Tag: Securities Enforcement Forum

Securities Enforcement Forum Central 2023—Enforcement Trends Throughout the SEC 2022 Fiscal Year | Perkins Coie

Senior Division of Enforcement officials from various U.S. Securities and Exchange Commission (SEC) offices spoke with SEC alumni, private practitioners, and other legal professionals at the Securities Enforcement Forum Central 2023 (the Forum) in Chicago, Illinois, on September 19, 2023. In anticipation of the SEC’s 2022 fiscal year-end on September 30, panelists discussed emerging trends in SEC enforcement investigations and…

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Securities Enforcement Forum West 2022: SEC Affirms Aggressive Approach | Perkins Coie

Key Takeaways Throughout the Forum, SEC officials emphasized its intent to continue to take aggressive enforcement stances. The Forum participants also emphasized the Commission’s focus on regulating newer industries and issues, including cryptocurrency and cybersecurity. Those subject to the SEC’s oversight, individuals and entities alike, would be well advised to proactively consider these emerging risks and compliance concerns as the…

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Enforcement Forum panel tackles financial reporting and accounting fraud

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 identifies financial fraud cases and…

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

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 recurring staples at the annual…

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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

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, D.C. on Wednesday, October 23,…

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

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 to securities enforcement advocated by…

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