inSecurities
130 episodes - English - Latest episode: 3 days ago -PLI’s in-depth podcast examining changes to securities rules, regulations, and cases from a practitioner’s perspective in both law and accounting.
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Episodes
A GAAP in Your Financial Reporting: Focusing on Accounting & Disclosure Issues (Rebroadcasted)
July 28, 2022 16:30 - 1 hour - 94.4 MBWhile Chris and Kurt enjoy some time away during their summer, "Accounting Summer School" continues with a rebroadcast of our episode from November 2020: A GAAP in Your Financial Reporting. On this episode of InSecurities, Chris and Kurt take a deep dive into the complex issues regarding accounting fraud and issuer disclosures. Our co-hosts discuss the basic tenets of accounting, the securities laws applicable and often charged in accounting fraud matters, and recent cases that demonstrate t...
AICPA & CIMA, and the Future of Accounting
July 14, 2022 16:35 - 46 minutes - 42.5 MBFor more than 100 years, the American Institute of Certified Public Accountants (AICPA) has led the profession through triumphs and challenges in a dynamic financial reporting and auditing environment. In recent years the AICPA has collaborated with the Chartered Institute of Management Accountants (CIMA) to continue to lead accountants globally with a focus on staying current for their members and the markets as a whole. Tom Hood, Executive Vice President for Business Growth and Engagement...
Securities Fraud 20 Years After SOX
June 30, 2022 15:29 - 1 hour - 93.9 MBMarking 20 years since the passing of the landmark Sarbanes - Oxley Act of 2002, Chris and Kurt talk about SOX’s origin story; its perceived influence on accounting, auditing, and the law; and the lasting implications of SOX in today’s markets. They are joined by Professor James J. Park of the UCLA School of Law, who returns to the podcast after discussing SEC Enforcement trends in Episode 30, as he shares his take on SOX and talks about his upcoming book The Valuation Treadmill: How Securit...
Tracking Ponzi Schemes With Jordan Maglich
June 16, 2022 16:01 - 53 minutes - 74.1 MBPonzi schemes are a consistent and recurring issue in our securities markets, and investors continue to fall victim to these frauds. On this episode of the inSecurities podcast, Chris and Kurt talk with Jordan Maglich, practicing attorney and founder of the law blog Ponzitracker, about what he’s seen in more than a decade of tracking Ponzi schemes, what victims of these frauds can expect in terms of recovery, and his upcoming presentation alongside Chris at the ACFE Global Fraud Conference t...
Covering the Commission with Mark Schoeff Jr.
June 02, 2022 15:58 - 55 minutes - 77 MBCryptocurrency, ESG, complex products, Reg BI — there’s a lot happening in the securities regulatory and enforcement world. On this episode of the inSecurities podcast, Chris, Kurt, and InvestmentNews Senior Reporter Mark Schoeff Jr. break down some of the hot topics and trends.
Inside the Municipal Securities Market: A Conversation with Mark Kim
May 19, 2022 15:34 - 59 minutes - 81.6 MBOn this episode of inSecurities, Chris & Kurt chat with Mark Kim, Chief Executive Officer of the Municipal Securities Rulemaking Board (MSRB). They discuss the $4 trillion municipal securities market, the role of the MSRB, and how the MSRB is building more efficient and transparent markets.
On the Path to Well-Being: Expert Perspectives for Attorneys and Accountants
May 05, 2022 17:09 - 1 hour - 90.2 MBMay is Mental Health Awareness Month, and the first week of May is Well-Being Week in Law. To complement PLI’s catalog of mental health and well-being programs, on this episode Chris and Kurt step away from the world of securities regulation to talk about some of the challenges many attorneys and accountants face, and how they can set out on a path to wellness. First, Chris and Kurt chat with Denise Perme, Associate Director of the D.C. Bar’s Lawyer Assistance Program, to talk about drivers...
Going Off the Beaten Path with Alex Su
April 21, 2022 18:13 - 51 minutes - 70.7 MB“If you want to do something extraordinary you will have to inevitably do something uncomfortable and scary.” In other words, go off the beaten path. That’s the advice of Alex Su, a lawyer turned-social media influencer, author of the Off The Record newsletter, and Head of Community Development at Ironclad. On this episode of the inSecurities podcast, Alex offers advice to professionals who are considering their next career move. Follow Alex on TikTok (@legaltechbro) and Twitter (@heyitsa...
Innovative Markets: Where Retail Investors and Market Makers Meet
April 07, 2022 15:47 - 45 minutes - 41.9 MBOn this episode of the inSecurities podcast, Chris and Kurt chat with Kirsten Wegner, CEO of Modern Markets Initiative (“MMI”), about the rise of the retail investor, the role of market makers in promoting fair and efficient markets, and the ubiquity of algorithmic and high-frequency trading. They also learn about MMI’s efforts to promote innovative, competitive, and transparent capital markets.
Bringing order to the regulatory chaos for crypto?
March 24, 2022 16:18 - 57 minutes - 52.6 MBOn March 9, 2022, President Biden signed an Executive Order on Ensuring Responsible Development of Digital Assets, marking the “first ever, whole-of-government approach to addressing the risks and harnessing the potential benefits of digital assets and their underlying technology.” On this episode of inSecurities, Chris and Kurt sit down with experts Carla Carriveau, the Chief Legal Officer of CoinList, and Michael Liftik, a Co-Chair of Quinn Emanuel’s SEC Enforcement Practice, to find out w...
On the Front Lines of Investor Protection
March 10, 2022 13:58 - 48 minutes - 44.9 MBChris & Kurt chat with FINRA’s Deputy Head of Enforcement, Chris Kelly, to learn what it’s like on the front lines of FINRA Enforcement. Chris discusses how FINRA’s role as a self-regulatory organization helps it fulfill its regulatory mandate, what FINRA means when it says its goal is “to get to the right regulatory outcome,” and why member firms facing a potential disciplinary action should actually be open to a dialogue with FINRA.
FASB, PCAOB & the SEC: Alphabet Soup with SEC Institute’s George Wilson
February 24, 2022 14:36 - 58 minutes - 53.3 MBKurt and Chris welcome back SECI Director George Wilson to cover recent developments in SEC, PCAOB, and FASB news. George gives his take on new PCAOB leadership, goodwill accounting standards reform, recent developments around 10b5-1 plans, and the stock buyback regulations. Subscribe to the SEC Institute’s Quarterly Newsletter.
A Former Director of Enforcement Peeks Around the Corner
February 10, 2022 18:25 - 57 minutes - 53 MBStephanie Avakian, the head of WilmerHale’s Securities and Financial Services Department and a former Director of the SEC’s Enforcement Division, talks with Chris and Kurt about changes in tone for the Division of Enforcement, current enforcement priorities, and what she’s watching on the enforcement horizon.
Capitalism, Democracy and Innovation: Robinhood Continues to Change the Game
January 27, 2022 16:50 - 1 hour - 58.5 MBRobinhood is on a mission to “democratize finance for all.” Chris & Kurt sit down with Robinhood’s Deputy General Counsel, Lucas Moskowitz, to talk about Robinhood’s mission, how 2021 changed Robinhood – and the markets – for good, and what regulatory changes Robinhood spies on the horizon. They also have fun with some Robin Hood trivia.
Investigative Journalism, Securities Markets, and Succession with Jesse Eisinger
January 13, 2022 16:08 - 54 minutes - 50.4 MBChris and Kurt sit down with Jesse Eisinger, senior editor at ProPublica, Pulitzer Prize-winning journalist covering the financial markets and the 2008 financial crisis, and author of The Chickenshit Club: Why the Justice Department Fails to Prosecute Executives (2017). Their conversation focuses on reporting in the securities markets, his prophetic (and award-winning) writing about the fall of the housing market and its impacts, and his recent work as a consultant on the hit HBO show Succes...
Cheers! Regulatory Resolutions & More at the inSecurities NYE Party
December 30, 2021 15:38 - 1 hour - 56.2 MBRing in the New Year with inSecurities! Guests on the inSecurities podcast keep listeners current on the latest securities regulatory and enforcement developments. On this special New Year’s Eve episode of the podcast, Chris and Kurt visit with past guests at a virtual cocktail party, including SEC Commissioner Hester Peirce, Jane Norberg, and professors Daniel Taylor, James Tierney, J.W. Verret, and Karen Woody. Tune in to learn how the regulatory landscape is changing, and hear our guests’...
Focus on FINRA Enforcement with Jessica Hopper
December 16, 2021 14:46 - 58 minutes - 53.5 MBIn this episode of the inSecurities podcast, Chris and Kurt sit down with FINRA Head of Enforcement Jessica Hopper to talk about the role of FINRA Enforcement and several of FINRA’s enforcement priorities – including “finfluencers,” cybersecurity, and complex products – and then bust a few myths about FINRA Enforcement. Tune in to this episode of FINRA’s own podcast, Unscripted, to hear more from Jessica: https://www.finra.org/media-center/finra-unscripted/enforcement-jessica-hopper-introdu...
Full Disclosure: Commissioner Lee on Private Markets and ESG
December 02, 2021 16:02 - 49 minutes - 45.2 MBSEC Commissioner Allison Herren Lee sits down with Chris & Kurt to share her views on how the Commission might enhance investor protection and increase transparency in private markets and update the ESG disclosure regime to meet the needs and demands of investors . . . along with the benefits of “beautiful accounting footnotes.” Be sure to read Commissioner Lee’s recent speech, “Going Dark: The Growth of Private Markets and the Impact on Investors and the Economy,” available here: https:/...
Special Episode: The 2021 SEC Enforcement “Report”
November 24, 2021 15:57 - 37 minutes - 34.1 MBThe SEC’s Division of Enforcement just released its enforcement results for FY2021. On this special episode, Chris and Kurt break down the results with Quinn Emanuel partner, Sarah Heaton Concannon. https://www.pli.edu/insecurities
Play It Again: An Expert’s Take on Gamification & Stock Trading
November 18, 2021 18:30 - 59 minutes - 54.9 MBNebraska College of Law Professor James F. Tierney explains how many apps incorporate design features — sometimes called “gamification” — to influence investor behavior. Professor Tierney also explores with Chris & Kurt some of the regulatory and policy implications of those design features. https://www.pli.edu/insecurities
Bonus Episode: ACFE Fraud Talk
November 15, 2021 22:09 - 43 minutes - 39.6 MBAs a bonus feature, we are sharing an episode of the ACFE’s Fraud Talk podcast entitled “Understanding the Art and “Science” of the Theranos Saga,” on which our very own Chris Ekimoff appeared as a special guest. On the episode, released during International Fraud Awareness Week, Chris and Mandy Moody, CFE, ACFE communications manager, discuss the latest from the trial of former Theranos CEO Elizabeth Holmes. https://www.pli.edu/insecurities
The SEC GameStop Report: An Expert’s Take
November 04, 2021 14:55 - 1 hour - 55.6 MBIn October, the SEC released its long anticipated “GameStop Report.” Ty Gellasch, a market plumbing expert and Executive Director of Healthy Markets, gives Chris & Kurt his take on the report.
Four Big Things from The SEC Speaks in 2021
October 21, 2021 17:04 - 49 minutes - 45.7 MBThe securities regulatory and enforcement world was buzzing after PLI’s annual SEC Speaks program. From ESG to SPACs, and from “gamification” to corporate penalties, the conference hit all the hot topics. On this episode of inSecurities, Chris & Kurt share their “Four Big Things” to take away from The SEC Speaks in 2021: Requiring admissions in SEC enforcement actions; zero tolerance for auditor independence violations; regulating the robo-advisors; and cryptocurrency in the Wild West. W...
“Greatest and Latest”: PLI’s Annual Institute on Securities Regulation
October 07, 2021 15:59 - 41 minutes - 39.4 MBThere’s so much to learn at PLI’s 53rd Annual Institute on Securities Regulation! Chris and Kurt sit down with program Co-Chairs Meredith Cross of WilmerHale, Keir Gumbs of Broadridge Financial Solutions, and Carmen Lawrence of King & Spalding to hear what the program has to offer. Please visit https://www.pli.edu/insecurities for more information.
Whistleblower Tips: Advice from a Former Chief of the SEC’s Whistleblower Office
September 23, 2021 14:20 - 1 hour - 62.5 MBWhistleblower tips are streaming into the SEC, so it’s critically important for companies to develop effective parallel internal reporting systems. Jane Norberg, a partner at Arnold & Porter who previously served as the Chief of the SEC’s Whistleblower Office, chats with Chris and Kurt about the state of the SEC’s whistleblower program and how companies should encourage, triage and investigate whistleblower tips. Link to podcast page on PLI.edu
Time to Rethink Securities Law?
September 09, 2021 14:26 - 56 minutes - 53 MBIt’s time to rethink securities law, argues SMU Dedman School of Law Professor Marc Steinberg in his latest book Rethinking Securities Law. There are “many deficiencies and inconsistencies in the current regimen,” he says. Chris and Kurt sit down with Professor Steinberg to discuss his recommendations. Learn more about the book, or purchase online, at via Oxford University Press: https://global.oup.com/academic/product/rethinking-securities-law-9780197583142?cc=us&lang=en&
Reg Flex: What’s on Gary Gensler’s Regulatory Agenda?
August 26, 2021 19:27 - 55 minutes - 52.6 MBChris & Kurt sit down with George Wilson, Director of PLI’s SEC Institute (SECI), to talk about SEC Chair Gary Gensler’s regulatory agenda and priorities, including ESG and other accounting and disclosure hot topics featured in the forthcoming SECI Quarterly Newsletter. Link to episode page on PLI.edu https://www.pli.edu/insecurities
Featuring PLI’s Pro Bono Podcast ‒ Pursuing Justice: The Pro Bono Files
August 12, 2021 16:12 - 48 minutes - 50.5 MBWe’d like to share an episode from PLI’s sister podcast, Pursuing Justice: The Pro Bono Files. Listen as host Alicia Aiken is joined by Indiana pro bono stakeholders Charles R. Dunlap, Judge Melissa S. May, Kelly Tautges and Scott Wylie for an important conversation: “Turning Crisis Into Opportunity.” Running a pro bono program costs money ‒ and Indiana’s statewide legal services program faced a serious financial challenge. Find out how these Indiana pro bono stakeholders pulled together a...
A Former Chief Accountant’s Views on CPAs and the SEC
July 29, 2021 14:24 - 54 minutes - 51.8 MBChris & Kurt chat with Wes Bricker, a former Chief Accountant at the SEC and current Vice Chair and Co-Leader of US Trust Solutions at PwC, about how the SEC’s Office of the Chief Accountant works, perennial accounting hot topics, and emerging issues relating to meme stocks, SPACs and ESG disclosures.
A Deep Dive Into SPACs
July 15, 2021 18:44 - 57 minutes - 56.3 MBEveryone’s talking about SPACs – and not just in the securities reg world! This week on inSecurities, we dive into special purpose acquisition companies, or “SPACs,” to figure out what they are, how they work, and what they mean for investors and startups looking for a quick route to “go public. | Please take a moment to fill out our listener survey! Episode page on PLI.edu can be found here
Inside the Studio: 10,000 Reasons to Celebrate
July 01, 2021 20:16 - 37 minutes - 35.1 MBHappy Fourth of July from inSecurities! In this episode, Chris & Kurt reflect on several milestones (including crossing the 10,000 downloads mark!), how the COVID-19 pandemic has changed our lives and practices, and some of our favorite inSecurities guests and episodes. Love the inSecurities podcast? Don’t forget to rate and review the podcast on Apple Podcasts, or wherever you listen to podcasts. And please take a moment to fill out our new listener survey! ----more---- Link to podcast...
Enforcing the Regulations – A Conversation with Commissioner Crenshaw
June 17, 2021 16:58 - 58 minutes - 55.9 MBMany are eager to see how the SEC will approach investment adviser/broker-dealer regulation and enforcement in the Biden Administration. On this episode of inSecurities, SEC Commissioner Caroline Crenshaw shares her views on how the Commission’s investor protection mission guides her approach to Regulation Best Interest, enforcement, and setting corporate penalties. The Commissioner also offers some thoughts on cybersecurity and showtunes to round out the conversation.
It’s All About Connecting: The Value of PLI’s IA/BD Programs
June 03, 2021 18:04 - 42 minutes - 41.3 MBKurt chats with Cliff Kirsch of Eversheds Sutherland about the benefits of PLI’s investment adviser and broker-dealer resources, and about Cliff’s many contributions to PLI programs and publications, including the upcoming live webcast Securities Law and Practice 2021: How the SEC Works on June 28. ----more---- Link to PLI's Broker Dealer Blog Link to product details page for Securities Law and Practice 2021: How the SEC Works Link to Cliff Kirsch's PLI Biography and Associated Items
Forensic Analytics – Algorithms and Analysis in the Securities Markets
May 20, 2021 16:06 - 55 minutes - 52.9 MBProfessors Alan Jagolinzer and Dan Taylor join the podcast to discuss recent research using forensic analytics, and share insights with Chris and Kurt on how that analysis impacts legislative, regulatory, and enforcement decisions in today’s securities landscape.
Courage, Compassion and Action: Promoting Diversity & Inclusion
May 06, 2021 14:31 - 1 hour - 62.1 MBKimberly Ellison-Taylor and Genna Garver are champions for diversity and inclusion. They talk with Chris & Kurt about actionable steps to promote diversity and inclusion in the accounting and legal professions.
SNEAK PEEK: Enforcement 2021: Perspectives from Government Agencies
April 22, 2021 14:37 - 45 minutes - 45.7 MBThe PLI program Enforcement 2021: Perspectives from Government Agencies offers a unique opportunity to hear directly from senior staff at various government agencies. Chris and Kurt get a sneak peek at the program from Co-Chairs Robert A. Cohen (Davis Polk), Joan E. McKown (Jones Day) and Richard D. Owens (Latham & Watkins). Register here: https://www.pli.edu/programs/enforcement-perspectives-from-government-agencies?t=live
Is ESG About Value or Values? A Conversation with Commissioner Peirce
April 08, 2021 18:54 - 57 minutes - 56.2 MBESG investing and climate risk disclosure are hot topics at the SEC. Chris & Kurt sit down with Commissioner Hester Peirce to talk about materiality, the disclosure framework, and crafting the perfect speech title.
Cyber Risks and Regulation in 2021 and Beyond
March 25, 2021 14:43 - 52 minutes - 50.7 MBChris and Kurt chat with cybersecurity regulatory and policy experts Chris Hetner and Robert Peak about cyberthreats that emerged during the COVID-19 pandemic, the federal and state cybersecurity regulatory landscape, and cybersecurity regulatory priorities in the Biden Administration
Securities North of the Border – Comparing US and Canadian Regulations & Enforcement
March 11, 2021 18:01 - 1 hour - 63.4 MBChris and Kurt sit down with Larry Ritchie of Osler, Hoskin & Harcourt, and Stephanie Greenwald of RSM to talk about distinctions between US and Canadian securities regulation and enforcement, and how we should think about emerging cross-border issues.
MD&A, SPACs, ESG—Acronyms and More with George Wilson
February 25, 2021 18:33 - 56 minutes - 55.6 MBChris and Kurt chat with SEC Institute Director George Wilson about hot topics in the SECI’s quarterly newsletter, including leadership transitions at the SEC, MD&A and other disclosures in the time of COVID-19, SPACs, ESG and changes at the PCAOB.
How Does Billions Get It Right? Tricks of the Trade from the Show’s Technical Advisor
February 11, 2021 18:32 - 57 minutes - 57.3 MBChris and Kurt chat with David Miller, a Shareholder at Greenberg Traurig, who serves as a technical advisor to the writers of Showtime’s hit drama series Billions. David shares the experiences that qualify him to consult on the show and explains how the writers work tirelessly to “get it right.” He also answers tough questions like “Wags or Wendy” and “Taylor Mason or Dollar Bill.”
From Capital Formation to Enforcement: Law Professors Share Their Take on President Biden’s SEC
January 28, 2021 20:52 - 1 hour - 68.9 MBSPACs, conflict minerals, ICOs, ESG, the STOCK Act, the FCPA and more . . . Chris and Kurt sit down with professors Karen Woody of the Washington & Lee University School of Law and James Park of the UCLA School of Law to discuss securities regulatory and enforcement trends that may develop in the Biden Administration.
On SECond Thought: Russ Ryan on SEC Enforcement
January 14, 2021 15:13 - 48 minutes - 47.2 MBChris and Kurt chat with Russ Ryan about his popular newsletter On SECond Thought… and what he sees on the horizon for SEC enforcement. They also explore Russ’s reputation for playing hardball . . . in an adult baseball league.
A Few of Our Favorite Things: Podcasts You’ll Love
December 30, 2020 16:00 - 1 hour - 58.7 MBOn this episode of inSecurities, Chris and Kurt introduce you to a few of their favorite podcasts, including short interviews with Jeff Benjamin, co-host of The Investment News Podcast; Amber McKinney, co-host of the Law360’s Pro Say; Mandy Moody, host of ACFE’s Fraud Talk; and Andrew Jennings, host of the Business Scholarship Podcast. Tune in! Link to episode on pli.edu: https://www.pli.edu/insecurities/episode-28 ----more---- The InvestmentNews Podcast: https://www.investmentnews.com/po...
inSecurities Holiday Special: The Best of 2020
December 17, 2020 15:40 - 41 minutes - 38.6 MBChris and Kurt take a break from their usual recording schedule to reflect on some of their favorite moments from year one of the inSecurities podcast.
Whistleblowing’s New Frontier: A Conversation with Tom Mueller
December 03, 2020 15:30 - 1 hour - 63.3 MBThe SEC’s whistleblower program shattered records in 2020. On this episode of the inSecurities podcast, Chris and Kurt take a look at the numbers and break down recent amendments to the SEC’s whistleblower rules. Our co-hosts also chat with New York Times best-selling author Tom Mueller about challenges many whistleblowers face, the state of the SEC’s whistleblower program, and his book, Crisis of Conscience: Whistleblowing in an Age of Fraud. ----more----
Assessing the SEC Enforcement Division’s Annual Report
November 19, 2020 15:44 - 52 minutes - 50.9 MBFY2020 was a year unlike any other for SEC enforcement. Chris, Kurt and Sandra Hanna, managing partner of Bruch Hanna, unpack key themes and trends from the SEC Enforcement Division’s Annual Report. Are we entering an era of “smart enforcement”? Tune in to find out. ----more---- Link to the podcast page for this episode Link to the inSecurities homepage
Election 2020 Special: Securities Regulation & Enforcement in a Biden Administration
November 13, 2020 07:50 - 31 minutes - 29.3 MBChris and Kurt talk about what a Biden administration could mean for the U.S. Securities and Exchange Commission and the securities regulatory landscape. ----more---- Link to the podcast page for this episode Link to the inSecurities homepage
A GAAP in Your Financial Reporting: Focusing on Accounting & Disclosure Issues
November 05, 2020 19:23 - 1 hour - 63.4 MBOn this episode of PLI's inSecurities, Chris and Kurt take a deep dive into the complex issues regarding accounting fraud and issuer disclosures. Our co-hosts discuss the basic tenets of accounting, the securities laws applicable and often charged in accounting fraud matters, and recent cases that demonstrate the SEC’s focus and messaging regarding accounting fraud and the people who commit it. ----more---- Link to the podcast page for this episode Link to the inSecurities homepage
The SEC Speaks in 2020 – Our Top Takeaways and Tweets
October 22, 2020 18:00 - 56 minutes - 54.6 MBEach year PLI presents, in cooperation with the U.S. Securities and Exchange Commission, The SEC Speaks program, which provides an essential update on the current initiatives as well as the priorities of the Commission for the coming year. On this episode of inSecurities, Chris and Kurt discuss their takeaways - and top tweets - from The SEC Speaks in 2020. ----more---- Link to the podcast page for this episode Link to the SEC Speaks in 2020 Product Page Link to the inSecurities homepag...