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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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Episodes

33. Securities North of the Border – Comparing US and Canadian Regulations & Enforcement

Chris and Kurt sit down with Larry Ritchie of Osler, Hoskin & Harcourt, and Stephanie Greenwald of RSM to talk about distinctions between US and Canadian securities regulation and enforcement, and how we should think about emerging cross-border issues.

32. MD&A, SPACs, ESG—Acronyms and More with George Wilson

Chris and Kurt chat with SEC Institute Director George Wilson about hot topics in the SECI’s quarterly newsletter, including leadership transitions at the SEC, MD&A and other disclosures in the time of COVID-19, SPACs, ESG and changes at the PCAOB.

31. How Does Billions Get It Right? Tricks of the Trade from the Show’s Technical Advisor

Chris and Kurt chat with David Miller, a Shareholder at Greenberg Traurig, who serves as a technical advisor to the writers of Showtime’s hit drama series Billions. David shares the experiences that qualify him to consult on the show and explains how the writers work tirelessly to “get it right.” He also answers tough questions like “Wags or Wendy” and “Taylor Mason or Dollar Bill.”

30. From Capital Formation to Enforcement: Law Professors Share Their Take on President Biden’s SEC

SPACs, conflict minerals, ICOs, ESG, the STOCK Act, the FCPA and more . . . Chris and Kurt sit down with professors Karen Woody of the Washington & Lee University School of Law and James Park of the UCLA School of Law to discuss securities regulatory and enforcement trends that may develop in the Biden Administration.

29. On SECond Thought: Russ Ryan on SEC Enforcement

Chris and Kurt chat with Russ Ryan about his popular newsletter On SECond Thought… and what he sees on the horizon for SEC enforcement. They also explore Russ’s reputation for playing hardball . . . in an adult baseball league.

28. A Few of Our Favorite Things: Podcasts You’ll Love

Chris and Kurt introduce you to a few of their favorite podcasts, including short interviews with Jeff Benjamin, co-host of The InvestmentNews Podcast; Amber McKinney, co-host of the Law360’s Pro Say; Mandy Moody, host of ACFE’s Fraud Talk; and Andrew Jennings, host of the Business Scholarship Podcast.

27. inSecurities Holiday Special: The Best of 2020

Chris and Kurt take a break from their usual recording schedule to reflect on some of their favorite moments from year one of the inSecurities podcast.

26. Whistleblowing’s New Frontier: A Conversation with Tom Mueller

The SEC’s whistleblower program shattered records in 2020. Chris and Kurt take a look at the numbers and break down recent amendments to the SEC’s whistleblower rules. Our co-hosts also chat with New York Times best-selling author Tom Mueller about challenges many whistleblowers face, the state of the SEC’s whistleblower program, and his book, Crisis of Conscience: Whistleblowing in an Age of Fraud.

25. Assessing the SEC Enforcement Division’s Annual Report

FY2020 was a year unlike any other for SEC enforcement. Chris, Kurt and Sandra Hanna, managing partner of Bruch Hanna, unpack key themes and trends from the SEC Enforcement Division’s Annual Report. Are we entering an era of “smart enforcement”? Tune in to find out.

24. Election 2020 Special: Securities Regulation & Enforcement in a Biden Administration

Chris and Kurt talk about what a Biden administration could mean for the U.S. Securities and Exchange Commission and the securities regulatory landscape.

23. A GAAP in Your Financial Reporting: Focusing on Accounting & Disclosure Issues

Chris and Kurt take a deep dive into the complex issues regarding accounting fraud and issuer disclosures. They discuss the basic tenets of accounting, the securities laws applicable and often charged in accounting fraud matters, and recent cases that demonstrate the SEC’s focus and messaging regarding accounting fraud and the people who commit it.

22. The SEC Speaks in 2020 – Our Top Takeaways and Tweets

Each year PLI presents, in cooperation with the U.S. Securities and Exchange Commission, The SEC Speaks program, which provides an essential update on the current initiatives as well as the priorities of the Commission for the coming year. On this episode, Chris and Kurt discuss their takeaways — and top tweets — from The SEC Speaks in 2020.

21. Trading Fast and Slow: Innovation in our Equity Market Structure

Chris and Kurt chat with John Ramsay of IEX and Dan Eisemann of MFS about algorithmic and high-frequency trading. John and Dan also tell us how technological innovations, new trading strategies, and regulatory changes are reshaping the U.S. equity markets.

20. Legal Recruiting During COVID-19: Perspectives from Law Students, Recent Grads and Career Counselors

Chris and Kurt sit down with several current 3Ls and recent grads to talk about their experiences looking for jobs during the COVID-19 pandemic. Chris and Kurt also have a wide-ranging conversation with career counselors from GW Law, Howard Law and the University of Richmond School of Law about how students can prepare for a different kind of recruiting cycle, and why there’s reason to be optimistic.

19. Catching Up with SEC Institute’s George Wilson

Kurt and Chris cover the past quarter’s developments in SEC, PCAOB, and FASB news with repeat guest George Wilson of PLI’s SEC Institute. They revisit their predictions from Episode 4 back in March, and George speaks to current developments in COVID relief, financial reporting disclosures, and proxy rules, as well as the state of the whistleblower environment, in conjunction with the publication of SEC Institute’s Quarterly Newsletter for September 2020.

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

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.

17. 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. Join Kurt and Chris as they 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.

16. 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.

15. From DLT to ICOs – Experts Explore the Cryptocurrency Landscape

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.

14. 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.

13. 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.

12. A Spotlight on PLI’s Pro Bono Podcast

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.’

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.

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.

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.

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.

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.

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.

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.

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.

3. 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.

2. 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.

1. 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.

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

Kurt helps clients untangle thorny compliance issues, investigate allegations of misconduct and respond to government enforcement inquiries. Kurt is an Of Counsel in Quinn Emanuel’s SEC Enforcement practice where he represents public and private companies in a wide range of investigations and enforcement proceedings. During his career, Kurt has successfully represented clients in numerous bet-the-company matters, including matters stemming from the Allen Stanford Ponzi scheme, Operação Lava Jato in Brazil, the Scott Rothstein Ponzi scheme, and the Adelphia accounting scandal. Kurt is a recognized thought leader in the securities regulatory and enforcement space, and has written or contributed to stories for Bloomberg, CBS News, Compliance Week, The Hill, The New York Times, NPR, Reuters, and Yahoo! Finance.

SEC Institute Blog

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

inSecurities

PLI’s in-depth podcast examining changes to securities rules, regulations, and cases from a practitioner’s perspective in both law and accounting