Jay A. Dubow with Pepper Hamilton LLP to Speak at The Knowledge Group's Event

NEW YORK - Dec. 7, 2016 - PRLog -- For further details, please visit:

https://theknowledgegroup.org/event-homepage/?event_id=1844

About Jay A. Dubow

Jay A. Dubow is a partner with Pepper Hamilton LLP, resident in the Philadelphia office. He is a member of the firm's White Collar Litigation and Investigations Practice Group and is co-chair of the Securities and Financial Services Enforcement Group. Mr. Dubow focuses his practice on complex business litigation, with a special emphasis on defending against shareholder derivative and securities class action litigation and representing clients involved in investigations by the U.S. Securities and Exchange Commission, the Pennsylvania Department of Banking and Securities and various self-regulatory organizations, including the Financial Industry Regulatory Authority, Inc. He also conducts internal investigations on behalf of clients. Such investigations have included allegations involving the Foreign Corrupt Practices Act (FCPA), whistle blower claims, financial fraud, and civil and criminal violations of various federal and state laws.

Mr. Dubow first joined Pepper in 2007 from another Philadelphia law firm, where he was a partner in the litigation and corporate departments and a member of the executive committee. In 2008, he joined a client, Advanta Corp., as senior vice president, general counsel and chief administrative officer. He returned to Pepper in 2011. Mr. Dubow began his career as a branch chief in the Division of Enforcement of the U.S. Securities and Exchange Commission in Washington, D.C.

Active in local and national bar associations, Mr. Dubow is a leader in the American Bar Association's Business Law Section and currently serves as chair of the Securities Litigation Subcommittee of the Business and Corporate Litigation Committee.

About Pepper Hamilton LLP

Pepper Hamilton LLP is a multi-practice law firm with more than 500 lawyers nationally. The firm provides corporate, litigation and regulatory legal services to leading businesses, governmental entities, nonprofit organizations and individuals throughout the nation and the world. Our firm has grown from a two-person law office formed in 1890 in Philadelphia to a large, sophisticated law firm with a national and international practice.

Pepper's Securities and Financial Services Enforcement Group is a client-centric group of lawyers with particularized expertise in the enforcement process. The group was created to recognize the reality that companies that provide financial services are multi-faceted and, therefore, are subject to a wide range of regulatory regimes. Our goal is to meet you, the client, where you are; not to try to pigeon-hole your needs into a pre-existing practice group. To that end, we have combined the talents of many lawyers with different areas of expertise into one cohesive unit with a singular goal in mind: To help public and private companies providing financial services weather the storm of an ever-expanding regulatory and litigious environment and respond rapidly and forcefully to increased scrutiny by the government, its agencies and self-regulatory organizations.

The Dodd-Frank Wall Street Reform and Consumer Protection Act made many sweeping changes to the regulatory oversight of the financial services industry – including public companies and their employees. Dodd-Frank created a new independent consumer watchdog agency, the Consumer Finance Protection Bureau (CFPB), and has caused a renewed focus on the industry by the Federal Trade Commission, the U.S. Department of Justice (DOJ) and U.S. attorneys' offices nationwide, the Securities and Exchange Commission (SEC), the Internal Revenue Service (IRS) and state attorneys general, as well as by federal and state banking regulators. Dodd-Frank oversight extends to OTC derivatives, the security-based and non-security-based swap markets, and the proprietary trading of hedge and private equity funds.

Event Synopsis:

Since 2014, the Securities and Exchange Commission (SEC) has renewed its focus on identifying accounting fraud and violations on issuer disclosure. Despite declines in the number of enforcement actions over the years involving accounting issues, recent activities suggest that SEC has a long-term intent to focus on financial reporting and disclosure cases.

Whether SEC comes knocking with an informal inquiry or a formal investigation, it is always crucial that this will be taken seriously. The manner in which a firm respond early on to SEC is just as important as mitigating potential pitfalls of noncompliance. In this two-hour LIVE webcast, a panel of distinguished professionals and thought leaders assembled by The Knowledge Group will help analyze key developments in SEC enforcement efforts in relation to accounting fraud and financial disclosure cases for 2016 and beyond. The panel will also provide best practices in developing and implementing an effective compliance program and techniques to identify red flags and deter fraudulent schemes for companies to ensure compliance with regulations and avoid hefty penalties.

Among other items, the panel will address:

·         The Accounting Quality Model and Financial Reporting and Audit Task Force

·         The Role of Whistleblowers in Financial and Accounting Fraud Cases

·         Discussion on Significant Issues for Financial Statement Disclosures

·         Results of Recent Litigations and Current Issues Arising from SEC Administrative Proceedings

·         Recent SEC Enforcement Efforts with Case Citations

·         Key Techniques to Identify Fraudulent Schemes and Best Practices in Developing an Effective Compliance Program

About The Knowledge Group/The Knowledge Congress Live Webcast Series

The Knowledge Group was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register to an event, please visit: http://theknowledgegroup.org/