inSecurities
Accounting & Audit Enforcement Trendspotting

Accounting & Audit Enforcement Trendspotting

August 11, 2022

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.

A GAAP in Your Financial Reporting: Focusing on Accounting & Disclosure Issues (Rebroadcasted)

A GAAP in Your Financial Reporting: Focusing on Accounting & Disclosure Issues (Rebroadcasted)

July 28, 2022

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 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.

AICPA & CIMA, and the Future of Accounting

AICPA & CIMA, and the Future of Accounting

July 14, 2022

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 with a focus on staying current for their members and the markets as a whole.

Tom Hood, Executive Vice President for Business Growth and Engagement at the Association of International Certified Professional Accountants, joins inSecurities to talk about the history of the AICPA, today’s focus on integrity and quality, and a look to the future regarding ESG, blockchain technology, and the evolution of the accounting profession as a whole.

For more information on topics discussed in this episode, see the links below:

https://www.aicpa.org/home

https://www.aicpa-cima.com/

https://www.cimaglobal.com/

https://www.thiswaytocpa.com/

https://www.evolutionofcpa.org/

Securities Fraud 20 Years After SOX

Securities Fraud 20 Years After SOX

June 30, 2022

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 discussing SEC Enforcement trends in Episode 30, as he shares his take on SOX and talks about his upcoming book The Valuation Treadmill: How Securities Fraud Threatens the Integrity of Public Companies. (Pre-order The Valuation Treadmill today!)

Tracking Ponzi Schemes With Jordan Maglich

Tracking Ponzi Schemes With Jordan Maglich

June 16, 2022

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, what victims of these frauds can expect in terms of recovery, and his upcoming presentation alongside Chris at the ACFE Global Fraud Conference titled “Don’t You Lie To Me: Ponzi Scheme Outcomes and Legal Theories.”

Covering the Commission with Mark Schoeff Jr.

Covering the Commission with Mark Schoeff Jr.

June 2, 2022

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. 

Inside the Municipal Securities Market: A Conversation with Mark Kim

Inside the Municipal Securities Market: A Conversation with Mark Kim

May 19, 2022

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.  

 

On the Path to Well-Being: Expert Perspectives for Attorneys and Accountants

On the Path to Well-Being: Expert Perspectives for Attorneys and Accountants

May 5, 2022

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 to wellness.

First, Chris and Kurt chat with Denise Perme, Associate Director of the D.C. Bar’s Lawyer Assistance Program, to talk about drivers of substance use disorders, anxiety, depression, and stress, and to highlight resources available for professionals who need help on their path to wellness.

Next, Chris and Kurt talk with Gretchen Pisano, CEO and co-founder of pLink Leadership, and an executive coach and consultant who leans on her background in behavioral science and positive psychology to fundamentally change the way people work and lead.

There’s much to learn from this essential episode of the inSecurities podcast. Most importantly, if you are grappling with any of the issues we address in this issue, please remember that you are not alone. Reach out to an LAP Support Group, talk to your employer about resources available at or through work, or phone a friend.

Learn more about the D.C. Bar’s Lawyer Assistance Program here, and tune in to the D.C. Bar’s wellness podcast, Toward Well-Being, here.

Learn more about the ABA’s Commission on Lawyer Assistance Programs or resources in your state here.

Learn more about pLink Leadership here.

Going Off the Beaten Path with Alex Su

Going Off the Beaten Path with Alex Su

April 21, 2022

“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 podcast, Alex offers advice to professionals who are considering their next career move.  

Follow Alex on TikTok (@legaltechbro) and Twitter (@heyitsalexsu), or subscribe to his Substack newsletter, Off The Record

Innovative Markets: Where Retail Investors and Market Makers Meet

Innovative Markets: Where Retail Investors and Market Makers Meet

April 7, 2022

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 innovative, competitive, and transparent capital markets.