In this episode of PLI's inSecurities Podcast , Chris and Kurt discuss the legislation that created the SEC during the Great Depression, the evolution of the Commission in the decades since, and the increasingly prominent role of the SEC’s Enforcement Division. In addition, Jim Barratt, a Trustee at the SEC Historical Society , talks about the Society’s mission and shares resources available to practitioners in the securities industry. Please note: CLE and CPE credit are not offered for listenin...
Aug 27, 2020•49 min•Ep. 18
It is well known that auditors play a key role in providing assurance regarding financial information presented by publicly traded companies. It is less well known, however, that the Public Company Accounting Oversight Board — created under the Sarbanes-Oxley Act of 2002 — is charged with regulating registered audit firms and ensuring that the audit function benefits the public and the profession. In this episode of inSecurities , Kurt and Chris speak with Robert Peak, a PCAOB official, and Jovy...
Aug 13, 2020•1 hr 4 min•Ep. 17
In January, Kurt and Chris served up their top five trends to watch in the securities regulatory and accounting space in 2020. (Check out Episode 2 for details!) Now that we are halfway through this unpredictable year, the inSecurities podcast co-hosts revisit their predictions and talk about how 2020 has taken shape so far. Kurt and Chris also take a peek around the corner, offering some tips on what to watch for in the second half of the year....
Jul 30, 2020•53 min•Ep. 16
In this episode of inSecurities , Chris and Kurt chat with cryptocurrency experts Teresa Goody Guillen, Usman Sheikh and Jason Somensatto about the ever-changing regulatory landscape for digital assets and distributed ledger technology. Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI ....
Jul 16, 2020•1 hr 7 min•Ep. 15
Chris and Kurt talk about what the Fourth means to them, what the SEC usually gets up to on July 4th, and how Independence Day often signals the start of the summer slowdown for securities regulatory and enforcement practitioners. Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.
Jul 02, 2020•13 min•Ep. 14
On this episode of inSecurities , Chris and Kurt explore the wide-ranging universe of coronavirus-related fraud schemes with Fabio Leonardi, an Assistant United States Attorney and the Coronavirus Fraud Coordinator for the Northern District of Texas, and Lesley Brovner, a defense attorney in Manhattan and seasoned prosecutor who served as the former First Deputy Commissioner of New York City’s Department of Investigation. Please note: CLE and CPE credit are not offered for listening to this podc...
Jun 16, 2020•54 min•Ep. 13
In this episode of inSecurities, we’d like to spotlight an episode from PLI’s sister podcast Pursuing Justice: The Pro Bono Files . Listen as host Alicia Aiken is joined by guests Brad Karp, Jean McLoughlin and Robert Atkins from Paul, Weiss for an important dialogue: "Pro Bono in a Pandemic: A Law Firm Goes All In." As soon as it became clear that COVID-19 was going to have a major impact on the United States, Brad Karp, Chairman of the law firm Paul, Weiss, started thinking about how he could ...
Jun 05, 2020•40 min•Ep. 12
Legal business development and marketing experts Deborah Farone and Stefanie Marrone talk with Chris and Kurt about the strategies and tactics they leverage to help law firms, individual attorneys and practitioners build thriving practices. From increasing revenues, to expanding networks, to improving the quality of client relationships, Deborah and Stefanie offer advice and experience on the simple things that can make a big difference in business development outcomes. Please note: CLE and CPE ...
May 21, 2020•1 hr 4 min•Ep. 11
Public companies, investors, and financial services firms may be subject to state securities laws, sometimes called “Blue Sky Laws.” At the heart of the state regulatory system is the North American Securities Administrators Association (NASAA), which represents state and provincial securities regulators in the United States, Canada, and Mexico. On this episode of inSecurities , we chat with NASAA’s General Counsel, Vince Martinez, about the role of NASAA, some of its members’ policy positions, ...
May 07, 2020•57 min•Ep. 10
On this episode of inSecurities , Chris and Kurt chat with Dean Jessica Tillipman (GW Law) and Professor Andrew Spalding (UR Law) about Foreign Corrupt Practices Act enforcement trends and policy, and about several noteworthy cases that test the bounds of FCPA jurisdiction. Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI....
Apr 23, 2020•1 hr 8 min•Ep. 9
The novel coronavirus known as COVID-19 has rapidly spread around the globe, causing a healthcare crisis, business disruptions, and extraordinary market volatility. As regulatory authorities grapple with the appropriate responses to the COVID-19 pandemic, so do law firms, accounting firms and practitioners. Recording from home, in this episode Chris and Kurt have an informal conversation about COVID-19 and its impact on their personal and professional lives. Listen as they discuss some of the is...
Apr 09, 2020•39 min•Ep. 8
Link to the podcast page on the PLI website. PLI’s SEC Institute gathers and disseminates relevant SEC, PCAOB, FASB, and legal industry updates on a quarterly basis with the SEC Institute Newsletter. On this episode of inSecurities , Chris and Kurt discuss the most recent newsletter with George Wilson, Director of the SEC Institute, with a focus on new pronouncements regarding SEC Filings and Management’s Discussion & Analysis, Shareholder Proposal rulemaking, LIBOR transition, ESG disclosur...
Mar 26, 2020•57 min•Ep. 7
On this episode of inSecurities, Kurt and Chris discuss whistleblower rules and the explosion of tips from whistleblowers to the SEC and other government agencies in recent years. Joining them on this episode is Matt Stock, a Washington D.C. attorney who represents whistleblowers before the SEC and other regulatory agencies. Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessaril...
Mar 12, 2020•53 min•Ep. 6
Equity market structure reform is largely a bipartisan issue. On this episode of inSecurities , Chris and Kurt take a look at the structure of our stock markets with two special guests, former SEC Commissioner Robert Jackson and George Mason Law Professor J.W. Verret. Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.
Feb 27, 2020•55 min•Ep. 5
This week on inSecurities we'll be doing the first of our 'Deep Dive' series, where we go in-depth on a single topic to give you an overall idea of what that topic is all about. In this episode, we take a look into the world of insider trading. Whether it's complex plans or simple ideas to trade against the market, insider trading impacts both the headlines and the securities markets across a variety of areas. Please note: CLE and CPE credit are not offered for listening to this podcast, and the...
Feb 13, 2020•47 min•Ep. 4
The SEC’s OCIE and FINRA recently released their 2020 exam priorities. Today on the show, we’ll explore what the priorities tell us. Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.
Jan 30, 2020•44 min•Ep. 3
Kurt and Chris break down their top five securities, regulatory, and enforcement developments to expect in 2020, including blockbuster cases coming down the pike, SEC enforcement trends and more. Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.
Jan 16, 2020•28 min•Ep. 2
2019 was a remarkable year in the securities regulatory and enforcement space. In this episode of inSecurities we’ll break down record enforcement results, vigorous dissents to rulemaking packages and legislative fixes to thorny legal issues. Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.
Jan 16, 2020•31 min•Ep. 1
Welcome to inSecurities, a new podcast from the Practising Law Institute. Hosted by Chris Ekimoff, a forensic accountant, and Kurt Wolfe, a securities regulatory attorney, inSecurities is an in-depth biweekly podcast showcasing practitioner perspectives on changes within the securities field. Chris and Kurt discuss how changes to the rules and regulations will affect your businesses or your clients while providing background from two separate but overlapping perspectives. In an increasingly comp...
Jan 15, 2020•2 min
