inSecurities

Alternative Asset Managers in the Crosshairs

On this episode of the inSecurities podcast, Chris and Kurt chat with Bryan Corbett, who serves as President and CEO of the Managed Funds Association, a Washington, D.C.-based industry group representing the alternative asset management industry. Bryan describes the role and advocacy work of the MFA, and discusses potential consequences of an unprecedented wave of SEC rulemakings for alternative asset managers, including the private funds proposal.

(Remedial) Accounting Summer School

The inSecurities Accounting Summer School series returns with this “remedial” course on fundamental accounting principles from the “House of GAAP.” On this episode, Chris and Kurt break down the “matching principle” and “conservatism,” and talk about what can happen when companies get it wrong.

Opening the Securities Enforcement Answer Book

Chris and Kurt catch up with Jennifer Leete, partner at Cravath, Swaine & Moore and author of the newly updated SEC Compliance and Enforcement Answer Book from PLI Press. In the Answer Book, Jennifer and her co-authors draw on their extensive experience serving on the staff at the SEC to answer hundreds of real-world questions on topics such as cooperating with the SEC, handling parallel investigations, the Wells process, and remedies and sanctions; a number of substantive hot topics, like crypto investigations and cybersecurity issues; along with perennial favorites like insider trading, Foreign Corrupt Practices Act investigations, offering fraud, and more. 

 

A View From the Inside

On this episode of the inSecurities podcast, Chris and Kurt dive into the ever-evolving world of insider trading. This episode picks up on themes our co-hosts addressed back on Episodes 4 (A Deep Dive Into Insider Trading) and 38 (Forensic Analytics: Algorithms and Analysis in Securities Markets), and brings listeners current on new trends and developments in the area of insider trading prosecutions.

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

In recognition of Mental Health Awareness Month, Chris and Kurt revisit one of their favorite “off beat” episodes: On the Path to Well-Being: Expert Perspectives for Attorneys and Accountants. On this episode of the inSecurities podcast Chris and Kurt explore 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.

inSecurities Goes to the Movies

Summer blockbuster season is right around the corner. On this episode of the inSecurities podcast, Chris and Kurt talk about three movies that hit on a number of the securities regulatory and enforcement themes that often feature on inSecurities. Hang in for the final act, when Chris previews a financial crisis-era movie that might not be on your summer viewing list.

Whistling the Same Tune: Building an Effective Whistleblower Program

On this episode of the inSecurities podcast, Chris and Kurt revisit Episode 47 (“Whistleblower Tips: Advice From a Former Chief of the SEC’s Whistleblower Office”), on which Jane Norberg, a partner at Arnold & Porter who previously served as the Chief of the SEC’s Whistleblower Office, discussed the SEC’s whistleblower program and how companies can develop internal reporting systems that encourage, triage, and investigate whistleblower tips.

The CorpFin Candy Dish

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.

Compliance and Enforcement Considerations for Private Funds & RIAs

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. 

Commissioner Jaime Lizárraga’s Core Values

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.