SEC’s Heightened Enforcement: Exploring Practical Compliance Tips and Strategies.
The securities law landscape continues to evolve as new regulatory developments emerge. Recently, under the direction of its new Chair, the Securities and Exchange Commission’s (SEC) has been messaging the priorities of its enforcement program, including renewed focus across the agency related to climate change disclosures, cybersecurity, and financial innovation. The SEC staff has also messaged through its examination priorities that it will focus on recently established rules and standards of conduct for registered investment advisers (RIAs) and broker-dealers. Although the new administration is still working through several pandemic-related economic disruptions, a more aggressive enforcement posture is widely expected.
In light of these changes, registrants must continue to be proactive in addressing compliance with SEC regulations while keeping abreast of emerging legal and policy developments that may result in increased scrutiny from SEC staff, including the Division of Enforcement.
In this Webcast, financial regulatory experts Dr. Jennifer Marietta-Westberg (Cornerstone Research) and Ryan Wolfe (Credibility International LLC) will provide the audience with an in-depth discussion of the SEC’s heightened enforcement priorities. Speakers will also present recent regulatory developments and share practical ways to improve compliance amid the changing legal landscape.
Topics covered in this course: Trends and Developments in Securities Law The SEC’s 2021 Enforcement Priorities Critical Issues and Challenges
Field of Study: Accounting
Live and Recorded CLE & CPE Webcasts in the Legal, Tax, Finance, Risk, Compliance and Human Resources Industries
Founded in November 2006, The Knowledge Group has established itself as a premier eLearning hub for Continuing Legal Education (CLE), Continuing Professional Education (CPE), and technology-focused webcasts. We equip lawyers, accountants, and industry professionals with expert-driven insights, timely regulatory updates, and practical strategies to help them stay ahead in an ever-evolving landscape.
Principal at Cornerstone Research and Director at Credibility International LLC
Dr. Jennifer Marietta-Westberg, Principal Cornerstone Research Jennifer Marietta-Westberg consults on economic and financial issues arising in litigation and regulatory investigations in financial markets. Dr. Marietta-Westberg addresses allegations related to financial reporting, asset management, trading, private equity, and mergers and acquisitions. An experienced expert witness, she has testified on matters related to Rule 10b-5/Section 11 securities class actions, damages, alleged insider trading, corporate governance, and Employee Retirement Income Security Act (ERISA) matters. Dr. Marietta-Westberg has supported respondents in enforcement actions involving the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC). She leads large teams to support academic and industry experts at all stages of litigation, including trial. Dr. Marietta-Westberg is chair of the Investor Advisory Committee of the SEC, which offers guidance to the Commission on regulatory priorities and initiatives to support the integrity of the securities marketplace. She also serves on the board of directors at the Institute for Law and Economics at the University of Pennsylvania. Ryan Wolfe, Director Credibility International LLC Ryan Wolfe is a Director at Credibility International. Ryan is an expert in the application of Generally Accepted Accounting Principles (GAAP), PCAOB Standards, and the financial reporting requirements for issuers of securities registered with the United States Securities and Exchange Commission (SEC). Ryan served in the Office of the Chief Accountant (OCA) at the SEC from 2011 to 2020. OCA is the principal advisor to the Commission on accounting and auditing matters. During his tenure in OCA, Ryan served in multiple positions in OCA. From 2011 through March 2019, Ryan was responsible for OCA’s relationship with the Division of Enforcement, including advising the Commission on enforcement actions involving accountants and auditors and leading OCA consultations with Divisions and Offices related to enforcement matters and for advising the Commission on Enforcement matters. Prior to his work at the SEC, Ryan’s practice involved serving corporate, individual, and regulatory clients and their counsel across a wide range of industries, including providing expert analysis related to SEC and DOJ investigations, damage calculation and analysis, complex litigation, and auditor malpractice. He has supported complex regulatory and settlement negotiations, and provided on-site support at depositions and trials. Ryan is a certified public accountant licensed in Virginia and a Chartered Financial Analyst (CFA) Charterholder. Ryan holds a Bachelor of Science in Business Administration from the University of Richmond Robins School of Business and received a Certificate in Securities Regulation from the Georgetown University Law Center.
