1-Hour Program

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Independent audit firms play a crucial role in U.S. and global capital markets.  In recent years, many of the largest audit firms have faced significant regulatory and liability issues, in particular related to the growth of their non-audit businesses, which has prompted the SEC to probe how those firms manage conflicts of interest and related independence issues. Auditors’ involvement in required public financial disclosures also makes them frequent participants—as defendants or sources of non-party discovery—in government investigations and private lawsuits brought by investors under the securities laws.

In this One-Hour Briefing, Bernstein Litowitz Berger & Grossmann LLP Partners John Rizio-Hamilton and Jesse L. Jensen, who have extensive experience prosecuting securities litigation cases involving auditing failures, will be joined by Carl W. Mills, Counsel at Hughes Hubbard & Reed LLP, and Timothy J. Perla, Partner at Wilmer Cutler Pickering Hale and Dorr LLP, who each have extensive experience representing accounting firms in these and other types of matters. The panel will explore the following topics:

  • Overview of auditor regulatory framework (15 minutes)
  • Auditor involvement in enforcement actions (15 minutes)
  • Auditor involvement in private securities litigation as defendants (20 minutes)
  • Auditor involvement in government investigations and private securities litigation as sources of non-party discovery (10 minutes)


Program Level:  Overview

Intended Audience:  In-house counsel, outside attorneys, compliance, accountants, auditors, finance and other allied professionals interested in auditor regulation and liability under U.S. securities laws

Prerequisites:  None

Advanced Preparation:  None



Credit Details

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