inSecurities

Professors Alan Jagolinzer and Dan Taylor join the podcast to discuss recent research using forensic analytics, and share insights with Chris and Kurt on how that analysis impacts legislative, regulatory, and enforcement decisions in today’s securities landscape.

Kimberly Ellison-Taylor and Genna Garver are champions for diversity and inclusion. They talk with Chris & Kurt about actionable steps to promote diversity and inclusion in the accounting and legal professions.

The PLI program Enforcement 2021: Perspectives from Government Agencies offers a unique opportunity to hear directly from senior staff at various government agencies. Chris and Kurt get a sneak peek at the program from Co-Chairs Robert A. Cohen (Davis Polk), Joan E. McKown (Jones Day) and Richard D. Owens (Latham & Watkins).   Register here: https://www.pli.edu/programs/enforcement-perspectives-fr...

ESG investing and climate risk disclosure are hot topics at the SEC. Chris & Kurt sit down with Commissioner Hester Peirce to talk about materiality, the disclosure framework, and crafting the perfect speech title.

Chris and Kurt chat with cybersecurity regulatory and policy experts Chris Hetner and Robert Peak about cyberthreats that emerged during the COVID-19 pandemic, the federal and state cybersecurity regulatory landscape, and cybersecurity regulatory priorities in the Biden Administration

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.

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.  

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.”

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.

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.

On this episode of inSecurities , Chris and Kurt introduce you to a few of their favorite podcasts, including short interviews with Jeff Benjamin, co-host of The Investment News 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 . Tune in! Link to episode on pli.edu: https://www.pli.edu/...

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.

The SEC’s whistleblower program shattered records in 2020. On this episode of the inSecurities podcast, 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...

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.  ----more---- Link to the podcast page for this episode Link to the inSecurities homepage

Chris and Kurt talk about what a Biden administration could mean for the U.S. Securities and Exchange Commission and the securities regulatory landscape. ----more---- Link to the podcast page for this episode Link to the inSecurities homepage

On this episode of PLI 's 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 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. ...

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 of inSecurities , Chris and Kurt discuss their takeaways - and top tweets - from  The SEC Speaks in 2020 .  ----more---- Link to the podcast p...

On this episode of the inSecurities podcast, 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.   Link to podcast page

On this episode of PLI 's inSecurities podcast, 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 recruit...

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, 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 Geor...

In this episode of PLI's inSecurities Podcast , 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 pr...

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....

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...

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. 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...

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.  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 neces...