Insecurities Podcastleri

Quinn Emanuel partners Michael Liftik, Sarah Heaton Concannon, and Dabney O’Riordan join this special episode of the inSecurities Podcast to unpack the SEC Division of Enforcement’s Annual Report, which was released on November 14, 2023. Kurt and the expert panel discuss the Division’s motivation to post impressive enforcement statistics and grab h…

Vinson & Elkins partner Rebecca Fike joins the inSecurities podcast to talk about insider trading, the SEC’s use of artificial intelligence and data analytics to root out misconduct, and the Enforcement Division’s focus on reporting and disclosure cases, including Environmental, Social, and Governance (ESG) reporting. She also explains how the Comm…

Miller & Chevalier Partner Sandra Hanna returns to the inSecurities podcast to discuss key takeaways from the Securities Enforcement Forum 2023. Sandra and Kurt talk about SEC Chair Gary Gensler’s remarks at the conference, which covered the SEC’s annual enforcement results, crypto enforcement, and the SEC whistleblower program. They also dive into…

After their discussion on CFTC enforcement, Kurt and CFTC Commissioner Caroline D. Pham discussed the current state of crypto regulation in the United States and the CFTC’s role in policing the digital assets marketplace. Tune in for the second installment of Commissioner Pham’s interview on the inSecurities podcast. For more insights from Commissi…

Commissioner Caroline D. Pham of the Commodity Futures Trading Commission joins Kurt on the inSecurities podcast to talk about the CFTC’s regulatory mandate, the role of CFTC enforcement, and the perils of what she calls “examination by enforcement.” Among other things, Commissioner Pham stresses the deterrent effect of holding wrongdoers accountab…

They’ve been waiting all year long just to talk to George. On this episode of the inSecurities podcast, Chris and Kurt sit down again with SEC Institute Director George Wilson to discuss recent SEC reporting, compliance, and accounting developments, including recent signals from the SEC’s Chief Accountant Paul Munter, the state of play in crypto ac…

On this episode of the inSecurities podcast, Chris and Kurt chat with SEC Commissioner Mark T. Uyeda about the state of the U.S. capital markets, Commissioner Uyeda’s views on the SEC rulemaking process, and “the perils of regulation by theory and hypothesis.”Practising Law Institute tarafından oluşturuldu

In July 2023, the SEC proposed new rules that would require broker-dealers and investment advisers to address conflicts of interest that could arise from their use of predictive data analytics. On this episode of the inSecurities podcast, Chris and Kurt welcome back Professor James Tierney to talk about the proposed data analytics rule and Professo…

J.W. Verret, an Associate Professor of Law at the George Mason University Antonin Scalia Law School and a long-time friend of the inSecurities podcast, sits down with Chris and Kurt to discuss his new paper “Disgorgement Accounting After Liu v. SEC in Securities Enforcement Cases.” Professor Verret’s article is the first to link Liu’s directives on…

Nick Morgan, a Partner at Paul Hastings and Founder of the Investor Choice Advocates Network (ICAN), joins the inSecurities podcast to discuss the dangers of “regulation by enforcement.” Nick, Chris, and Kurt consider two amicus briefs ICAN filed that underscore the important differences between the traditional notice-and-comment rulemaking process…

On this episode of the inSecurities podcast, Chris and Kurt chat with Bryan Corbett, who serves as President and CEO of the Managed Funds Association, a Washington, D.C.-based industry group representing the alternative asset management industry. Bryan describes the role and advocacy work of the MFA, and discusses potential consequences of an unpre…

The inSecurities Accounting Summer School series returns with this “remedial” course on fundamental accounting principles from the “House of GAAP.” On this episode, Chris and Kurt break down the “matching principle” and “conservatism,” and talk about what can happen when companies get it wrong.Practising Law Institute tarafından oluşturuldu

Chris and Kurt catch up with Jennifer Leete, partner at Cravath, Swaine & Moore and author of the newly updated SEC Compliance and Enforcement Answer Book from PLI Press. In the Answer Book, Jennifer and her co-authors draw on their extensive experience serving on the staff at the SEC to answer hundreds of real-world questions on topics such as coo…

On this episode of the inSecurities podcast, Chris and Kurt dive into the ever-evolving world of insider trading. This episode picks up on themes our co-hosts addressed back on Episodes 4 (A Deep Dive Into Insider Trading) and 38 (Forensic Analytics: Algorithms and Analysis in Securities Markets), and brings listeners current on new trends and deve…

In recognition of Mental Health Awareness Month, Chris and Kurt revisit one of their favorite “off beat” episodes: On the Path to Well-Being: Expert Perspectives for Attorneys and Accountants. On this episode of the inSecurities podcast Chris and Kurt explore about some of the challenges many attorneys and accountants face, and how they can set out…

Summer blockbuster season is right around the corner. On this episode of the inSecurities podcast, Chris and Kurt talk about three movies that hit on a number of the securities regulatory and enforcement themes that often feature on inSecurities. Hang in for the final act, when Chris previews a financial crisis-era movie that might not be on your s…

On this episode of the inSecurities podcast, Chris and Kurt revisit Episode 47 (“Whistleblower Tips: Advice From a Former Chief of the SEC’s Whistleblower Office”), on which Jane Norberg, a partner at Arnold & Porter who previously served as the Chief of the SEC’s Whistleblower Office, discussed the SEC’s whistleblower program and how companies can…

George Wilson, the Director of PLI’s SEC Institute, joins the inSecurities podcast to talk about the recent Compliance and Disclosure Interpretations (C&Dis) — or as George likes to call them, “candies” — issued by the SEC’s Division of Corporation Finance, as well as changes in leadership at the SEC, the FASB’s take on crypto accounting, and amend…

On this episode of the inSecurities, Dabney O’Riordan, a partner at the law firm Quinn Emanuel and a former head of the SEC Enforcement Division’s Asset Management Unit (AMU), discusses the enforcement focus on private funds, registered investment advisers, and broker-dealers. She also explains the Enforcement Division’s focus on compliance with re…

SEC Commissioner Jaime Lizárraga joins the inSecurities podcast to talk about his road to becoming an SEC Commissioner and the core values he brings to the role. Commissioner Lizárraga also offers his thoughts on the SEC’s investor protection mandate, recent SEC proposals, digital asset securities, and diversity, equity, and inclusion (DEI). Commis…

On this episode of the inSecurities podcast, Chris and Kurt sit down with Joshua Rivera, General Counsel of Blockchain Capital and a member of Blockchain Association’s Board of Directors, to learn about the state of the crypto markets and how the SEC’s positions on staking, registration requirements, and the custody rule may impact the digital asse…

Former SEC Commissioner Troy Paredes joins Chris and Kurt to discuss securities regulatory policy, rulemaking, and enforcement, including potential rules or guidance relating to environmental, social, and governance (ESG) disclosures and digital asset securities. inSecurities Homepage Episode page on PLI.edu Please note: CLE and CPE credit are not …

Bruce Dubinsky is a forensic accountant with experience in a number of blockbuster cases, including the Enron scandal and the Lehman Brothers collapse. Bruce has also appeared as an expert witness in matters relating to the Bernie Madoff Ponzi scheme and recently featured in the new Netflix documentary Madoff: The Monster of Wall Street. On this ep…

The securities regulatory landscape is constantly evolving. Over the years, the federal securities laws and SEC rules have been shaped and reshaped by a number of blockbuster cases. Those cases get at key questions, such as: What is a security? How much deference do we owe the SEC to interpret the federal securities laws? Who makes statements that …

Chris and Kurt mark the New Year with a look back at the biggest securities regulation and enforcement stories from 2022. The hosts revisit episodes featuring Stephanie Avakian, Michael Liftik, Carla Carriveau, Jim Toes, and Matt Jacques, whose comments and predictions remain relevant, even as we enter a new year.…

As Managing Director of Enforcement at CFP Board, Tom Sporkin leads the organization’s detection, investigation, and prosecution activities. On this episode of the inSecurities podcast, Chris and Kurt chat with Tom about the CFP® certification and how CFP Board enforces its Code of Ethics and Standards of Conduct when CFP® professionals are alleged…

It’s been nearly two years since we talked cybersecurity on the inSecurities podcast. On this “Cyber Thursday” episode, Chris and Kurt bring you up to speed on important regulatory and enforcement developments that are shaping the cybersecurity landscape.Practising Law Institute tarafından oluşturuldu

On November 15, the SEC announced its Enforcement results for Fiscal Year 2022, along with annual results from the SEC’s Office of the Whistleblower. On this bonus episode of the inSecurities podcast, Chris and Kurt discuss some of the key takeaways from the reports — and recruit help from past guests Sarah Heaton Concannon (Quinn Emanuel), Teresa …

On this episode of the inSecurities podcast, Chris and Kurt chat with Matt Jacques, a former Chief Accountant for the SEC’s Division of Enforcement. Matt discusses the role of the Chief Accountant, the auditor’s responsibility for identifying fraud, and a few hot topics in SEC accounting and disclosure cases, including materiality and revenue recog…

There’s a lot happening in the securities regulatory and enforcement space. On this episode, Chris and Kurt spin the securities wheel of fortune to pick a few hot topics, including a reminder of the auditor’s responsibility for fraud detection, an SEC Enforcement sweep involving text messages, executive compensation clawbacks, and outsourcing by in…

Security Traders Association President and CEO Jim Toes joins Chris and Kurt to unpack key themes from the STA’s 89th Annual Market Structure Conference in Washington, D.C., including crypto regulation, best execution, “gamification,” payment for order flow and other market plumbing issues. Learn more about the STA here: https://securitytraders.org…

On this episode of the inSecurities podcast, Kurt sits down with Knut Rostad, co-founder and president of the Institute for the Fiduciary Standard, to talk about the fiduciary standard registered investment advisors owe their clients, how the SEC interprets that standard in 2022, the challenges and opportunities for advisors created by the SEC’s in…

On this episode of the inSecurities podcast, Chris and Kurt chat with Micah Hauptman, who recently returned to the Consumer Federation of America as Director of Investor Protection, having previously served as counsel to SEC Commissioner Caroline Crenshaw. Micah talks about noteworthy accomplishments during his time at the Commission and breaks dow…

Chris and Kurt recently attended PLI’s annual SEC Speaks conference in Washington, D.C. During the program, high-ranking SEC officials offered their views on the SEC’s top regulatory and enforcement priorities. On this episode of the inSecurities podcast, Chris and Kurt discuss their takeaways from The SEC Speaks in 2022. On the agenda: crypto regu…

Chris and Kurt discuss their initial thoughts live from PLI's The SEC Speaks in 2022 program. There’s still time to register, so click over to www.PLI.edu and sign up for the virtual attendance option, or stay tuned for a special episode next week when our co-hosts will discuss more of what they saw and heard at SEC Speaks!…

On this episode of the inSecurities podcast, Chris & Kurt catch up with George Wilson, Director of PLI’s SEC Institute, to discuss recent developments at the SEC and possible changes on the horizon for FASB and PCAOB standards. Plus, to commemorate the 20th anniversary of the Sarbanes-Oxley Act, George tests Chris & Kurt with some SOX trivia.…

Accounting Summer School continues as Chris and Kurt chat with Howard Scheck, a Partner at StoneTurn Group LLP and a former Chief Accountant in the SEC’s Division of Enforcement. They discuss Howard’s career as a JD/CPA, his experience in the Division of Enforcement, and his take on today’s trends in accounting and audit enforcement.…

While Chris and Kurt enjoy some time away during their summer, "Accounting Summer School" continues with a rebroadcast of our episode from November 2020: A GAAP in Your Financial Reporting. On this episode of InSecurities, Chris and Kurt take a deep dive into the complex issues regarding accounting fraud and issuer disclosures. Our co-hosts discuss…

For more than 100 years, the American Institute of Certified Public Accountants (AICPA) has led the profession through triumphs and challenges in a dynamic financial reporting and auditing environment. In recent years the AICPA has collaborated with the Chartered Institute of Management Accountants (CIMA) to continue to lead accountants globally wi…

Marking 20 years since the passing of the landmark Sarbanes - Oxley Act of 2002, Chris and Kurt talk about SOX’s origin story; its perceived influence on accounting, auditing, and the law; and the lasting implications of SOX in today’s markets. They are joined by Professor James J. Park of the UCLA School of Law, who returns to the podcast after di…

Ponzi schemes are a consistent and recurring issue in our securities markets, and investors continue to fall victim to these frauds. On this episode of the inSecurities podcast, Chris and Kurt talk with Jordan Maglich, practicing attorney and founder of the law blog Ponzitracker, about what he’s seen in more than a decade of tracking Ponzi schemes,…

Cryptocurrency, ESG, complex products, Reg BI — there’s a lot happening in the securities regulatory and enforcement world. On this episode of the inSecurities podcast, Chris, Kurt, and InvestmentNews Senior Reporter Mark Schoeff Jr. break down some of the hot topics and trends.Practising Law Institute tarafından oluşturuldu

On this episode of inSecurities, Chris & Kurt chat with Mark Kim, Chief Executive Officer of the Municipal Securities Rulemaking Board (MSRB). They discuss the $4 trillion municipal securities market, the role of the MSRB, and how the MSRB is building more efficient and transparent markets.   Practising Law Institute tarafından oluşturuldu

May is Mental Health Awareness Month, and the first week of May is Well-Being Week in Law. To complement PLI’s catalog of mental health and well-being programs, on this episode Chris and Kurt step away from the world of securities regulation to talk about some of the challenges many attorneys and accountants face, and how they can set out on a path…

“If you want to do something extraordinary you will have to inevitably do something uncomfortable and scary.” In other words, go off the beaten path. That’s the advice of Alex Su, a lawyer turned-social media influencer, author of the Off The Record newsletter, and Head of Community Development at Ironclad. On this episode of the inSecurities podca…

On this episode of the inSecurities podcast, Chris and Kurt chat with Kirsten Wegner, CEO of Modern Markets Initiative (“MMI”), about the rise of the retail investor, the role of market makers in promoting fair and efficient markets, and the ubiquity of algorithmic and high-frequency trading. They also learn about MMI’s efforts to promote innovativ…

On March 9, 2022, President Biden signed an Executive Order on Ensuring Responsible Development of Digital Assets, marking the “first ever, whole-of-government approach to addressing the risks and harnessing the potential benefits of digital assets and their underlying technology.” On this episode of inSecurities, Chris and Kurt sit down with exper…

Chris & Kurt chat with FINRA’s Deputy Head of Enforcement, Chris Kelly, to learn what it’s like on the front lines of FINRA Enforcement. Chris discusses how FINRA’s role as a self-regulatory organization helps it fulfill its regulatory mandate, what FINRA means when it says its goal is “to get to the right regulatory outcome,” and why member firms …

Kurt and Chris welcome back SECI Director George Wilson to cover recent developments in SEC, PCAOB, and FASB news. George gives his take on new PCAOB leadership, goodwill accounting standards reform, recent developments around 10b5-1 plans, and the stock buyback regulations. Subscribe to the SEC Institute’s Quarterly Newsletter.…

Stephanie Avakian, the head of WilmerHale’s Securities and Financial Services Department and a former Director of the SEC’s Enforcement Division, talks with Chris and Kurt about changes in tone for the Division of Enforcement, current enforcement priorities, and what she’s watching on the enforcement horizon.…