With the change in administration and the replacement of SEC Chair White, the state of SEC enforcement is in flux, and public companies are pressed to reevaluate how they deal with regulators and manage internal processes. This webcast will provide an in-depth examination of the projected 2017 areas of SEC focus, as well as an overview of how in-house counsel and finance teams can avoid missteps in this evolving financial reporting landscape.
This program and Q&A session will be presented by SEC investigations and white collar defense attorney Nicolas Morgan from the law firm of Paul Hastings LLP, and forensic accounting, regulation and compliance expert Jean Chow-Callam of FTI Consulting. The presenters also will discuss steps for dealing with regulators and managing internal processes to simultaneously avoid and prepare for investigations, and other highlights from their article “Top SEC Concerns in Public Company Financial Reporting to Watch in 2017” published in Bloomberg BNA Insights in February 2017.
In this annual webcast, our panel will analyze key developments in SEC enforcement and notable events from 2016, and will discuss what to look for in 2017. Among other items, the panel will address:
•The change in leadership at the SEC and what to expect;
•Results of litigation and current issues arising from SEC actions;
•Themes from cases involving the FCPA, financial fraud, gatekeepers, market structure, insider trading, and investment management;
•Updates on the Whistleblower Program, use of technology, and other ongoing initiatives;
Please join panelists Bill McLucas and Doug Davison, securities partners at Wilmer Cutler Pickering Hale and Dorr LLP; and Marty Wilczynski and Steve Richards, Senior Managing Directors with Ankura Consulting as they address these and other developments in SEC enforcement.
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.
Thinking about unlocking intelligence from text, video or audio data in our applications? Join us to learn how innovative solution providers are doing it now. David Meyer, CTO of SEC 1.01, a Swiss-based leading IT solutions provider, and Russell Hammad, CEO of Zenith Technologies, a multinational solutions provider headquartered in Dubai, UAE, will share their experiences on how to accelerate compelling solutions to market with their OEM strategies. In this webinar, you will learn:
· Why unstructured data analytics was needed
· How OEM options were evaluated
· Why HPE IDOL was chosen
· How HPE IDOL is leveraged in the solution
Network Functions Virtualisation holds some particular challenges in the telecommunications space. This webinar will discuss the publications of ETSI NFV Security Working Group and some future work directions.
The webinar will be presented by Mike Bursell, Chief Security Architect at Red Hat Inc. Mike is also the vice-chair of ETSI NFV SEC working group.
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
Every year, FINRA and the SEC tell broker-dealers exactly what they perceive as heightened risks to the market and investors. In this way, regulators send a clear message of what to expect during exams in the coming year. As a compliance officer, this is the roadmap that sets the tone for your efforts for 2017.
Joanna Belbey, Compliance Subject Matter Expert, Proofpoint, Dan Nadir, VP, Product Management, Proofpoint and Martin Tuip, Senior Product Marketing Manager will discuss some of the risks spotlighted for 2017:
• Supervision and controls to protect investors
• Suitability, particularly for seniors
• Social media and electronic communications retention and supervision
• Cybersecurity controls
Learn how Proofpoint can help you and your firm meet these and other regulatory challenges in the year ahead. Live Q & A will follow.
Time not convenient? Sign up anyway and we’ll send you the link to the recorded webinar plus valuable materials.
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
The rapid growth of so-called “unicorn” companies – privately held start-ups with valuations of more than $1 billion – presents a number of significant regulatory challenges and risks. Although many people believe that special rules and exemptions apply to unicorns, in fact, unicorns may not be so unique in the eyes of regulators. Much like public companies, it is more important than ever that they focus on developing appropriate legal and compliance procedures surrounding capital raising, public disclosures, options compensation, and related issues to avoid, or best respond to, scrutiny by regulators, including the U.S. Securities and Exchange Commission (SEC).
Join a distinguished panel of industry professionals including WilmerHale partners Lori Echavarria (former SEC Associate Regional Director and head of Enforcement for the Los Angeles Regional Office) and Michael Mugmon, and Ed Westerman, Senior Managing Director and Co-Leader of Forensic Accounting & Advisory Services at FTI Consulting, to discuss important SEC trends and initiatives impacting unicorn companies. Topics to be covered include:
· The Unicorn Landscape
· Jurisdictional “Hooks”
· The Vulnerability of Unicorn Companies
· Transitioning from Private to Public: What Happens Next?
· The Trump Administration and the Current SEC Environment
Insider threat detection. Employee monitoring. Background checks. These techniques pose social, ethical, legislative and security challenges – but are also effective ways for organizations to guard its most important data assets. In this session, Dr. Richard Ford and Kristin Leary from Forcepoint will explain the most effective way to proactively mitigate insider threats – fusing technology with a people-centric approach based on understanding employee intent. Forward-looking security programs balance employee privacy with data, IP and user protection, and Forcepoint will offer perspectives and recommendations from both human resources and technology executives, who share these responsibilities.Read more >
After a significant corporate crisis event, issuers are often forced to navigate concurrent matters in multiple jurisdictions. The matters at issue may involve internal investigations, SEC and DOJ investigations, exchange listing inquiries, private class actions and derivative actions. There are multiple constituents in each of these forums -- many of which have competing interests and agendas.
Decisions made in one forum can, and often do, have significant impact on the other. Having a thorough understanding of these competing interests and procedures is imperative in successfully coordinating navigating this complicated playing field.
Join an experienced panel of securities lawyers and forensic accountants who conduct investigations, interact with government regulatory entities, audit committees and independent auditors, and represent issuers in multiple jurisdictions, as they discuss the often overlooked implications of dealing with multiple investigations and actions.
Panel: Michele E. Rose and Robert P. Howard, Jr., of Murphy & McGonigle PC; and Jim Barratt and Amy Gonce of Ankura Consulting, LLC
Getting app development, DevOps and security teams all on the same page when it comes to implementing AppSec testing in development workflows is often a difficult task. Developers need to do frequent code releases to meet continuous integration (CI) process requirements. Adding security testing into this process is often met with resistance and poor adoption, unless it’s done correctly with the right security training, developer and CI tools integrations, and corporate security buy in by all involved.
Join us as 451’s Scott Crawford and WhiteHat Security’s Anna Chiang discuss what’s needed to truly integrate security into a DevOps environment.
DevOps enables companies to deliver innovations faster to market. But with multiple functional teams collaborating on development, and so many moving parts, security is often left out of the DevOps process and then tacked on at the end - delaying deployment into production and negating many of the benefits of DevOps.
Presented by renowned industry expert Prof. Avishai Wool, this new technical webinar will cover best practices for incorporating security into the DevOps lifecycle. This insight will help ensure better collaboration between security and the development teams right from the start and reduce the time, cost and risk of deploying applications into production.
In this webinar Professor Wool will cover how to:
•Identify and map existing applications and their connectivity flows to establish a baseline
•Adjust application connectivity for each stage of the DevOps lifecycle – without coding
•Automatically deploy connectivity throughout the development lifecycle using templates
•Proactively assess risk and compliance throughout the DevOps process
•Manage and maintain security in the production environment