There’s so much to learn at PLI’s 53rd Annual Institute on Securities Regulation! Chris and Kurt sit down with program Co-Chairs Meredith Cross of WilmerHale, Keir Gumbs of Broadridge Financial Solutions, and Carmen Lawrence of King & Spalding to hear what the program has to offer. Please visit https://www.pli.edu/insecurities for more information.
Whistleblower tips are streaming into the SEC, so it’s critically important for companies to develop effective parallel internal reporting systems. Jane Norberg, a partner at Arnold & Porter who previously served as the Chief of the SEC’s Whistleblower Office, chats with Chris and Kurt about the state of the SEC’s whistleblower program and how companies should encourage, triage and investigate whistleblower tips. Link to podcast page on PLI.edu...
It’s time to rethink securities law, argues SMU Dedman School of Law Professor Marc Steinberg in his latest book Rethinking Securities Law . There are “many deficiencies and inconsistencies in the current regimen,” he says. Chris and Kurt sit down with Professor Steinberg to discuss his recommendations. Learn more about the book, or purchase online, at via Oxford University Press: https://global.oup.com/academic/product/rethinking-securities-law-9780197583142?cc=us&lang=en&...
Chris & Kurt sit down with George Wilson, Director of PLI’s SEC Institute (SECI), to talk about SEC Chair Gary Gensler’s regulatory agenda and priorities, including ESG and other accounting and disclosure hot topics featured in the forthcoming SECI Quarterly Newsletter. Link to episode page on PLI.edu https://www.pli.edu/insecurities
We’d like to share an episode from PLI’s sister podcast, Pursuing Justice: The Pro Bono Files . Listen as host Alicia Aiken is joined by Indiana pro bono stakeholders Charles R. Dunlap, Judge Melissa S. May, Kelly Tautges and Scott Wylie for an important conversation: “Turning Crisis Into Opportunity.” Running a pro bono program costs money ‒ and Indiana’s statewide legal services program faced a serious financial challenge. Find out how these Indiana pro bono stakeholders pulled together and, w...
Chris & Kurt chat with Wes Bricker, a former Chief Accountant at the SEC and current Vice Chair and Co-Leader of US Trust Solutions at PwC, about how the SEC’s Office of the Chief Accountant works, perennial accounting hot topics, and emerging issues relating to meme stocks, SPACs and ESG disclosures.
Everyone’s talking about SPACs – and not just in the securities reg world! This week on inSecurities , we dive into special purpose acquisition companies, or “SPACs,” to figure out what they are, how they work, and what they mean for investors and startups looking for a quick route to “go public. | Please take a moment to fill out our listener survey ! Episode page on PLI.edu can be found here...
Happy Fourth of July from inSecurities ! In this episode, Chris & Kurt reflect on several milestones (including crossing the 10,000 downloads mark!), how the COVID-19 pandemic has changed our lives and practices, and some of our favorite inSecurities guests and episodes. Love the inSecurities podcast? Don’t forget to rate and review the podcast on Apple Podcasts, or wherever you listen to podcasts. And please take a moment to fill out our new listener survey! ----more---- Link to podcast pag...
Many are eager to see how the SEC will approach investment adviser/broker-dealer regulation and enforcement in the Biden Administration. On this episode of inSecurities , SEC Commissioner Caroline Crenshaw shares her views on how the Commission’s investor protection mission guides her approach to Regulation Best Interest, enforcement, and setting corporate penalties. The Commissioner also offers some thoughts on cybersecurity and showtunes to round out the conversation....
Kurt chats with Cliff Kirsch of Eversheds Sutherland about the benefits of PLI’s investment adviser and broker-dealer resources, and about Cliff’s many contributions to PLI programs and publications, including the upcoming live webcast Securities Law and Practice 2021: How the SEC Works on June 28. ----more---- Link to PLI's Broker Dealer Blog Link to product details page for Securities Law and Practice 2021: How the SEC Works Link to Cliff Kirsch's PLI Biography and Associated Items...
Professors Alan Jagolinzer and Dan Taylor join the podcast to discuss recent research using forensic analytics, and share insights with Chris and Kurt on how that analysis impacts legislative, regulatory, and enforcement decisions in today’s securities landscape.
Kimberly Ellison-Taylor and Genna Garver are champions for diversity and inclusion. They talk with Chris & Kurt about actionable steps to promote diversity and inclusion in the accounting and legal professions.
The PLI program Enforcement 2021: Perspectives from Government Agencies offers a unique opportunity to hear directly from senior staff at various government agencies. Chris and Kurt get a sneak peek at the program from Co-Chairs Robert A. Cohen (Davis Polk), Joan E. McKown (Jones Day) and Richard D. Owens (Latham & Watkins). Register here: https://www.pli.edu/programs/enforcement-perspectives-from-government-agencies?t=live...
ESG investing and climate risk disclosure are hot topics at the SEC. Chris & Kurt sit down with Commissioner Hester Peirce to talk about materiality, the disclosure framework, and crafting the perfect speech title.
Chris and Kurt chat with cybersecurity regulatory and policy experts Chris Hetner and Robert Peak about cyberthreats that emerged during the COVID-19 pandemic, the federal and state cybersecurity regulatory landscape, and cybersecurity regulatory priorities in the Biden Administration
Chris and Kurt sit down with Larry Ritchie of Osler, Hoskin & Harcourt, and Stephanie Greenwald of RSM to talk about distinctions between US and Canadian securities regulation and enforcement, and how we should think about emerging cross-border issues.
Chris and Kurt chat with SEC Institute Director George Wilson about hot topics in the SECI’s quarterly newsletter, including leadership transitions at the SEC, MD&A and other disclosures in the time of COVID-19, SPACs, ESG and changes at the PCAOB.
Chris and Kurt chat with David Miller, a Shareholder at Greenberg Traurig, who serves as a technical advisor to the writers of Showtime’s hit drama series Billions . David shares the experiences that qualify him to consult on the show and explains how the writers work tirelessly to “get it right.” He also answers tough questions like “Wags or Wendy” and “Taylor Mason or Dollar Bill.”
SPACs, conflict minerals, ICOs, ESG, the STOCK Act, the FCPA and more . . . Chris and Kurt sit down with professors Karen Woody of the Washington & Lee University School of Law and James Park of the UCLA School of Law to discuss securities regulatory and enforcement trends that may develop in the Biden Administration.
Chris and Kurt chat with Russ Ryan about his popular newsletter On SECond Thought… and what he sees on the horizon for SEC enforcement. They also explore Russ’s reputation for playing hardball . . . in an adult baseball league.
On this episode of inSecurities , Chris and Kurt introduce you to a few of their favorite podcasts, including short interviews with Jeff Benjamin, co-host of The Investment News Podcast; Amber McKinney, co-host of the Law360’s Pro Say; Mandy Moody, host of ACFE’s Fraud Talk; and Andrew Jennings, host of the Business Scholarship Podcast . Tune in! Link to episode on pli.edu: https://www.pli.edu/insecurities/episode-28 ----more---- The InvestmentNews Podcast: https://www.investmentnews.com/podcast...
Chris and Kurt take a break from their usual recording schedule to reflect on some of their favorite moments from year one of the inSecurities podcast.
The SEC’s whistleblower program shattered records in 2020. On this episode of the inSecurities podcast, Chris and Kurt take a look at the numbers and break down recent amendments to the SEC’s whistleblower rules. Our co-hosts also chat with New York Times best-selling author Tom Mueller about challenges many whistleblowers face, the state of the SEC’s whistleblower program, and his book, Crisis of Conscience: Whistleblowing in an Age of Fraud. ----more----...
FY2020 was a year unlike any other for SEC enforcement. Chris, Kurt and Sandra Hanna, managing partner of Bruch Hanna, unpack key themes and trends from the SEC Enforcement Division’s Annual Report. Are we entering an era of “smart enforcement”? Tune in to find out. ----more---- Link to the podcast page for this episode Link to the inSecurities homepage...
Chris and Kurt talk about what a Biden administration could mean for the U.S. Securities and Exchange Commission and the securities regulatory landscape. ----more---- Link to the podcast page for this episode Link to the inSecurities homepage
On this episode of PLI 's inSecurities , Chris and Kurt take a deep dive into the complex issues regarding accounting fraud and issuer disclosures. Our co-hosts discuss the basic tenets of accounting, the securities laws applicable and often charged in accounting fraud matters, and recent cases that demonstrate the SEC’s focus and messaging regarding accounting fraud and the people who commit it. ----more---- Link to the podcast page for this episode Link to the inSecurities homepage...
Each year PLI presents, in cooperation with the U.S. Securities and Exchange Commission, The SEC Speaks program, which provides an essential update on the current initiatives as well as the priorities of the Commission for the coming year. On this episode of inSecurities , Chris and Kurt discuss their takeaways - and top tweets - from The SEC Speaks in 2020 . ----more---- Link to the podcast page for this episode Link to the SEC Speaks in 2020 Product Page Link to the inSecurities homepage...
On this episode of the inSecurities podcast, Chris and Kurt chat with John Ramsay of IEX and Dan Eisemann of MFS about algorithmic and high-frequency trading. John and Dan also tell us how technological innovations, new trading strategies, and regulatory changes are reshaping the U.S. equity markets. Link to podcast page
On this episode of PLI 's inSecurities podcast, Chris and Kurt sit down with several current 3Ls and recent grads to talk about their experiences looking for jobs during the COVID-19 pandemic. Chris and Kurt also have a wide-ranging conversation with career counselors from GW Law, Howard Law and the University of Richmond School of Law about how students can prepare for a different kind of recruiting cycle, and why there’s reason to be optimistic....
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 , Kurt and Chris cover the past quarter’s developments in SEC, PCAOB, and FASB news with repeat guest George Wilson of PLI’s SEC Institute. They revisit their predictions from Episode 4 back in March, and George speaks to current developments in COVID relief, financial reporting disclosures, and proxy rules, a...
