Securities Wheel of Fortune

inSecurities

English - November 03, 2022 15:19 - 53 minutes - 73.8 MB
News Business Non-Profit Homepage Download Google Podcasts Overcast Castro Pocket Casts RSS feed

Previous Episode: Securities Regulation at an Inflection Point

Next Episode: Accounting for Enforcement

There’s a lot happening in the securities regulatory and enforcement space. On this episode, Chris and Kurt spin the securities wheel of fortune to pick a few hot topics, including a reminder of the auditor’s responsibility for fraud detection, an SEC Enforcement sweep involving text messages, executive compensation clawbacks, and outsourcing by investment advisers.