1-Hour Program

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Overview

This Briefing is intended to be a basic introduction to common themes in SEC enforcement in the public company context.   The SEC describes its mission as protecting investors and maintaining fair, orderly, and efficient markets and the SEC’s Enforcement Division, the agency’s civil enforcement arm, both investigates and prosecutes violations of federal securities laws in federal court and through administrative actions.  In the public company context, what are some typical SEC enforcement approaches in matters involving financial disclosures, accounting, and internal controls?  This Briefing will explore relevant securities statutes and how they can be used to form the basis of SEC enforcement actions against public companies, as well as some typical charging approaches using recent actions as a guide.  In addition, it will explore additional areas of recent enforcement interest, including cybersecurity and internal control over financial reporting (ICFR). 

 

Michael M. Farhang a former federal prosecutor and partner at Gibson, Dunn & Crutcher LLP will discuss:

 

  • The SEC’s mandate and mission in the public company context
  • Typical SEC charging approaches in public company accounting and disclosure cases
  • Recent enforcement trends 

 

Program Level:  Overview 

Intended Audience:  In-house counsel, outside attorneys, board members, corporate officers, financial and other professionals responsible for matters involving financial disclosures, accounting and internal controls 

Prerequisites:  None 

Advanced Preparation:  None 

Credit Details

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