Trends and Best Practices in SEC Reporting and Compliance for Banks
Overview:This course offers an in-depth outline for banks to re-examine their processes, procedures, and disclosure concerning SEC filings. Bank finance executives as well as auditing and legal professionals need to understand this important and evolving landscape.
Key issues include that will be covered in this course are:
• The SEC, Its Operations, and Organization
• Dealing Effectively with SEC Staff
• SEC Reporting Using IFRS
• Developing the Form 10-K Annual Report
• Form 10-Q Quarterly Report
• The Item Requirements of Form 10-K, including Industry Guide 3 and Article 9 of Regulation S-X
• Form 8-K Current Report
• Proxy Statements
• Best Practices
• Other regulatory updates
Craig Beazer , Chief Corporate Securities and Governance Counsel ,
Bank of New York Mellon
- Developing the Form 10-K
- Review and discuss process and steps, including timeline
- Form 10-Q Quarterly Report
- Review and discuss process, steps, interplay with earnings
- How to build regulatory updates (e.g., NPRs) into disclosure
- Weighing maturity of NPR, impact, investor interest
- Weighing maturity of NPR, impact, investor interest
Alan L. Beller, Partner ,
Cleary Gottlieb Steen & Hamilton LLP
- Compensation disclosure (and design) in a world of increasing investor and proxy advisory firm scrutiny
- Legal, compliance and operational risk in the cybersecurity area
- Ongoing consideration of processes and timelines (including disclosure controls and procedures) to ensure that various communications (e.g., earnings releases, periodic reports, investor presentations) are consistent and aligned
- Continuous refreshing of FD procedures and training
Who Should Attend:
- CFOs, Finance Executives, General Counsel, Compliance Officers and Related from Banks and Financial Institutions
- Controllers, CPAs, Auditors
- Banking & Finance Attorneys and Related Practice Areas
- Finance Directors
- And Other Related Professionals with Financial Reporting and SEC Reporting Functions
Craig T. Beazer is the Chief Corporate Securities and Governance Counsel for The Bank of New York Mellon Corporation. Mr. Beazer joined BNY Mellon in May 2012, and in his role has responsibility for '34 Act disclosure and filings, the proxy and corporate governance matters for the Corporation and its subsidiaries.
Prior to joining BNY Mellon, Mr. Beazer was a Deputy General Counsel and Chief Disclosure Counsel at Bank of America Corporation, and had held leadership positions at General Electric Company, including serving as a Vice President and Corporate Secretary for General Electric Capital Corporation. Mr. Beazer started his career in private practice at Orrick, Herrington & Sutcliffe LLP in New York.
Mr. Beazer has a BA from Iona College and a JD from New York University School of Law. He is admitted to practice in New York.
Craig T. Beazer is the Chief Corporate Securities and Governance Counsel for The Bank of New York Mellon Corporation. Mr. …
Alan L. Beller is a partner based in the New York office of Cleary Gottlieb Steen & Hamilton LLP. Mr. Beller’s practice focuses on a wide variety of complex securities, corporate governance and corporate matters. Mr. Beller advises regularly senior officials of both U.S. and non-U.S. entities on these subjects, including in connection with SEC filings, corporate transactions and other corporate matters and public and private offerings of securities. Mr. Beller served as the Director of the Division of Corporation Finance of the U.S. Securities and Exchange Commission and as Senior Counselor to the Commission from January 2002 until February 2006. During his four-year tenure, Mr. Beller led the Division in producing the most far-reaching corporate governance, financial disclosure and securities offering reforms in Commission history. Among his accomplishments were the implementation of the corporate provisions of the Sarbanes-Oxley Act of 2002, the adoption of corporate governance standards for listed companies and the successful completion of comprehensive securities offering reforms.
Alan L. Beller is a partner based in the New York office of Cleary Gottlieb Steen & Hamilton LLP. Mr. …
Print and review course materials
Method of Presentation:
On-demand Webcast (CLE)
NASBA Field of Study:
NY Category of CLE credit:
2.0 CPE (Not eligible for QAS (On-demand) CPE credits)
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About Bank of New York Mellon
The Bank of New York Mellon Corporation, a Delaware corporation (NYSE symbol: BK)(“BNY Mellon”), is a global financial services company headquartered in New York, New York, with approximately $27.4 trillion in assets under custody and/or administration and $1.5 trillion in assets under management as of September 30, 2013. BNY Mellon divides its businesses into two principal segments, Investment Management and Investment Services. With its subsidiaries, BNY Mellon has been in business since 1784.
About Cleary Gottlieb Steen & Hamilton LLP
Founded in 1946 by lawyers committed to legal excellence, internationalism, and diversity, Cleary Gottlieb Steen & Hamilton LLP is a leading international law firm with more than 1,200 lawyers around the world from more than 50 countries and diverse backgrounds who are admitted to practice in numerous jurisdictions around the world. The firm has 16 closely integrated offices located in New York, Washington, D.C., Paris, Brussels, London, Moscow, Frankfurt, Cologne, Rome, Milan, Hong Kong, Beijing, Buenos Aires, São Paulo, Abu Dhabi and Seoul, and operates as a single global partnership. Our worldwide practice has a proven track record of providing legal work of the highest quality to meet the needs of our domestic and international clients, which include multinational corporations, international financial institutions, sovereign governments and their agencies, as well as domestic corporations and financial institutions in the countries where our offices are located.