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.
Featured in this Episode
Jim Barratt is an expert forensic accountant with over thirty years of experience. He assists law firms, companies, and board committees facing difficult issues involving financial fraud, regulatory investigations, and Foreign Corrupt Practices Act (FCPA) compliance and remediation. Jim applies his expertise gained as an independent auditor, internal audit director, chief compliance officer, and former U.S. Securities and Exchange Commission (SEC) enforcement accountant to provide clients with value-added solutions to critical problems. He has led engagements involving Freddie Mac, Lehman Brothers, and numerous global companies.
Jim is a CPA, is certified in financial forensics, and is a Certified Compliance and Ethics Professional. He is a frequent speaker on FCPA and fraud topics and serves on the boards of several nonprofit organizations, including the SEC Historical Society.