Date: August 20, 2020, 11:30 AM
Topic: SEC Enforcement: The current landscape
Speaker: Brad Mroski, Managing Director, AlixPartners LLP
• Overview of accounting/reporting/auditor enforcement program
• How companies and individuals get on enforcement’s radar
• Current enforcement focus areas
• How the SEC interacts with other regulators (DOJ, PCAOB, foreign regulators)
• Best practices for navigating an SEC investigation
Field of Study: Accounting
CPE: 1 hour
Brad specializes in conducting internal investigations, advising on accounting and internal control compliance matters and serving as an expert in regulatory and commercial disputes. With over 20 years of experience as a forensic accountant, financial regulator and auditor, he has dealt with a wide range of accounting, reporting and corruption issues. From 2010 to 2016 Brad served as Assistant Chief Accountant in the SEC’s Division of Enforcement in Washington, D.C. where he received numerous awards for his work on high-profile enforcement cases. Prior to the SEC, Brad was a forensic accountant and financial statement auditor for a Big Four audit and consulting firm. Brad is a certified public accountant and certified fraud examiner who has provided expert opinions and testimony in federal and state court matters as well as arbitrations and regulatory administrative proceedings.
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Event number: 129 816 8413
Event password: dfw1