PLI’s in-depth podcast examining changes to securities rules, regulations, and cases from a practitioner’s perspective in both law and accounting.
Episodes
Thursday Apr 13, 2023
The CorpFin Candy Dish
Thursday Apr 13, 2023
Thursday Apr 13, 2023
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 amendments to Rule 10b5-1.
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.
Thursday Mar 30, 2023
Compliance and Enforcement Considerations for Private Funds & RIAs
Thursday Mar 30, 2023
Thursday Mar 30, 2023
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 recordkeeping requirements for text messages and other “off-channel communications,” the SEC’s marketing rule, and ESG-related investment products and strategies.
Thursday Mar 16, 2023
Commissioner Jaime Lizárraga’s Core Values
Thursday Mar 16, 2023
Thursday Mar 16, 2023
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).
Commissioner Lizárraga encourages investors to visit Investor.gov (in English or Spanish) — the SEC’s online portal — for tips for avoiding investment fraud and for selecting investment professionals, information on understanding fees and compound interest, and other resources like financial calculators.
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.
Thursday Mar 02, 2023
Crypto Winter in Washington
Thursday Mar 02, 2023
Thursday Mar 02, 2023
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 assets ecosystem.
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.
Thursday Feb 16, 2023
Paredes on SEC Policies & Priorities
Thursday Feb 16, 2023
Thursday Feb 16, 2023
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.
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.
Thursday Feb 02, 2023
An Expert on the “Monster of Wall Street”
Thursday Feb 02, 2023
Thursday Feb 02, 2023
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 episode of the inSecurities Podcast, Chris and Kurt chat with Bruce about the important role of forensic accountants and his work on the Madoff matter.
Thursday Jan 19, 2023
Blockbuster Securities Cases
Thursday Jan 19, 2023
Thursday Jan 19, 2023
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 may form the basis of a securities fraud claim? And what is the statute of limitations for SEC enforcement action? On this episode of the inSecurities podcast, co-hosts Chris and Kurt look back at several seminal cases that have shaped the securities landscape.
Thursday Jan 05, 2023
Crypto, Best Ex, Gatekeepers, Enforcement: The Biggest Stories From 2022
Thursday Jan 05, 2023
Thursday Jan 05, 2023
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.
Thursday Dec 15, 2022
Setting the Standard: Tom Sporkin on CFP Board Enforcement
Thursday Dec 15, 2022
Thursday Dec 15, 2022
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 to have fallen short of their obligations.
Learn more about CFP Board and its Enforcement team here: https://www.cfp.net/.
Thursday Dec 01, 2022
CYBER THURSDAY!
Thursday Dec 01, 2022
Thursday Dec 01, 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.