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SEC Enforcement: Overview, Case Studies, and What You Should Know
Forensic Services
Webcast

SEC Enforcement: Overview, Case Studies, and What You Should Know

Learn about recent developments and trends in SEC 2023 enforcement, including the SEC’s enforcement priorities and implications for you and your clients.

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

Format

Webcast

NASBA Field of Study

Accounting

Level

Basic

CPE Credits

1.5

Instructor

Carey Miller, Ryan Wolfe, Chris Schneider

Availability

3 months

Product Number

WC4179871

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 Business & partner 
Product Details

Gain an overview of SEC enforcement

In this webcast, you'll gain an overview of SEC enforcement trends in 2023 and learn how those trends indicate the SEC’s priorities to:

  • Protect investors
  • Deter financial misconduct
  • Maintain fair and efficient markets

Join us to gain insight on:

  • The direct and indirect impact of SEC enforcement actions on the marketplace
  • Increased focus on individual accountability and the role of gatekeepers --including auditors, executives and in-house counsels -- in SEC actions
  • Key areas in recent actions by SEC enforcement and other litigation related to accounting and auditing
  • The role of FVS professionals and other stakeholders in response to SEC enforcement trends

Key Topics

  • Recent trends and developments in SEC enforcement actions
  • Trends in topic areas gaining traction for SEC scrutiny, including case studies
  • Role of forensics and valuation services practitioners

Learning Outcomes

  • Identify trends and developments in SEC enforcement during 2023.
  • Recall key subject areas that are the focus of recent SEC enforcement actions and other litigation related to accounting and auditing.
  • Recognize increased focus on the role of gatekeepers.
  • Recall knowledge gained about investigations and disputes.

Who Will Benefit

Auditors, executives, forensic accountants, and professionals with related responsibilities such as attorneys, data analysts, and investigators.

More Details
NASBA Field of Study
Accounting
Level
Basic
Prerequisites
none
Access
This is a digital product. With full paid access the content will be available to you for 3 months after purchase date.
Duration
1.25 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
Carey Miller
CPA, CFF
Carey Miller is a Managing Director in the Global Investigations practice of J.S. Held. Carey provides forensic accounting services and dispute consulting services to public and private sector clients. Carey has extensive experience in auditing, internal controls evaluations, forensic accounting, and litigation consulting services. Her work frequently involves allegations of misstated financial statements, inadequate disclosures, auditor malpractice and director and officer liability. She has also participated in engagements involving breach of contract disputes, measurement of economic damages, employee fraud and defalcation, and other issues related to the interpretation and application of Generally Accepted Accounting Principles (GAAP).
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.
Chris Schneider
Chris is a Managing Director in KPMG LLP’s U.S. Forensic Practice and brings over 18 years of experience assisting clients and attorneys with forensic services. Chris specializes in complex global investigations dealing with financial reporting issues and alleged bribery and corruption –including matters brought before the SEC and DOJ. Chris also has substantive experience providing dispute advisory services in the context of: expert witness on economic damages, neutral arbitrator in a post-acquisition dispute, and/or assisting a buyer or seller in a post-acquisition dispute. He has provided forensic accounting services globally across a wide range of industries, including life sciences, financial services, consumer products, retail, manufacturing, energy, technology, hospitality, and automotive services.
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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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