Total Credits: 1 including 1 Regulatory Ethics - Technical
In September 2013, Mary Jo White, the head of the US Securities and Exchange Commission, warned that her agency will aggressively use its powers to fine wrongdoers and seek creative ways to hold companies and individuals accountable for their misdeeds. She added that “meaningful monetary penalties – whether against companies or individuals – play a very important role in a strong enforcement program.” New guidance was issued September 9, 2015, has been referred to informally as the “Yates Memo,” named after DOJ Deputy Attorney General Sally Yates.
She followed through on her statements and the 2015 edict. In 2016, the SEC kicked up its enforcement actions, filing a record 868 actions against companies, executives and others, including a new high in FCPA cases and shelling out $57 million to whistleblowers.
This course will cover crucial information designed to help accounting and legal professionals to prevent, detect, and address fraud.
Join our panel as they discuss:
-Yates Memo Trends-First 12 Months
-Common Dilemmas Facing Attorneys, Accountants, Auditors and Compliance Executives
-The professional duties and responsibilities of officers and their legal counsel to detect, deter, and prevent fraud and misconduct
-Controls to prevent common frauds that occurred in the recent matters
-Practical defenses in such instances
Handout_Slides (0.45 MB) | Available after Purchase |
MCLE Request Form (0.14 MB) | 1 Pages | Available after Purchase |
Important CPE Credit Information_READ BEFORE WEBCAST (0.59 MB) | Available after Purchase |
Shamoil Shipchandler, Regional Director of Fort Worth Office, SEC
Shamoil serves as the Regional Director for the Securities and Exchange Commission's Fort Worth Regional Office bearing responsibility for all aspects of the SEC’s enforcement and examination activities in Texas, Oklahoma, Arkansas, and Kansas, which includes investigations in nearly every major area of the SEC’s enforcement program, such as public company disclosure and reporting; the Foreign Corrupt Practices Act; insider trading; cybersecurity; and investigations of major financial institutions, investment advisors, hedge funds, and broker-dealers.
For 9 years, Shamoil served as Attorney-in-Charge of the Plano Office and handled the prosecution of some of the most significant complex criminal matters in North Texas, including cases involving securities fraud, mortgage fraud, tax evasion, bank fraud, mail and wire fraud, computer sabotage, money laundering, public corruption, theft of trade secrets, and immigration fraud. He was also a partner at an AmLaw 100 law firm, with a global reach of more than 470 practicing attorneys.
David Woodcock, Partner, Jones Day
David Woodcock's practice focuses on investigations and examinations conducted by the SEC, DOJ, FINRA, and other regulatory bodies; internal corporate investigations and compliance; matters involving complex accounting or auditing issues; and corporate governance and director liability.
Prior to joining Jones Day, David served as Regional Director of the Securities and Exchange Commission's Fort Worth Regional Office, where he was responsible for all aspects of the SEC's enforcement and examination activities in Texas, Oklahoma, Arkansas, and Kansas. He also served as Chair of the cross-office/division Financial Reporting and Auditing Task Force, designed to enhance the SEC's detection and prosecution of violations involving accounting and false financial statements, and as a member of the Enforcement Advisory Committee. During his time at the SEC, David oversaw investigations in nearly every major area of the SEC's enforcement program, including public company disclosure and reporting; the Foreign Corrupt Practices Act (FCPA); insider trading; and investigations of major financial institutions, investment advisors, hedge funds, and broker-dealers.
Jeff Matthews, Vice President, Charles River Associates
Jeff Matthews received the 2013 Certified Fraud Examiner of the Year Award from the Association of Certified Fraud Examiners. Mr. Matthews has spent many years practicing for Big Four accounting firms, state, local, and federal governmental bodies. He has investigated and provided oversight for investigations of Federal and state criminal violations, including many types of fraud. Mr. Matthews was instrumental in developing proprietary anti-fraud and compliance tools for two of the five largest accounting firms in the world, and he has served as a consulting expert in developing and implementing numerous risk management programs for companies in various industries. Mr. Matthews also developed and currently teaches the University of Texas at Arlington’s Forensic Accounting and Fraud Investigations Class for the MBA program.
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