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SEC Enforcement: The current landscape – Dallas Fort Worth Area Chapter

Join the Dallas Fort Worth Chapter as we learn more about how the Securities and Exchange Commission enforces regulations.

SEC Enforcement: The current landscape

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
Prerequisites:  None
CPE:  1 hour


Speaker pix- Brad Mroski

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.

Please note: To upload your CPEs in a timely fashion, please provide your email/membership number as per your IMA profile. You first and last name should also be as per your profile. If any details are incorrect this could delay your CPEs being updated for that session.

Registration is mandatory to participate.

please contact Mary Ann for registration.

Hope to hear you on our next virtual chapter meeting.

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