SEC Investigations, Accounting, and Disclosure Fraud: Critical Issues for 2016 and Beyond
Presented by The Knowledge Group
Since 2014, the Securities and Exchange Commission (SEC) has renewed its focus on identifying accounting fraud and violations on issuer disclosure. Despite declines in the number of enforcement actions over the years involving accounting issues, recent activities suggest that SEC has a long-term intent to focus on financial reporting and disclosure cases.
Whether SEC comes knocking with an informal inquiry or a formal investigation, it is always crucial that this will be taken seriously. The manner in which a firm respond early on to SEC is just as important as mitigating potential pitfalls of noncompliance. In this two-hour LIVE webcast, a panel of distinguished professionals and thought leaders assembled by The Knowledge Group will help analyze key developments in SEC enforcement efforts in relation to accounting fraud and financial disclosure cases for 2016 and beyond. The panel will also provide best practices in developing and implementing an effective compliance program and techniques to identify red flags and deter fraudulent schemes for companies to ensure compliance with regulations and avoid hefty penalties.
Among other items, the panel will address:
- The accounting quality model and financial reporting and audit task force
- The role of whistleblowers in financial and accounting fraud cases
- Discussion on significant issues for financial statement disclosures
- Results of recent litigations and current issues arising from SEC administrative proceedings
- Recent SEC enforcement efforts with case citations
- Key techniques to identify fraudulent schemes and best practices in developing an effective compliance program
CLE credit available.
Content contributed by attorneys of Troutman Sanders LLP and Pepper Hamilton LLP prior to July 1, 2020, is included here, together with content contributed by attorneys of Troutman Pepper (the combined entity) after the merger date.