inSecurities

The SEC Then and Now – A Brief History of the SEC and a Visit with the SEC Historical Society

In this episode of PLI's inSecurities Podcast, Chris and Kurt discuss the legislation that created the SEC during the Great Depression, the evolution of the Commission in the decades since, and the increasingly prominent role of the SEC’s Enforcement Division. In addition, Jim Barratt, a Trustee at the SEC Historical Society, talks about the Society’s mission and shares resources available to practitioners in the securities industry.

Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.

Watching the Watchers – The PCAOB’s Role Overseeing Audit Firms

It is well known that auditors play a key role in providing assurance regarding financial information presented by publicly traded companies. It is less well known, however, that the Public Company Accounting Oversight Board — created under the Sarbanes-Oxley Act of 2002 — is charged with regulating registered audit firms and ensuring that the audit function benefits the public and the profession.

In this episode of inSecurities, Kurt and Chris speak with Robert Peak, a PCAOB official, and Jovy Dedaj, a trial attorney with experience in accounting firm oversight issues, and delve into the details of auditors, PCAOB inspections, and sanctions and enforcement actions taken against accounting firms as the PCAOB performs its mission.

Mid-Year Musings – A Look Back, Plus What to Expect in 2020

In January, Kurt and Chris served up their top five trends to watch in the securities regulatory and accounting space in 2020. (Check out Episode 2 for details!) Now that we are halfway through this unpredictable year, the inSecurities podcast co-hosts revisit their predictions and talk about how 2020 has taken shape so far. Kurt and Chris also take a peek around the corner, offering some tips on what to watch for in the second half of the year. 

 

Experts Explore the Cryptocurrency Landscape - From DLT to ICOs

In this episode of inSecurities, Chris and Kurt chat with cryptocurrency experts Teresa Goody Guillen, Usman Sheikh and Jason Somensatto about the ever-changing regulatory landscape for digital assets and distributed ledger technology.

Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.

 

 

 

 

Fourth of July Special - Grillside Chat with Kurt & Chris

Chris and Kurt talk about what the Fourth means to them, what the SEC usually gets up to on July 4th, and how Independence Day often signals the start of the summer slowdown for securities regulatory and enforcement practitioners. 

Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.

 

 

 

 

Prosecuting Fraud in the Time of COVID-19

On this episode of inSecurities, Chris and Kurt explore the wide-ranging universe of coronavirus-related fraud schemes with Fabio Leonardi, an Assistant United States Attorney and the Coronavirus Fraud Coordinator for the Northern District of Texas, and Lesley Brovner, a defense attorney in Manhattan and seasoned prosecutor who served as the former First Deputy Commissioner of New York City’s Department of Investigation. 

Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.

A Spotlight on PLI’s Pro Bono Podcast - Pursuing Justice: The Pro Bono Files

In this episode of inSecurities, we’d like to spotlight an episode from PLI’s sister podcast Pursuing Justice: The Pro Bono Files. Listen as host Alicia Aiken is joined by guests Brad Karp, Jean McLoughlin and Robert Atkins from Paul, Weiss for an important dialogue: "Pro Bono in a Pandemic: A Law Firm Goes All In."

As soon as it became clear that COVID-19 was going to have a major impact on the United States, Brad Karp, Chairman of the law firm Paul, Weiss, started thinking about how he could help people get through what was coming. From the firm's headquarters in New York City, Brad emailed 1,000 Paul Weiss lawyers to ask one simple question, "Who wants to work on a pro bono project to help people and small businesses affected by COVID-19?"

Link to the Coronavirus Relief Center can be found here

Link to Pursuing Justice: The Pro Bono Files can be found here

Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.

Business Development for Lawyers & Law Firms: A Conversation About Marketing, Selling, and Social Media in Today’s Legal Environment

Legal business development and marketing experts Deborah Farone and Stefanie Marrone talk with Chris and Kurt about the strategies and tactics they leverage to help law firms, individual attorneys and practitioners build thriving practices. From increasing revenues, to expanding networks, to improving the quality of client relationships, Deborah and Stefanie offer advice and experience on the simple things that can make a big difference in business development outcomes. 

Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.

Blue Skies: NASAA’s GC on State Securities Regulation

Public companies, investors, and financial services firms may be subject to state securities laws, sometimes called “Blue Sky Laws.” At the heart of the state regulatory system is the North American Securities Administrators Association (NASAA), which represents state and provincial securities regulators in the United States, Canada, and Mexico. On this episode of inSecurities, we chat with NASAA’s General Counsel, Vince Martinez, about the role of NASAA, some of its members’ policy positions, and its relationship to the SEC and other securities regulatory agencies. 

Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.

FCPA Policy and Enforcement: A Conversation with Jessica Tillipman and Andy Spalding

On this episode of inSecurities, Chris and Kurt chat with Dean Jessica Tillipman (GW Law) and Professor Andrew Spalding (UR Law) about Foreign Corrupt Practices Act enforcement trends and policy, and about several noteworthy cases that test the bounds of FCPA jurisdiction. 

Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.