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Browse: Home / Securities Enforcement Forum

Securities Enforcement Forum

Enforcement Forum panel tackles financial reporting and accounting fraud

By Securities Docket on November 3, 2020, 5:48 pm

Melissa Hodgman, an associate director in the SEC’s the Division of Enforcement, appeared on a panel with members of the securities defense bar to discuss recent Commission enforcement actions involving financial disclosure and accounting fraud. The panel, hosted by the Securities Docket’s 2020 Securities Enforcement Forum, addressed a number of topics, including how the SEC […]

Posted in SEC, Top | Tagged Securities Enforcement Forum

SEC Enforcement Division: “Business as Usual” as Securities Enforcement Leaders Gather Virtually for Securities Enforcement Forum West 2020

By Securities Docket on May 19, 2020, 5:29 pm

Like most of the rest of the world, the speakers and attendees at Securities Enforcement Forum West 2020 last week had to adapt this year by trading in their microphones on the stage of a grand ballroom for an array of home offices and Zoom backgrounds. But the panels themselves, several of which have become […]

Posted in Industry, SEC, Top | Tagged Conferences, Securities Enforcement Forum

SEC Chief Enforcement Accountant Cites The Use Of Data Analytics, Self-Disclosure And Cooperation As Key Factors In Investigating Accounting Misconduct – Corporate/Commercial Law – United States

By Securities Docket on December 30, 2019, 10:41 am

With more than 130 highly trained enforcement accountants at his disposal, Matthew Jacques, the Chief Accountant of the Securities and Exchange Commission (“SEC”), provided a firsthand glimpse into current enforcement objectives for policing accounting and auditor misconduct. Mr. Jacques was a featured panelist at the Securities Docket annual conference at the Mayflower Hotel in Washington, […]

Posted in SEC, Top | Tagged Securities Enforcement Forum

Highlights from Securities Enforcement Forum 2017

Highlights from Securities Enforcement Forum 2017

By Securities Docket on November 16, 2017, 6:26 pm

Photos and highlights from Securities Enforcement Forum 2017.

Posted in Industry, SEC, Top | Tagged Securities Enforcement Forum

Recent Public Remarks by Co-Directors of SEC Enforcement Division Signal Potential Changing Enforcement Priorities – Lexology

By Securities Docket on November 2, 2017, 9:25 am

Recent public remarks by Steven Peikin and Stephanie Avakian, Co-Directors of the Division of Enforcement of the U.S. Securities and Exchange Commission, suggest a potential shifting of enforcement priorities and emphasis. In remarks during an October 26, 2017 panel at the Securities Enforcement Forum in Washington, D.C., Co-Director Peikin commented on the “broken windows” approach […]

Posted in SEC, Top | Tagged Securities Enforcement Forum

Photos and Highlights from Securities Enforcement Forum 2015

Photos and Highlights from Securities Enforcement Forum 2015

By Securities Docket on November 11, 2015, 12:23 pm

Photos and highlights from Securities Enforcement Forum 2015.

Posted in Industry, SD Insider, SEC, Top | Tagged Securities Enforcement Forum

Photos and Highlights from Securities Enforcement Forum West 2015

Photos and Highlights from Securities Enforcement Forum West 2015

By Securities Docket on June 2, 2015, 4:56 pm

Photos and highlights from Securities Enforcement Forum West 2015.

Posted in Criminal, Industry, People, SEC, Top | Tagged Conferences, Securities Enforcement Forum

Early-Bird Registration Now Open for Securities Enforcement Forum 2014 — Oct. 14, 2014 in Washington, D.C.

Early-Bird Registration Now Open for Securities Enforcement Forum 2014 — Oct. 14, 2014 in Washington, D.C.

By Securities Docket on February 28, 2014, 12:00 pm

U.S. Attorney Preet Bharara and SEC Commissioner Michael Pivovar to deliver Keynotes at SEF 2014!

Posted in Industry, SEC, Top | Tagged Conferences, Register, Securities Enforcement Forum

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