inSecurities

On this episode of the inSecurities podcast, Chris and Kurt sit down with Joshua Rivera, General Counsel of Blockchain Capital and a member of Blockchain Association’s Board of Directors, to learn about the state of the crypto markets and how the SEC’s positions on staking, registration requirements, and the custody rule may impact the digital assets ecosystem. inSecurities Homepage Episode page o...

Former SEC Commissioner Troy Paredes joins Chris and Kurt to discuss securities regulatory policy, rulemaking, and enforcement, including potential rules or guidance relating to environmental, social, and governance (ESG) disclosures and digital asset securities. inSecurities Homepage Episode page on PLI.edu   Please note: CLE and CPE credit are not offered for listening to this podcast, and the v...

Bruce Dubinsky is a forensic accountant with experience in a number of blockbuster cases, including the Enron scandal and the Lehman Brothers collapse. Bruce has also appeared as an expert witness in matters relating to the Bernie Madoff Ponzi scheme and recently featured in the new Netflix documentary Madoff: The Monster of Wall Street. On this episode of the inSecurities Podcast, Chris and Kurt...

The securities regulatory landscape is constantly evolving. Over the years, the federal securities laws and SEC rules have been shaped and reshaped by a number of blockbuster cases. Those cases get at key questions, such as: What is a security? How much deference do we owe the SEC to interpret the federal securities laws? Who makes statements that may form the basis of a securities fraud claim? An...

Chris and Kurt mark the New Year with a look back at the biggest securities regulation and enforcement stories from 2022. The hosts revisit episodes featuring Stephanie Avakian , Michael Liftik , Carla Carriveau , Jim Toes , and Matt Jacques , whose comments and predictions remain relevant, even as we enter a new year.

As Managing Director of Enforcement at CFP Board, Tom Sporkin leads the organization’s detection, investigation, and prosecution activities. On this episode of the inSecurities podcast, Chris and Kurt chat with Tom about the CFP® certification and how CFP Board enforces its Code of Ethics and Standards of Conduct when CFP® professionals are alleged to have fallen short of their obligations. Learn...

It’s been nearly two years since we talked cybersecurity on the inSecurities podcast. On this “Cyber Thursday” episode, Chris and Kurt bring you up to speed on important regulatory and enforcement developments that are shaping the cybersecurity landscape.    

On November 15, the SEC announced its Enforcement results for Fiscal Year 2022, along with annual results from the SEC’s Office of the Whistleblower. On this bonus episode of the inSecurities podcast, Chris and Kurt discuss some of the key takeaways from the reports — and recruit help from past guests Sarah Heaton Concannon (Quinn Emanuel), Teresa Goody Guillén (BakerHostetler), Jane Norberg (Arno...

On this episode of the inSecurities podcast, Chris and Kurt chat with Matt Jacques, a former Chief Accountant for the SEC’s Division of Enforcement. Matt discusses the role of the Chief Accountant, the auditor’s responsibility for identifying fraud, and a few hot topics in SEC accounting and disclosure cases, including materiality and revenue recognition. 

There’s a lot happening in the securities regulatory and enforcement space. On this episode, Chris and Kurt spin the securities wheel of fortune to pick a few hot topics, including a reminder of the auditor’s responsibility for fraud detection, an SEC Enforcement sweep involving text messages, executive compensation clawbacks, and outsourcing by investment advisers.

Security Traders Association President and CEO Jim Toes joins Chris and Kurt to unpack key themes from the STA’s 89th Annual Market Structure Conference in Washington, D.C., including crypto regulation, best execution, “gamification,” payment for order flow and other market plumbing issues. Learn more about the STA here: https://securitytraders.org/ . 

On this episode of the inSecurities podcast, Kurt sits down with Knut Rostad, co-founder and president of the Institute for the Fiduciary Standard, to talk about the fiduciary standard registered investment advisors owe their clients, how the SEC interprets that standard in 2022, the challenges and opportunities for advisors created by the SEC’s interpretation and Regulation Best Interest, and wha...

On this episode of the inSecurities podcast, Chris and Kurt chat with Micah Hauptman, who recently returned to the Consumer Federation of America as Director of Investor Protection, having previously served as counsel to SEC Commissioner Caroline Crenshaw. Micah talks about noteworthy accomplishments during his time at the Commission and breaks down several investor protection rules and policies C...

Chris and Kurt recently attended PLI’s annual SEC Speaks conference in Washington, D.C. During the program, high-ranking SEC officials offered their views on the SEC’s top regulatory and enforcement priorities. On this episode of the inSecurities podcast, Chris and Kurt discuss their takeaways from The SEC Speaks in 2022. On the agenda: crypto regulation and enforcement, SEC rulemaking, auditing a...

Chris and Kurt discuss their initial thoughts live from PLI's The SEC Speaks in 2022 program. There’s still time to register, so click over to www. PLI.edu and sign up for the virtual attendance option, or stay tuned for a special episode next week when our co-hosts will discuss more of what they saw and heard at SEC Speaks!

On this episode of the inSecurities podcast, Chris & Kurt catch up with George Wilson, Director of PLI’s SEC Institute, to discuss recent developments at the SEC and possible changes on the horizon for FASB and PCAOB standards. Plus, to commemorate the 20th anniversary of the Sarbanes-Oxley Act, George tests Chris & Kurt with some SOX trivia.

Accounting Summer School continues as Chris and Kurt chat with Howard Scheck, a Partner at StoneTurn Group LLP and a former Chief Accountant in the SEC’s Division of Enforcement. They discuss Howard’s career as a JD/CPA, his experience in the Division of Enforcement, and his take on today’s trends in accounting and audit enforcement.

While Chris and Kurt enjoy some time away during their summer, "Accounting Summer School" continues with a rebroadcast of our episode from November 2020: A GAAP in Your Financial Reporting. On this episode of InSecurities, Chris and Kurt take a deep dive into the complex issues regarding accounting fraud and issuer disclosures. Our co-hosts discuss the basic tenets of accounting, the securities la...

For more than 100 years, the American Institute of Certified Public Accountants (AICPA) has led the profession through triumphs and challenges in a dynamic financial reporting and auditing environment. In recent years the AICPA has collaborated with the Chartered Institute of Management Accountants (CIMA) to continue to lead accountants globally with a focus on staying current for their members an...

Marking 20 years since the passing of the landmark Sarbanes - Oxley Act of 2002, Chris and Kurt talk about SOX’s origin story; its perceived influence on accounting, auditing, and the law; and the lasting implications of SOX in today’s markets. They are joined by Professor James J. Park of the UCLA School of Law, who returns to the podcast after discussing SEC Enforcement trends in Episode 30, as...

Ponzi schemes are a consistent and recurring issue in our securities markets, and investors continue to fall victim to these frauds. On this episode of the inSecurities podcast, Chris and Kurt talk with Jordan Maglich, practicing attorney and founder of the law blog Ponzitracker, about what he’s seen in more than a decade of tracking Ponzi schemes, what victims of these frauds can expect in terms...

Cryptocurrency, ESG, complex products, Reg BI — there’s a lot happening in the securities regulatory and enforcement world. On this episode of the inSecurities podcast, Chris, Kurt, and InvestmentNews Senior Reporter Mark Schoeff Jr. break down some of the hot topics and trends. 

On this episode of inSecurities, Chris & Kurt chat with Mark Kim, Chief Executive Officer of the Municipal Securities Rulemaking Board (MSRB). They discuss the $4 trillion municipal securities market, the role of the MSRB, and how the MSRB is building more efficient and transparent markets.     

May is Mental Health Awareness Month, and the first week of May is Well-Being Week in Law. To complement PLI’s catalog of mental health and well-being programs , on this episode Chris and Kurt step away from the world of securities regulation to talk about some of the challenges many attorneys and accountants face, and how they can set out on a path to wellness. First, Chris and Kurt chat with Den...

“If you want to do something extraordinary you will have to inevitably do something uncomfortable and scary.” In other words, go off the beaten path. That’s the advice of Alex Su, a lawyer turned-social media influencer, author of the Off The Record newsletter, and Head of Community Development at Ironclad. On this episode of the inSecurities podcast, Alex offers advice to professionals who are co...