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

Preparing for 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)
White Collar Crime (CLE)Recording

Online CLE Financial Fraud

Join us for this Knowledge Group Online CLE Financial Fraud Webinar. With the rapid development in information technologies over the past few years, both the ways that companies engage in financial fraud to obtain fallacious results or profits and the ways that the SEC is fighting fraud have evolved. At the same time, the SEC must continue to fight perennial favorites of fraudsters, such as accounting fraud. In this Webcast, a panel of thought leaders and professionals will provide an overview of the SEC’s recent focuses under the guidance of the Chairman Jay Clayton. Attendees will learn of emerging trends and developments to be able to help their companies and clients avoid stepping into the SEC’s crosshairs and thus avoid fines and lawsuits in 2019.

Key topics that will be covered in this course are:

  • Recent Trends in SEC Comment Letters
  • SEC Accounting and Auditing Enforcement Releases (AAERs): Overview and Statistics
  • What Lies Ahead

Agenda

Adoria Lim, Principal
The Brattle Group
AND
Chi Cheng, Senior 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, Senior 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, and finance 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, and the evaluation of the adequacy of internal controls. She has also directed research in securities class actions, and SEC, DOJ, and PCAOB investigations and enforcement actions.

Online CLE Financial Fraud

Chi ChengSenior AssociateThe 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. 


Click Here to Read Additional Material

Online CLE Financial Fraud

Course Level:
   Intermediate

Advance Preparation:
   Print and review course materials

Method Of Presentation:
   On-demand Webcast; Group-Internet Based

Prerequisite:
   General knowledge of financial and accounting laws

Course Code:
   148245

NY Category of CLE Credit:
   Areas of Professional Practice

NASBA Field of Study:
   Finance - Technical

Total Credit:
    1 CLE 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, and finance 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, and the evaluation of the adequacy of internal controls. She has also directed research in securities class actions, and 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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