Broadcast Date: Wednesday, January 11, 2023
from 3:00 pm to 4:00 pm (ET)
Overview:
The Securities and Exchange Commission’s (SEC) recent investigation on the alleged accounting fraud committed by Synchronoss Technologies, Inc. and its several employees signals the Commission’s heightened enforcement scrutiny on individual accountability. Top executives are now faced with a notice for potential SOX 304 Reimbursement. This underscores the need to develop a robust internal control and compliance culture for financial reporting.
As the SEC’s enforcement activities continue to ramp up and the regulatory landscape remains uncertain, businesses must stay updated and be well-versed on any grounds that would result in potential liability risks.
Join experienced regulatory and compliance practitioners, John A. Rademacher (Charles River Associates), Rebecca Fike (Vinson & Elkins), and Christopher W. Ahart (U.S. Securities and Exchange Commission), as they provide a comprehensive discussion on the recent SEC enforcement actions and considerations for fostering an ethical culture and reducing compliance risks. Speakers, among other things, will also offer best practices and effective compliance strategies amidst the ever-changing legal landscape.
Key issues that will be covered in this course are:
- SEC Enforcement Actions on Accounting Fraud Cases: Individual Accountability and SOX 304 Reimbursement
- Analyzing Recent SEC Accounting Fraud Investigations
- Potential Implications and Risk Issues
- Best Practices and Compliance Strategies
- What Lies Ahead
Learning Objectives:
- Understand recent SEC enforcement initiatives to identify misconduct and stop accounting fraud.
- Determine the implications of Synchronoss Technologies, Inc.’s accounting fraud case and other notable developments.
- Identify potential risks and pitfalls as well as effective compliance and anti-fraud prevention strategies.
Credit:
Course Level:
Intermediate
Advance Preparation:
Print and review course materials
Method of Presentation:
On-demand Webcast (CLE); Group-Internet Based
Prerequisite:
General knowledge of financial reporting
Course Code:
1410307
NY Category of CLE Credit:
Areas of Professional Practice
NASBA Field of Study:
Accounting – Technical
Total Credit:
1.0 CLE
1.0 CPE (Not eligible for QAS (On-demand) CPE credit)
How to Claim CLE Credits Per State:
https://knowledgewebcasts.com/how-to-claim-cle-credits-per-state/
CLE State Requirements:
https://knowledgewebcasts.com/cle-state-requirements/
CPE State Requirements:
Speaker Panel:
Christopher W. Ahart, Senior Counsel
United States Securities and Exchange Commission
Chris Ahart is a Senior Counsel in the Enforcement Division of the Securities and Exchange Commission’s Fort Worth Regional Office. Since joining the SEC in 2013, Chris has investigated a wide variety of cases but generally specializes in complex financial and accounting frauds, including the Commission’s first case against auditors for improperly “predating” work papers. Before his tenure at the SEC, Chris worked in private practice for over ten years at Akin Gump Strauss Hauer & Feld and Vinson & Elkins. He is also a former CPA and alumnus of Arthur Andersen. Chris earned his Bachelor of Business Administration, Master in Professional Accounting, and Juris Doctorate degrees from the University of Texas.
Rebecca Fike, Partner
Vinson & Elkins LLP
Rebecca is an experienced litigator focused on shareholder enforcement, government and internal investigations, and white collar defense. Rebecca served as Senior Counsel in the SEC’s Division of Enforcement for nearly 10 years. At the SEC, she ran all aspects of her investigations, and she frequently conducted investigations in parallel with the DOJ and other civil and criminal agencies. The SEC recognized Rebecca for her efforts with an Annual Enforcement Director’s Award for excellence in investigative work, as well as the inaugural Performance Incentive Bonus award for demonstrating an “extraordinary and rare level of performance that significantly surpasses the requirements of the job.” Rebecca brings clients a current, insider’s perspective on how to best guide them through the reality of today’s SEC investigations.
John A. Rademacher, Principal Compliance Guru
Charles River Associates
John Rademacher is a principal in CRA’s Forensic Services Practice, serving as a trusted advisor during times of crisis and helping organizations demonstrate their commitment to integrity by maintaining effective compliance programs and quickly uncovering truth when responding to allegations of misconduct. He delivers value by deploying cross-functional teams of experienced professionals who get to truth more quickly than under traditional methods. He has significant experience advising corporate clients and their external counsel in matters related to ethics and compliance programs, forensic investigations, regulatory enforcement, third-party risk management, and anti-bribery and corruption. He has demonstrated experience conducting investigations in over 20 countries and has successfully built compliance programs for clients in a variety of industries. He frequently works with cross-functional teams consisting of in-house and external counsel, forensic technology, corporate intelligence, data-analytics, and deep industry expertise to deliver quality service.
He assists Boards of Directors, General Counsel, and Chief Compliance Officers in developing and sustaining effective ethics and compliance programs for large multinational corporations and high-growth companies. This has regularly included evaluating compliance program frameworks and delivery models, advising on the design and implementation of compliance program elements, developing compliance strategies, and supporting clients in reporting to regulators in response to enforcement actions. These transformations often focus on establishing governance structures that drive ethical conduct; simplifying policies and procedures; developing effective risk assessments; evolving training and communications to align with adult-learning; establishing risk-based auditing and monitoring strategies; and revamping hotline, investigations, and disciplinary mechanisms to meet regulator expectations.
Agenda:
Christopher W. Ahart, Senior Counsel
United States Securities and Exchange Commission
Rebecca Fike, Partner
Vinson & Elkins LLP
- SOX 304
- Important Points on SOX 304
- Synchronoss
- Conduct of Key Figures in Synchronoss Under SOX 304: Stephen G. Waldis, CEO
- Conduct of Key Figures in Synchronoss Under SOX 304: Karen Rosenberger, CFO
- Comparing Outcomes in Recent SOX 304 Cases
- The Seaboard Factors—How the SEC (Generally) Views Cooperation
- Seaboard’s Present Inapplicability to SOX 304
John A. Rademacher, Principal
Compliance Guru
Charles River Associates
- Fostering a culture of compliance through leaderships’ words and actions
- Coordinating an appropriate and thorough response to allegations of misconduct
- Reducing compliance risk through effective remediation of misconduct
- Demonstrating a commitment to integrity through organizational justice
- Ensuring efficient and trusted reporting mechanisms and complaint-handling processes
Date & Time:
Wednesday, January 11, 2023
3:00 pm to 4:00 pm (ET)
Who Should Attend:
- Financial Crime Lawyers
- Corporate Lawyers
- White-Collar Lawyers
- Securities Lawyers
- Finance Executives
- Financial Compliance Officers
- Financial Crime Investigators
- Fraud Risk Managers
- Fraud Investigators
- Compliance Professionals
- Fraud Analyst
- Internal Auditors
- Accountants
- General Counsel
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