Yesterday, Bruce Carton of Securities Docket hosted a webinar: The SEC’s Asset Management Unit and Strategies for Avoiding Trouble in 2011 and Beyond. He managed to get Bruce Karpati, the co-head of the SEC’s Asset Management unit, to participate. Also joining the presentation were John Reed Stark, Managing Director of Stroz Friedberg and former Chief, [...]
Tag Archives: Securities Docket
Social Media and Compliance
Compliance, ethics, and legal executives at Johnson & Johnson, Best Buy, and The Travelers Companies will provide details on their social media policies, programs, and experiences, focusing on a variety of cultural, legal, and disclosure-related issues. Featuring: Johnson & Johnson Senior Counsel & Assistant Corporate Secretary Douglas K. Chia Best Buy Chief Ethics Officer Kathleen [...]
Fair Value Accounting: What Lawyers Need to Know
Bruce Carton of Securities Docket put together a great panel of securities and accounting experts to discuss the evolution of fair value accounting regulations and the impact of the guidelines in accounting and legal contexts. Presenters Ray Ball, Professor of Accounting, Univ. of Chicago, Booth School of Business Andy Wong, Analysis Group Michael Young, Willkie [...]
Madoff Hearing at the Senate Banking Committee
I will be covering today’s Senate Hearing (”Oversight of the SEC’s Failure to Identify the Bernard L. Madoff Ponzi Scheme and How to Improve SEC Performance“) along with several guest panelists via the interactive discussion below. Please visit this page today at 2:30 pm to join me, Bruce Carton of Securities Docket, Compliance Week editor [...]
New Frontier: Best Practices in Fraud Investigations and EmergingTrends in SEC and DOJ Enforcement
Securities Docket sponsored a webinar addressing critical questions about recent changes in the economic and political climates, emerging trends in SEC and DOJ enforcement, and the potential impact on lawyers, accountants, investigators, and other consultants who perform fraud investigations. It also outlined best practices when conducting investigations for the DOJ and SEC. Panelists: Gary Kleinrichert, [...]
SEC Enforcement Update: A Wounded Animal is a Dangerous Animal
Securities Docket presented this webcast with Michael MacPhail, of Holland & Hart LLP and Patrick Hunnius of White & Case LLP. “In a sharp detour from the era of Chairman Christopher Cox, the SEC under new Chairman Mary Shapiro’s leadership has obtained big budget increases that will be used to increase the number of enforcement [...]
The Subprime Boomerang: After the Writedowns Comes the Litigation
Securities Docket put on a great webinar on The Subprime Boomerang: After the Writedowns Comes the Litigation. Bruce Carton moderated a panel of Veronica Rendon of Arnold & Porter, Richard Swanson of Arnold & Porter and Jeff Nielsen of Navigant Consulting, Inc. Jeff started off my showing how much complicated the picture is for securitized [...]
More Regulation Needed for Private Investment Funds?
Newedge Group’s Kirby Daley says no. He explains why the Obama Administration should not necessarily rush to impose stricter regulation of hedge funds in the wake of the Madoff case. See Fox News Video on Securities Docket.
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