SEC Investigations, Accounting and Disclosure Fraud: Significant Issues for 2017
Compared to 84 actions in 2015 and prior years averaging between 40 and 50 cases annually, 2016 saw a record high of 92 actions brought by the Securities and Exchange Commission (SEC) against public companies. Digging deeper on some of these cases shows SEC's focus on significant issues including accounting and disclosure violations. This trend toward more active and aggressive enforcement emphasizes the importance of knowledgeable and strong legal and accounting teams within public companies. It is of utmost importance that the team understand how to deal with regulators and manage internal procedures to simultaneously avoid and prepare for investigations.
In this LIVE Webcast, a panel of key thought leaders and professionals organized by The Knowledge Group will discuss the significant issues surrounding the heightened SEC enforcement actions, particularly in the areas of accounting and financial disclosure fraud. They will do a brief review of recent enforcement trends and developments and its impact on corporate compliance. Speakers will also offer best practices in developing robust and effective internal controls to avoid errors and efficiently navigate issues and investigations.
Key topics include:
- Recent SEC Enforcement Trends
- The Financial Reporting and Audit (FRAud) Group
- The Role of Whistleblowers in Financial and Accounting Fraud Cases
- Non-Fraud Claims, Internal Controls, and Individual Liability
- Disclosure Reform Efforts
- Effective Corporate Compliance
Deborah R. Meshulam, Partner
William P. Barry, Member
Miller & Chevalier
- General Trends – SEC Priorities
- Financial Reports and Audit (FRAud) Group
- Enforcement Trends Involving FRAud Group Investigations and Actions
- Role of Whistleblowers
- Financial and Accounting Fraud Cases
- Non-Fraud, Internal Control, and Individual Liability Case
- Enforcement Trends Involving Non-Fraud Allegations
- Disclosure Issues
- Enforcement Trends Involving Disclosure
- Potential Changes to Disclosure Requirements
- Effective Corporate Compliance Tips
Who Should Attend:
- CFOs & Finance Executives
- Controllers, CPAs
- Auditors (Internal & External)
- Financial Fraud Practicing Lawyers
- Senior Financial Management
- Fraud Monitoring Officers
- Fraud Analysts
- Compliance Officers
- Public Companies
- Other Interested Professionals
William Barry regularly advises audit committees, boards of directors and public companies on a broad range of issues involving white collar and securities enforcement, accounting investigations and compliance with Foreign Corrupt Practices Act (FCPA), money laundering, economic sanctions, and insider trading requirements.
Mr. Barry guides clients through the complex issues involved in responding to inquiries from domestic and international regulators and external auditors regarding issues of internal controls over financial reporting, accounting fraud, foreign bribery, money laundering, and other financial crimes. He represents clients faced with the challenge of responding to competing demands in parallel proceedings, such as internal reviews, government investigations, and private civil actions.
William Barry regularly advises audit committees, boards of directors and public companies on a broad range of issues involving white …
Deborah Meshulam has more than two decades of securities enforcement defense experience trying the full range of cases arising from allegations of securities law violations and related breaches of fiduciary duty.
Deborah represents clients in SEC and Department of Justice (DOJ) investigations, securities class actions and derivative lawsuits relating to claims of securities law violations, FCPA violations and counsels clients on compliance, regulatory and corporate governance matters, including issues relating to the Dodd Frank whistle blower program. She also represents clients in Public Company Accounting Oversight Board (PCAOB) investigations, FINRA and Exchange proceedings and in Exchange delisting hearings.
Deborah regularly conducts investigations on behalf of public companies or their audit committees, often relating to accounting issues, FCPA questions, alleged securities law violations and employee misconduct. She also regularly advises clients on securities law compliance and litigation avoidance. She has written on securities law issues for legal publications and is a frequent speaker at professional programs on securities-related issues. She also represents clients in rulemaking proceedings and in SEC inquiries from the Divisions of Corporate Finance and Trading and Markets, the Office of Chief Accountant and the Office of Compliance Inspections and Examinations.
Deborah Meshulam has more than two decades of securities enforcement defense experience trying the full range of cases arising from …
Print and review course materials
Method of Presentation:
On-demand Webcast (CLE); Group-Internet Based
Experience on financial reporting
NASBA Field of Study:
NY Category of CLE Credit:
1.0 CPE (Not eligible for QAS (On-demand) CPE credits)
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About Miller & Chevalier
Founded in 1920, Miller & Chevalier is a longstanding Washington, DC law firm with a global perspective and leading practices in tax, employee benefits, international, litigation, and government affairs. Over the past three years, the firm's lawyers have represented more than 40 percent of the Fortune 100, one-quarter of the Fortune 500, and approximately 30 percent of the Global 100. Miller & Chevalier is a trusted partner to clients in the United States and around the world, providing solutions to their most complex problems, as well as counsel that enables clients to seize new opportunities.
About DLA Piper
DLA Piper is a global law firm with lawyers worldwide. It provides its clients with legal and business solutions locally, regionally and internationally using integrated teams of lawyers with experience that spans a broad range of disciplines. DLA Piper is widely recognized for its pioneering approach and extensive geographic reach, which enables the practice to look after the business issues that matter to its clients - whether they are large or small. Clients of DLA Piper include single-owner startups, local and household name companies, multinationals, financial institutions, FTSE and Fortune 500 enterprises and their subsidiaries, public bodies and governments.