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2 Sides of the Same Coin

Hosted by Chris Ekimoff, a forensic accountant, and Kurt Wolfe, a securities regulatory attorney, inSecurities is an in-depth biweekly podcast showcasing practitioner perspectives on changes within the securities field. Chris and Kurt discuss how changes to the rules and regulations will affect your businesses or your clients while providing background from two separate but overlapping perspectives.

In an increasingly complex business environment where intricate corporate structures reign, tune into inSecurities to help make sense of it all.

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.

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Meet the Hosts:

Chris Ekimoff

When the numbers don't add up or financial litigation is on the horizon, Chris brings the insight his clients need to balance the books. Chris is a Director at RSM US LLP and leads the Financial Investigations & Dispute Services ("FIDS") practice for the Southeast Region. He has provided litigation consulting and forensic accounting services — including as an expert witness —in internal investigations, and regarding financial reporting questions, allegations of accounting and auditing malpractice, and other complex financial and accounting issues. As a CPA/CFF and Certified Fraud Examiner, Chris has experience in investigating both the fraud in the financials, and the people who are alleged to have committed it.

Kurt Wolfe

Clients call on Kurt when facing complex internal investigations and government enforcement inquiries. Kurt is a member of Troutman Pepper's Government Investigations, Compliance and Enforcement practice and represents public companies, financial institutions, asset management firms, and individuals in internal investigations and government enforcement inquiries. He is experienced in securities regulatory matters and has represented clients in a wide range of investigations and enforcement proceedings, including matters involving securities fraud, accounting fraud, FCPA violations, insider trading and disclosure issues.

Episodes

Episode 11: 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.

Episode 10: 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.

Episode 9: 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.

Episode 8: Chris & Kurt on Working from Home During COVID-19

Recording from home, in this episode Chris and Kurt have an informal conversation about COVID-19 and its impact on their personal and professional lives. Listen as they discuss some of the issues they're confronting: how they've adjusted their working styles and schedules, challenges from a practice development perspective, and some unexpected silver linings.

Episode 7: A Conversation with George Wilson of PLI’s SEC Institute

PLI’s SEC Institute gathers and disseminates relevant SEC, PCAOB, FASB, and legal industry updates on a quarterly basis with the SEC Institute Newsletter. On this episode of inSecurities, Chris and Kurt discuss the most recent newsletter with George Wilson, Director of the SEC Institute, with a focus on new pronouncements regarding SEC Filings and Management’s Discussion & Analysis, Shareholder Proposal rulemaking, LIBOR transition, ESG disclosures, and a brief discussion of COVID-19 and its impact on the financial and legal world.

Episode 6: Inside the World of Whistleblowers - A Conversation with Attorney Matt Stock

Kurt and Chris discuss whistleblower rules and the explosion of tips from whistleblowers to the SEC and other government agencies in recent years. Joining them on this episode is Matt Stock, a Washington, D.C. attorney who represents whistleblowers before the SEC and other regulatory agencies.

Episode 5: A Conversation with Robert Jackson and J.W. Verret about Market Structure

Equity market structure reform is largely a bipartisan issue. On this episode of inSecurities, Chris and Kurt take a look at the structure of our stock markets with special guests former SEC Commissioner Robert Jackson and George Mason Law Professor J.W. Verret.

Episode 4: A Deep Dive into Insider Trading

This week on inSecurities we'll be doing the first of our 'Deep Dive' series. In this series, we’ll go in-depth on a single topic to provide an all-encompassing 360 degree view of it. In this episode, we take a look into the world of insider trading. Whether it's complex plans or simple ideas to trade against the market, insider trading impacts both the headlines and the securities markets across a variety of areas.

Episode 03: Exam Priorities Plus

The SEC’s OCIE and FINRA recently released their 2020 exam priorities. Episode three of inSecurities will explore what the priorities tell us.

Episode 02: Looking Ahead to 2020

Kurt and Chris break down their top five securities, regulatory, and enforcement developments to expect in 2020, including blockbuster cases coming down the pike, SEC enforcement trends and more.

Episode 01: 2019 in Review

2019 was a remarkable year in the securities regulatory and enforcement space. During this episode of inSecurities, Kurt and Chris will break down record enforcement results, vigorous dissents to rulemaking packages and legislative fixes to thorny legal issues.

SEC Institute Blog

Visit the SEC Institute Blog for updates and discussions regarding FASB and the SEC

inSecurities