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Regulatory Enforcement Update
Forensic Services
Webcast

Regulatory Enforcement Update

The panel will discuss recent trends in regulatory enforcement by the SEC and PCAOB, focusing on financial reporting, accounting and auditing.

Do you have an AICPA or CIMA membership? Log in to apply your member discount.

Format

Webcast

NASBA Field of Study

Accounting

Level

Intermediate

CPE Credits

1.5

Instructor

Dana Schwartz, Michael Maloney, Matt Jacques, Andrew Lawrence, Ryan Wolfe

Availability

3 months

Product Number

WC4785686

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 Business & partner 
Product Details

Developments in SEC and PCAOB regulatory enforcement

Our panel will provide accounting professionals with insights on SEC and PCAOB regulatory enforcement trends, focusing on financial reporting, accounting and auditing.

Attendees will learn about broad enforcement focus areas.

Panelists will:

  • Discuss the focus areas through individual matters charged by the agencies and public statements made by senior regulators
  • Provide observations on best practices that preparers and auditors can use to avoid or mitigate potential regulatory investigations
  • Provide best practices for preparers, auditors and forensic accounting professionals for working with regulators at the SEC and PCAOB

Key Topics

  • SEC and PCAOB regulatory enforcement
  • Professional judgment
  • Professional ethics
  • Internal accounting controls
  • Financial reporting

Learning Outcomes

  • Use recent trends in regulatory enforcement related to accounting and auditing.
  • Recognize conduct and situations that may give rise to a regulatory investigation or potential violation of law.
  • Analyze individual actions brought by regulators to understand differences in underlying conduct and ultimate resolutions/remedies.
  • Apply best practices when interacting with government regulators during an investigation.

Who Will Benefit

Forensic accountants, preparers and auditors working on regulatory enforcement related matters

More Details
NASBA Field of Study
Accounting
Level
Intermediate
Prerequisites
n/a
Access
This is a digital product. With full paid access the content will be available to you for 3 months after purchase date.
Duration
1.5 hrs
Pricing
Do you have an AICPA or CIMA membership? Log in to apply your member discount.

Group ordering for your team

2 to 5 registrants

Save time with our group order form. We’ll send a consolidated invoice to keep your learning expenses organized.

Start order

6+ registrants

We can help with group discounts. Email client.support@aicpa-cima.com
US customers call 1-800-634-6780 (option 1)

Contact us
Speakers
Dana Schwartz
Dana Schwartz joined the SEC’s Division of Enforcement as an Assistant Chief Account in September 2023. Prior to joining the SEC, Dana spent the last nine years at AlixPartners, a forensics advisory firm where she conducted forensic, litigation, and compliance-monitoring engagements. She has significant experience applying and evaluating generally accepted accounting principles (GAAP) across a variety of topics and industries including consolidation, impairment, revenue recognition, and contingencies. Dana began her career as Big 4 auditor in the investment management group and completed a rotation within the firm’s national office practice. Dana is a Certified Public Accountant in New York and holds a Bachelor of Business Administration from Emory University.
Michael Maloney
Michael Maloney is a leading expert in forensic accounting investigations, white-collar criminal and civil defense, and matters involving complex accounting, auditing, financial reporting, and fraud issues. He served as Chief Accountant of the Division of Enforcement for the U.S. Securities and Exchange Commission from 2014 to 2018.
Matt Jacques
Matt returned to AlixPartners in 2022 after serving as the Chief Accountant for the Enforcement Division of the U.S. Securities and Exchange Commission (SEC), where he played a crucial role in the Division's enforcement initiatives, focusing on financial accounting, disclosure, and auditing matters. He is an industry leader in forensic accounting as a seasoned professional specializing in guiding clients through complex financial reporting, regulatory, investigation, compliance, and litigation challenges.
Andrew Lawrence
Mr. Lawrence’s experience in securities-related matters includes the representation of corporations and their officers, directors and employees in investigations regarding financial reporting, disclosure, stock options backdating and insider trading matters. He also has represented broker-dealers and mutual fund complexes in SEC and other federal and state regulatory investigations related to trading, disclosure and market-timing matters. In addition, Mr. Lawrence regularly advises clients on securities law compliance issues.
Ryan Wolfe
CPA
Ryan Wolfe is the Chief Accountant of the SEC's Division of Enforcement. He previously served in the SEC's Office of the Chief Accountant from 2011 to 2020 in multiple roles, including as a liaison to the Division of Enforcement and in roles related to the Commission's oversight of the Public Company Accounting Oversight Board. Mr. Wolfe most recently worked as a Managing Director at an advisory firm focused on providing technical accounting, auditing, and financial reporting expertise related to internal and regulatory investigations and litigation. He began his career as a forensic accountant and litigation consultant.
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The Association is dedicated to removing barriers to the accountancy profession and ensuring that all accountancy professionals and other members of the public with an interest in the profession or joining the profession, including those with disabilities, have access to the profession and the Association's website, educational materials, products, and services.The Association is committed to making professional learning accessible to all product users. This commitment is maintained in accordance with applicable law. For additional information, please refer to the Association's Website Accessibility Policy. As part of this commitment, this product is closed-captioned. For additional accommodation requests please contact adaaccessibility@aicpa-cima.com and indicate the product that you are interested in (title, etc.) and the requested accommodation(s): Audio/Visual/Other. A member of our team will be in contact with you promptly to make sure we meet your needs appropriately.

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