HomeWebcastPreparing for the SEC’s Financial Fraud Probes: What Companies Need to Know
Online CLE Financial Fraud CLE

Preparing for the SEC’s Financial Fraud Probes: What Companies Need to Know

Live Webcast Date: Wednesday, August 07, 2019 from 12:00 pm to 1:00 pm (ET)
CLE White Collar CrimeLive Webcast
Listen Live/On-Demand
Add to Calendar 08/07/2019 11:00 am 08/07/2019 1:00 pm America/New_York The Knowledge Group Webinar: Preparing for the SEC’s Financial Fraud Probes: What Companies Need to Know The event starts in an hour. If you have not registered, please go to the link below to sign up today.https://www.theknowledgegroup.org/checkout/?add-to-cart=130437\r\n With an upsurge in financial fraud in the present economic scenario, companies and businesses are confronted with the ever-present and growing risk of such fraudulent activities. Criminals employ complex identity fraud schemes which leave the victims’ record numbers such as Social Security, credit card numbers, online bank accounts, and other sensitive data exposed to a greater number of risks and crimes. To cope up, the Securities and Exchange Commission (SEC) has strengthened their agency’s efforts in enforcing rigorous probes and intensive investigations to detect fraud and avoid the proliferation of financial violations. Thus, companies and businesses must be in the know of the best preparatory practices for the SEC’s financial fraud probes to avoid violations, audit failures, and penalties. \n \nIn this LIVE Webcast, a seasoned panel of thought leaders and professionals brought together by The Knowledge Group will provide and present to the audience an in-depth analysis of the fundamentals as well as recent developments in the SEC’s financial fraud probes. Speakers will also present best practices and effective preparatory tools to help businesses and organizations deter potential risks and pitfalls. \n \nSome of the major topics that will be covered in this course are: \n \n \n The SEC's Financial Fraud Probes: A 2019 Perspective \n Emerging Financial Crime Threats: Overview and Statistics \n Practical Strategies to Effectively Deal with the SEC Probes \n Recent Trends, Developments, and Updates \n Key Compliance Guidelines \n What Lies Ahead \n https://www.theknowledgegroup.org/webcasts/preparing-for-secs-financial-fraud-probes/

Online CLE Financial Fraud

Join us for this Knowledge Group Online CLE Financial Fraud Webinar. With an upsurge in financial fraud in the present economic scenario, companies and businesses are confronted with the ever-present and growing risk of such fraudulent activities. Criminals employ complex identity fraud schemes which leave the victims’ record numbers such as Social Security, credit card numbers, online bank accounts, and other sensitive data exposed to a greater number of risks and crimes. To cope up, the Securities and Exchange Commission (SEC) has strengthened their agency’s efforts in enforcing rigorous probes and intensive investigations to detect fraud and avoid the proliferation of financial violations. Thus, companies and businesses must be in the know of the best preparatory practices for the SEC’s financial fraud probes to avoid violations, audit failures, and penalties.

In this LIVE Webcast, a seasoned panel of thought leaders and professionals brought together by The Knowledge Group will provide and present to the audience an in-depth analysis of the fundamentals as well as recent developments in the SEC’s financial fraud probes. Speakers will also present best practices and effective preparatory tools to help businesses and organizations deter potential risks and pitfalls.

Some of the major topics that will be covered in this course are:

  • The SEC's Financial Fraud Probes: A 2019 Perspective
  • Emerging Financial Crime Threats: Overview and Statistics
  • Practical Strategies to Effectively Deal with the SEC Probes
  • Recent Trends, Developments, and Updates
  • Key Compliance Guidelines
  • What Lies Ahead

Agenda

Adoria Lim, Principal
The Brattle Group
AND
Chi Cheng, Associate
The Brattle Group
  • What Recent SEC Comment Letters and Enforcement Actions Say about SEC’s Focus
    • SEC comment letters
      • Overview of 2019 1H
        • Key focuses
          • Revenue recognition
          • Non-GAAP measures
          • MD&A
    • SEC AAER
      • Overview of 2019 1H
        • Key focuses – continued trend (similar to focuses in 2018)
          • Retail investors
          • Investment advisors
          • Cypto-assets
          • Continued focus on individual accountability
  • Changes and uncertainty
    • New Chairman, new focus
    • Data analytics
    • Cyber security

Who Should Attend

  • Corporate & Securities Lawyers
  • Chief Financial Officers
  • Financial Fraud Practicing Lawyers
  • Financial Reporting Professionals
  • Financial Crime Attorneys & Consultants
  • Auditors
  • Compliance Officers
  • Legal Counsel
  • Top Level Management
  • Private and Public Companies

Online CLE Financial Fraud

Adoria Lim, Principal
The Brattle Group
AND
Chi Cheng, Associate
The Brattle Group
  • What Recent SEC Comment Letters and Enforcement Actions Say about SEC’s Focus
    • SEC comment letters
      • Overview of 2019 1H
        • Key focuses
          • Revenue recognition
          • Non-GAAP measures
          • MD&A
    • SEC AAER
      • Overview of 2019 1H
        • Key focuses – continued trend (similar to focuses in 2018)
          • Retail investors
          • Investment advisors
          • Cypto-assets
          • Continued focus on individual accountability
  • Changes and uncertainty
    • New Chairman, new focus
    • Data analytics
    • Cyber security

Online CLE Financial Fraud

Online CLE Financial Fraud

Adoria LimPrincipalThe Brattle Group

Ms. Adoria Lim is a Brattle Principal and Certified Public Accountant (CPA) with two decades of experience in accounting and finance at a Big 4 accounting firm, a Fortune 500 publicly-traded company, and as a consultant. She focuses on matters that involve accounting, auditing, finance, and damage issues. Ms. Lim has directed research involving the evaluation of financial accounting and disclosures with regard to GAAP, the evaluation of audit and review procedures with regard to GAAS, the evaluation of the adequacy of ICFR, and the appropriateness of cost accounting allocations. She has also directed research in securities class actions; SEC, DOJ, and PCAOB investigations and enforcement actions. 

Online CLE Financial Fraud

Chi ChengAssociateThe Brattle Group

Dr. Chi Cheng is an Associate at The Brattle Group who specializes in accounting and valuation. She has supported clients on matters concerning SEC and DOJ investigations and enforcement actions, tax disputes involving capital structure and transfer pricing, purchase price disputes, and breach of contract disputes. Dr. Cheng has supported experts assessing the adequacy of financial accounting practices and disclosures under GAAP and IFRS and for Internal Controls over Financial Reporting (ICFR). She has also consulted on accounting and disclosure related matters for clients in the energy industry under the FERC and state regulatory settings. Dr. Cheng is a CPA in Massachusetts. 

Online CLE Financial Fraud

Course Level:
   Intermediate

Advance Preparation:
   Print and review course materials

Method Of Presentation:
   Live Webcast; Group-Internet Based

Prerequisite:
   General knowledge of financial and accounting laws

Course Code:
   148245

NY Category of CLE Credit:
   Areas of Professional Practice

Total Credit:
    1 NASBA-CPE

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About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

The Brattle Group is distinguished by our credibility and the clarity of our insights, which arise from the stature of our experts, affiliations with leading international academics and industry specialists, and thoughtful, timely, and transparent work. Our clients value our commitment to providing clear, independent results. The Brattle Group’s global team assists clients involved in a wide range of litigation matters. Our experts are well-versed in the anti-manipulation rules of the Securities and Exchange Commission (SEC), Federal Energy Regulatory Commission (FERC), Commodity Futures Trading Commission (CFTC), and Federal Trade Commission (FTC), as well as equivalent rules in place in the European Union.

Website: http://www.brattle.com/

Ms. Adoria Lim is a Brattle Principal and Certified Public Accountant (CPA) with two decades of experience in accounting and finance at a Big 4 accounting firm, a Fortune 500 publicly-traded company, and as a consultant. She focuses on matters that involve accounting, auditing, finance, and damage issues. Ms. Lim has directed research involving the evaluation of financial accounting and disclosures with regard to GAAP, the evaluation of audit and review procedures with regard to GAAS, the evaluation of the adequacy of ICFR, and the appropriateness of cost accounting allocations. She has also directed research in securities class actions; SEC, DOJ, and PCAOB investigations and enforcement actions. 

Dr. Chi Cheng is an Associate at The Brattle Group who specializes in accounting and valuation. She has supported clients on matters concerning SEC and DOJ investigations and enforcement actions, tax disputes involving capital structure and transfer pricing, purchase price disputes, and breach of contract disputes. Dr. Cheng has supported experts assessing the adequacy of financial accounting practices and disclosures under GAAP and IFRS and for Internal Controls over Financial Reporting (ICFR). She has also consulted on accounting and disclosure related matters for clients in the energy industry under the FERC and state regulatory settings. Dr. Cheng is a CPA in Massachusetts. 

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