inSecurities
CYBER THURSDAY!

CYBER THURSDAY!

December 1, 2022

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.

 

 

BONUS EPISODE: Unpacking the Annual SEC Enforcement Report

BONUS EPISODE: Unpacking the Annual SEC Enforcement Report

November 22, 2022

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 Goody Guillén (BakerHostetler), Jane Norbert (Arnold & Porter), and Howard Scheck (StoneTurn) to unpack the results.

[Read the SEC’s Annual Enforcement Report here; the Whistleblower Report is here.]

Accounting for Enforcement

Accounting for Enforcement

November 17, 2022

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 recognition. 

Securities Wheel of Fortune

Securities Wheel of Fortune

November 3, 2022

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 investment advisers.

Securities Regulation at an Inflection Point

Securities Regulation at an Inflection Point

October 20, 2022

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/. 

The Highest Duty of Care: Preserving the Fiduciary Standard

The Highest Duty of Care: Preserving the Fiduciary Standard

October 6, 2022

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 interpretation and Regulation Best Interest, and what the future of the fiduciary standard might look like. Knut also shares details about panel discussions and content available through the Institute’s Fiduciary September program. Learn more here:  https://thefiduciaryinstitute.org/2022-2/. 

Investor Protection for ESG Investing and Complex Products

Investor Protection for ESG Investing and Complex Products

September 22, 2022

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 down several investor protection rules and policies CFA supports, including initiatives relating to ESG investing and complex products. 

Top Takeaways from The SEC Speaks in 2022

Top Takeaways from The SEC Speaks in 2022

September 15, 2022

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 regulation and enforcement, SEC rulemaking, auditing and accounting updates, and developments within the SEC’s Division of Enforcement.

TEASER – SEC Speaks From the Conference Floor

TEASER – SEC Speaks From the Conference Floor

September 8, 2022

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!

FASB, the Climate, and SOX. Oh my!

FASB, the Climate, and SOX. Oh my!

August 25, 2022

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.