New York (NY) Corporate Finance CLE Course Catalog

Financial firms such as asset managers, broker-dealers, private funds, and others face scrutiny and fines from the SEC for compliance failures. Expert panelists discuss how financial firms are facing increased scrutiny and large fines from the SEC for compliance failures, particularly concerning communication records and marketing rules.

Companies are urged to prioritize timely and comprehensive financial disclosure, cooperation, and rebuilding accounts in cases of accounting fraud to avoid enforcement actions and negative market effects, as discussed by SEC and private sector panelists.

Financial firms are under heightened scrutiny from the SEC, facing investigations and potential penalties for violations related to off-channel communication, recordkeeping and other matters. Expert panelists discuss proactive measures for asset managers and others in cooperating with the SEC to reduce penalties.

Cooperation, robust internal controls, and a culture of compliance are key to preventing accounting fraud, as discussed by expert panelists from the SEC and the private sector. Effective communication and cooperation are vital in navigating investigations, empowering gatekeepers, and setting an example for other firms.

As the role of legal in the C Suite continues to evolve, GC's have found themselves in uncharted territories. From understanding financial jargon in legal documents, to being able to interpret financial speak in the boardroom, the roles of CFO & GC have become increasingly intertwined. Join our panel of business law experts as they discuss key insights and answer your burning questions on all things business, finance, and law at the executive level.

This panel will compare and contrast liquidations and wind-downs under chapter 11, federal and state receiverships, ABCs, and judicial dissolutions. The panelists also will take a look at tools that are available and the risks attendant to each. Which companies are more appropriate for which type of liquidation option: cannabis and related company insolvencies, or higher education institutions?

This session’s panelists, all of whom have experience in the renewable energy and power sectors, will discuss valuation and other relevant issues in the context of expanding alternative and renewable energy sources, and the pressures this expansion will have on the merchant power sector.