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Overview:

The securities law landscape continues to evolve as new regulatory developments emerge. Recently, under the direction of its new Chair, the Securities and Exchange Commission’s (SEC) has been messaging the priorities of its enforcement program, including renewed focus across the agency related to climate change disclosures, cybersecurity, and financial innovation. The SEC staff has also messaged through its examination priorities that it will focus on recently established rules and standards of conduct for registered investment advisers (RIAs) and broker-dealers. Although the new administration is still working through several pandemic-related economic disruptions, a more aggressive enforcement posture is widely expected.

In light of these changes, registrants must continue to be proactive in addressing compliance with SEC regulations while keeping abreast of emerging legal and policy developments that may result in increased scrutiny from SEC staff, including the Division of Enforcement.

In this LIVE Webcast, financial regulatory experts Dr. Jennifer Marietta-Westberg (Cornerstone Research) and Ryan Wolfe (Credibility International LLC) will provide the audience with an in-depth discussion of the SEC’s heightened enforcement priorities. Speakers will also present recent regulatory developments and share practical ways to improve compliance amid the changing legal landscape.

Key issues that will be covered in this course are:

  • Trends and Developments in Securities Law
  • The SEC’s 2021 Enforcement Priorities
  • Critical Issues and Challenges
  • Best Compliance Practices
  • Outlook

Learning Objectives:

  • Identify past and emerging SEC enforcement trends and the relevant economic issues
  • Determine recent SEC enforcement issues concerning financial reporting cases

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 securities law

 

Course Code:

149440

 

NY Category of CLE Credit:

Area 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)


CLE State Requirements:

https://knowledgewebcasts.com/cle-state-requirements/

Speaker Panel:

Dr. Jennifer Marietta-Westberg, Principal
Cornerstone Research

Jennifer Marietta-Westberg consults on economic and financial issues arising in litigation and regulatory investigations in financial markets. Dr. Marietta-Westberg addresses allegations related to financial reporting, asset management, trading, private equity, and mergers and acquisitions.

An experienced expert witness, she has testified on matters related to Rule 10b-5/Section 11 securities class actions, damages, alleged insider trading, corporate governance, and Employee Retirement Income Security Act (ERISA) matters. Dr. Marietta-Westberg has supported respondents in enforcement actions involving the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC). She leads large teams to support academic and industry experts at all stages of litigation, including trial.

Dr. Marietta-Westberg is chair of the Investor Advisory Committee of the SEC, which offers guidance to the Commission on regulatory priorities and initiatives to support the integrity of the securities marketplace. She also serves on the board of directors at the Institute for Law and Economics at the University of Pennsylvania.

Ryan Wolfe, Director
Credibility International LLC

Ryan Wolfe is a Director at Credibility International.  Ryan is an expert in the application of Generally Accepted Accounting Principles (GAAP), PCAOB Standards, and the financial reporting requirements for issuers of securities registered with the United States Securities and Exchange Commission (SEC). Ryan served in the Office of the Chief Accountant (OCA) at the SEC from 2011 to 2020.  OCA is the principal advisor to the Commission on accounting and auditing matters.  During his tenure in OCA, Ryan served in multiple positions in OCA.  From 2011 through March 2019, Ryan was responsible for OCA’s relationship with the Division of Enforcement, including advising the Commission on enforcement actions involving accountants and auditors and leading OCA consultations with Divisions and Offices related to enforcement matters and for advising the Commission on Enforcement matters.

Prior to his work at the SEC, Ryan’s practice involved serving corporate, individual, and regulatory clients and their counsel across a wide range of industries, including providing expert analysis related to SEC and DOJ investigations, damage calculation and analysis, complex litigation, and auditor malpractice.  He has supported complex regulatory and settlement negotiations, and provided on-site support at depositions and trials.

Ryan is a certified public accountant licensed in Virginia and a Chartered Financial Analyst (CFA) Charterholder.  Ryan holds a Bachelor of Science in Business Administration from the University of Richmond Robins School of Business and received a Certificate in Securities Regulation from the Georgetown University Law Center.

Agenda:

SEGMENT 1:

Dr. Jennifer Marietta-Westberg, Principal

Cornerstone Research

  1. Historical trends in SEC enforcement/investigations
  2. Predictions for upcoming enforcement/investigation priorities
  3. Economic analysis relevant in responding to enforcement/investigations

SEGMENT 2:

Ryan Wolfe, Director

Credibility International LLC

  1. General Observations about the Commission’s Enforcement Program
    1. Pace of change
    2. Looking for signs of change
    3. What likely won’t change
  2. Hot Topics in Financial Reporting: Potential Effects on the Commission’s Enforcement Program
    1. SPACs
    2. ESG
    3. Accounting
  3. Auditing Cases
    1. Continued focus on gatekeepers
    2. Coordination with the PCAOB’s enforcement program
    3. Audit firm’s systems of quality control

Date & Time:

Tuesday, June 15, 2021

12:00 pm to 1:00 pm (ET)

Materials:

Download Course Materials

Who Should Attend:

  • Securities Lawyers
  • General Counsel
  • Compliance Officers
  • Financial Executives
  • Finance Risk Management Officers
  • Finance Compliance Officers
  • Litigation Officers
  • Top Level Management
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SPEAKERS

Dr. Jennifer Marietta-WestbergPrincipal
Cornerstone Research
Ryan WolfeDirector
Credibility International LLC

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