2015 SEC Enforcement Initiatives and Controls to Defend Them

Speaker

Instructor: H. David Kotz
Product ID: 704018
Training Level: Intermediate

Location
  • Duration: 75 Min
This training program will detail new SEC enforcement initiatives and discuss the SEC enforcement mindset. It will also discuss SEC enforcement trends over time and controls to put in place to prevent exposure.
RECORDED TRAINING
Last Recorded Date: Jul-2015

 

$149.00
1 Person Unlimited viewing for 6 month info Recorded Link and Ref. material will be available in My CO Section
(For multiple locations contact Customer Care)

$299.00
Downloadable file is for usage in one location only. info Downloadable link along with the materials will be emailed within 2 business days
(For multiple locations contact Customer Care)

 

 

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Fax: +1-650-362-2367

Email: [email protected]

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Why Should You Attend:

This webinar will highlight the newest initiatives arising from the SEC’s Enforcement Division and will provide practical information on how companies can defend themselves from SEC enforcement actions. It will also describe how to put controls in place to reduce exposure and liability. Presented by the former Inspector General of the SEC, who conducted several of the largest and highest-profile investigations in history, including relating to Bernie Madoff’s $50 billion Ponzi scheme and the collapse of Bear Stearns, this webinar will provide valuable information about SEC enforcement initiatives.

Learning Objectives:

  • Learn how to understand the new SEC enforcement initiatives
  • Learn how to understand the new SEC enforcement mindset
  • Learn about SEC enforcement trends over time
  • Learn about controls to put in place to prevent exposure
  • Learn how to defend SEC enforcement actions
  • Learn how to use the new SEC enforcement initiatives to one’s benefit

Areas Covered in the Webinar:

  • 2015 SEC Enforcement Initiatives
  • The New SEC Enforcement Mindset
  • SEC Enforcement Trends Over Time
  • SEC Enforcement’s Modified “Neither Admit Nor Deny” Policy
  • Impact of Greater Judicial Scrutiny of SEC Enforcement Settlement Agreements
  • SEC Enforcement’s Increased Focus on Cooperation Agreements

Who Will Benefit:

  • Compliance Officers
  • Offices of General Counsel
  • Compliance Personnel /Risk Assessment Professionals
  • Internal Investigators and Auditors
  • Operational Managers
  • CEOs and Senior Management Officials in Small to Mid-Size Firms
  • Human Resource Professionals
  • Security professionals
  • Public Agency Managers
  • Supervisory Personnel
  • Branch Auditors
  • Branch Office Managers
  • Registered Representatives
  • Senior Management

Instructor Profile:

H. David Kotz presently serves as a managing director at Berkeley Research Group (BRG), a leading global expert services and consulting firm. He is a member of BRG’s Capital Markets Practice, where he specializes in the regulation of and securities trading by broker-dealers, investment advisers, hedge funds, insurance companies and banks. He consults with and provides expert testimony on behalf of clients in a wide variety of areas relating to securities fraud, Ponzi schemes, securities market regulation, internal control risk policies, regulations of Futures Commission Merchants and commodities trading regulation. Mr. Kotz also focuses on internal investigations and matters relating to Foreign Corrupt Practices Act (FCPA) and Anti-Money Laundering regulations. He also serves as a compliance monitor for firms that have entered into deferred prosecution agreements and similar arrangements with government agencies.

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Registrants may cancel up to two working days prior to the course start date and will receive a letter of credit to be used towards a future course up to one year from date of issuance. ComplianceOnline would process/provide refund if the Live Webinar has been cancelled. The attendee could choose between the recorded version of the webinar or refund for any cancelled webinar. Refunds will not be given to participants who do not show up for the webinar. On-Demand Recordings can be requested in exchange. Webinar may be cancelled due to lack of enrolment or unavoidable factors. Registrants will be notified 24hours in advance if a cancellation occurs. Substitutions can happen any time. On-Demand Recording purchases will not be refunded as it is available for immediate streaming. However if you are not able to view the webinar or you have any concern about the content of the webinar please contact us at below email or by call mentioning your feedback for resolution of the matter. We respect feedback/opinions of our customers which enables us to improve our products and services. To contact us please email [email protected] call +1-888-717-2436 (Toll Free).

 

 

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