California (CA) Finance CLE Course Catalog

As disputes within the financial industry come under the purview of FINRA’s Dispute Resolution Program, mastering the selection of arbitrators, staying updated on rule changes, and strategizing for employment law claims become paramount. This CLE course offers a deep dive into these crucial aspects, providing attendees with indispensable insights for achieving success in FINRA arbitration.

In this course, expert counselor in compliance and global trade regulations, Carolyn Schroll of Kelley Drye & Warren LLP, will provide a comprehensive analysis of FCPA enforcement trends. She will examine recent enforcement actions and changes to FCPA policies and compliance guidance, highlight key challenges, and offer invaluable compliance strategies to mitigate legal risks.

As the role of legal in the C Suite continues to evolve, in-house leaders have found themselves in uncharted territories. In the current business landscape, the ability to translate strategic goals and risk management plans into actionable financial metrics is essential for achieving success. In order to secure buy-in from the CFO and other key internal stakeholders, aligning legal strategies with organizational financial goals is crucial. This session is designed to equip attendees with the tools to communicate legal risks and strategies effectively, ensuring alignment and support from key decision-makers within your organization.

A panel of leading experts discusses the critical importance of accurate financial disclosure and proactive measures to mitigate accounting fraud risks, emphasizing the increase in SEC enforcement actions, notable cases, and the need for stringent accounting controls.

Listen as a panel of distinguished experts organized by The Knowledge Group explores key strategies for resolving tax controversies in an evolving enforcement landscape, drawing insights from various reputable sources in the field of tax compliance and dispute resolution.

This session goes beyond the surface of ESG reporting obligations, providing in-house counsel with actionable insights on how to turn ESG commitments into a value-driven Return on Investment (ROI). Join our expert panelists for an enlightening exploration of the legal dimensions and business advantages of a purpose-driven approach to ESG.

Join Mike Woeber of Corporate Tax Advisors, Inc. and Michael Silvio, CPA with MGO as they dive deep into the intricate realm of innovation ROI, offering you the tools and knowledge necessary to navigate the evolving terrain of R&D tax credits.

Panelists emphasize the repercussions faced for financial disclosure and accounting fraud, discussing the Boeing and Granite Construction cases. Firms are urged to focus on compliance, cooperation, and disclosure controls to mitigate the risk of substantial penalties for misstatements.

A panel of experts discusses issues such as electronic communications use, cooperation, and managing an investigation. Firms are advised to prepare for upcoming regulatory changes, prioritize implementing quick changes, and focus on staying ahead of industry changes and technology.