2015 SEC Enforcement Initiatives and Controls to Defend Them

Instructor: H. David Kotz
Product ID: 704018
Training Level: Intermediate
  • Duration: 75 Min

recorded version

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This training program will detail new SEC enforcement initiatives and discuss the SEC enforcement mindset. It will also discuss SEC enforcement trends over time and controls to put in place to prevent exposure.

"2015 SEC Enforcement Initiatives and Controls to Defend Them" - This course is approved by NASBA (National Association of State Boards of Accountancy). Attendees of Live Webinar are eligible for 1.5 CPE credit up on full completion of the course.

Why Should You Attend:

This webinar will highlight the newest initiatives arising from the SEC’s Enforcement Division and will provide practical information on how companies can defend themselves from SEC enforcement actions. It will also describe how to put controls in place to reduce exposure and liability. Presented by the former Inspector General of the SEC, who conducted several of the largest and highest-profile investigations in history, including relating to Bernie Madoff’s $50 billion Ponzi scheme and the collapse of Bear Stearns, this webinar will provide valuable information about SEC enforcement initiatives.

Learning Objectives:

  • Learn how to understand the new SEC enforcement initiatives
  • Learn how to understand the new SEC enforcement mindset
  • Learn about SEC enforcement trends over time
  • Learn about controls to put in place to prevent exposure
  • Learn how to defend SEC enforcement actions
  • Learn how to use the new SEC enforcement initiatives to one’s benefit

Areas Covered in the Webinar:

  • 2015 SEC Enforcement Initiatives
  • The New SEC Enforcement Mindset
  • SEC Enforcement Trends Over Time
  • SEC Enforcement’s Modified “Neither Admit Nor Deny” Policy
  • Impact of Greater Judicial Scrutiny of SEC Enforcement Settlement Agreements
  • SEC Enforcement’s Increased Focus on Cooperation Agreements

Who Will Benefit:

  • Compliance Officers
  • Offices of General Counsel
  • Compliance Personnel /Risk Assessment Professionals
  • Internal Investigators and Auditors
  • Operational Managers
  • CEOs and Senior Management Officials in Small to Mid-Size Firms
  • Human Resource Professionals
  • Security professionals
  • Public Agency Managers
  • Supervisory Personnel
  • Branch Auditors
  • Branch Office Managers
  • Registered Representatives
  • Senior Management

Instructor Profile:

H. David Kotz presently serves as a managing director at Berkeley Research Group (BRG), a leading global expert services and consulting firm. He is a member of BRG’s Capital Markets Practice, where he specializes in the regulation of and securities trading by broker-dealers, investment advisers, hedge funds, insurance companies and banks. He consults with and provides expert testimony on behalf of clients in a wide variety of areas relating to securities fraud, Ponzi schemes, securities market regulation, internal control risk policies, regulations of Futures Commission Merchants and commodities trading regulation. Mr. Kotz also focuses on internal investigations and matters relating to Foreign Corrupt Practices Act (FCPA) and Anti-Money Laundering regulations. He also serves as a compliance monitor for firms that have entered into deferred prosecution agreements and similar arrangements with government agencies.

We are registered with and adhere to the Statement on Standards for Continuing Professional Education programs of the National Registry of CPE Sponsors. Our registration number is 109066. Please check with the governing body of your license and state for specific CPE requirements. Grievances may be forwarded to the company at 650 620 3961. Grievances may also be forwarded to the National Registry of CPE Sponsors-NASBA, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, 615-880-4200,, e-mail

Field of Study Minutes CPE
Auditing 15 0.3
Business Law 15 0.3
Finance 45 0.9
Total Duration - 75 Min Total Credits - 1.5

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