•How the rules vary depending on the strength of an entity’s compliance and control environment;
•How the rules can serve as the incentive to build more robust compliance programs; and
•McKessy’s assessment of the progress of the SEC’s Whistleblower Office as he completes his first year as Chief of the Office.
Please join Sean McKessy, Chief, Office of the Whistleblower; and Vincente Martinez, Director, Whistleblower Office, U. S. Commodity Futures Trading Commission, as they address these issues and your questions in a one-hour webcast.
2009 has ushered in a host of changes at the SEC, especially within the Division of Enforcement, which has been the subject of harsh criticism from the media, Congress, and its own inspector general in the wake of the subprime credit market meltdown and the Madoff scandal. Under the leadership of a new Chairman, Mary Schapiro, and a new Director, Robert Khuzami, the Enforcement Division has implemented some of the most sweeping changes in recent years. Join panelists Bill McLucas of Wilmer Hale and Marty Wilczynski of FTI Consulting as they address these and other developments in the SEC Division of Enforcement during a free, one-hour webcast.Read more >
Due to the widespread adoption and use of cloud applications, a burgeoning mobile workforce and the rise in APTs, endpoint risks have become more prevalent and a challenge to manage. Indeed, endpoint penetrations and breaches take only minutes to occur. An effective endpoint detection & response solution is critical to a timely response, as is properly trained incident response team. Join Guidance Software and (ISC)2 on August 6, 2015 at 1:00PM Eastern for a discussion on EDR and the need for effective Incident Response and automation to hasten mitigation.Read more >
October 13, 2011 saw the release of the Securities and Exchange Commission's guidance on the reporting of material cyber security breaches. Consistent with regulations which address financial reporting, this guidance calls for publicly-traded companies to disclose breach information to current and prospective investors. Such disclosure may include discussion of service providers associated with the event.
This session will summarize the disclosure guidance and discuss its implications to both the business and the incident response team. A collaboration model will be discussed wherein a business representative can work with the IR team to evaluate incident materiality, allowing the business to address this guidance efficiently. The implications of of the Dodd-Frank Act in light on this guidance will also be discussed.
Wishful thinking or a cursory security assessment may have worked in the past but dealing with persistent and advanced threats requires an equally sophisticated and mature approach.
While APT’s are on the rise and the use of zero-day vulnerabilities can be one of the weapons for such attacks, reality is that the large majority of incidents – advanced or not – occur using known vulnerabilities. Resolving these is, therefore, paramount to reducing the attack surface for cyber criminals.
Join Amar as he shares his tips on adopting a mature and continuing vulnerability management process that can help organizations reduce risk and be better prepared to respond to APT’s.
On April 28, 2009, KPMG Forensic is sponsoring a webcast entitled "Inside the SEC Enforcement Division: Current and Former SEC and DOJ Prosecutors Discuss Important Changes Ahead" that will feature George Curtis, the Deputy Director of the SEC's Division of Enforcement. Curtis, Pam Parizek of KPMG Forensic, and David Seide of the law firm Curtis, Mallet-Prevost, Colt & Mosle LLP will lead a discussion on the extraordinary challenges now posed to the financial markets and individual investors, the steps being taken by the SEC's Division of Enforcement to address them, and the significant impact these changes will have now and in the future.
The panel will discuss initiatives now being carried out at the SEC under the new leadership of Mary Schapiro and Robert Khuzami with respect to both key internal processes and the Enforcement Division's fundamental priorities. The panel will also explore how these initiatives will impact regulated entities and their executives, as well as their advisers such as attorneys and auditors. The implications for "gatekeepers" and the challenges for corporate management that must now navigate heightened scrutiny in areas such as the FCPA, international issues, and overall compliance and monitoring will all be discussed.
Please join George Curtis, Pam Parizek, and David Seide as they address these topics as well as your questions in a free, one-hour webcast. The webcast will be moderated by Securities Docket's Bruce Carton.