SEC Enforcement in 2024: Trends, Fines, and Penalties

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Start time:
May 9, 2024 3:45 PM PT
Duration:
2 hours, 15 minutes
Location:

4747 Executive Drive Suite 1300
San Diego, CA 92121 (Map)
Contact:
Chad Poggioli, Moss Adams, 858-657-5503
Cost to attend:
Complimentary

Join us at our panel discussion to learn how other companies are protecting themselves against and responding to SEC enforcement actions.

SEC enforcement actions have been record-breaking, with penalties and financial remedies exceeding $10 billion over the past two years. Stay ahead of compliance with the recently finalized Cybersecurity Disclosure rules and be prepared for the SEC's upcoming adoption environmental, social, and governance (ESG) rules in the spring of 2024.

We’ll offer actionable takeaways to reduce the cost of compliance while staying on the right side of laws and regulations for finance, compliance, internal audit, and IT departments.

Agenda
•    3:45–4 PM: Check-in
•    4 PM–5 PM: Panel discussion
•    5 PM–6 PM: Food, beverages, and networking

Food and beverages will be served. Seats are limited—register now.

Register

Speakers

Nick Morgan , Founder and President, ICAN

Nick leads ICAN, a public interest not-for-profit that represents individuals adverse to the SEC who can’t afford counsel in precedent setting cases. He has litigated a wide variety of securities claims both for and against the SEC including cases involving insider trading, market manipulation, financial reporting, Regulation Fair Disclosure (Reg FD), internal controls, and accounting.

Perrie Weiner, Partner, Chair of the North America Securities Litigation Group , Baker & McKenzie

With over 30 years of experience, Perrie's practice focuses primarily on securities class action and shareholder derivative litigation and SEC enforcement matters. He offers clients a holistic approach to advocacy and has defended some of the most high-profile and complex regulatory actions and securities fraud class action cases in the US. He represents private equity funds, including hedge funds, broker-dealers, underwriters, placement agents, and issuers in SEC and Financial Industry Regulatory Authority (FINRA) enforcement proceedings as well as in white collar criminal proceedings.

Findley Gillespie, CPA, Partner, Moss Adams

Findley has over 20 years of internal audit and public accounting experience. He oversees the firm’s technical accounting and IPO readiness, IT audit and SOC, cybersecurity, and SOX and internal audit groups. He has helped many companies mature their operations and successfully transition to the public markets.

Registration Form

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