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1 Prepared for distribution at the AUDIT COMMITTEES AND FINANCIAL REPORTING 2016: RECENT DEVELOPMENTS AND CURRENT ISSUES Program New York City, June 21, 2016 CONTENTS: PROGRAM SCHEDULE FACULTY BIOS SEC Developments: What Audit Committees Need to Know Seeking Cover as the Spotlight Continues to Shine on ICFR Michael J. Scanlon 3. Audit Committee Checklist and Compliance Timeline (April 18, 2016) Directors Forum 2016 Keynote Address (January 25, 2016) Andrew Ceresney 5. Keynote Address at the 2015 AICPA National Conference: Maintaining High-Quality, Reliable Financial Reporting: A Shared and Weighty Responsibility (December 9, 2015) Mary Jo White 5
2 6. Statement at an Open Meeting on Regulation S-K Concept Release (April 13, 2016) Mary Jo White 7. Statement at Open Meeting on Regulation S-K Concept Release (April 13, 2016) Michael S. Piwowar 8. Statement at Open Meeting on a Concept Release on the Business and Financial Disclosure Required by Regulation S-K (April 13, 2016) Kara M. Stein 9. SEC Solicits Public Comment on Business and Financial Disclosure Requirements in Regulation S-K SEC Chair White: Final rules on clawback disclosure a priority AQIs: Measuring quality through metrics Accounting Roundup (First Quarter in Review 2016) Public Company Accounting Oversight Board: PCAOB adopts final rules to disclose name of partner and others on new PCAOB form
3 14. New report highlights AQI roundtable insights (February 10, 2016) The quarter close: A look at this quarter s financial reporting issues, Directors edition (September 16, 2015) A Summary of the November Meeting of the PCAOB s Standing Advisory Group (December 10, 2015) Evolving Expectations for Audit Committees, Including Audit Committees and Company Communications Linda L. Griggs Morgan, Lewis & Bockius LLP 18. Proxy season is upon us is it time to enhance audit committee disclosures? (February 2016) Securities and Exchange Commission: Enforcement Current trends in audit committee reporting
4 21. Top 10 Questions to Ask When Using a Non-GAAP Measure (April 7, 2016) The new revenue standard changes on the horizon: A summary of the proposed amendments (December 17, 2015) Preparing for the new revenue standard: Are you ready? (December 2015) Lessor accounting: how the new lease and revenue standards interact (March 2016) wrap-up What you need to know for your financial statement close (December 7, 2015) The leasing standard: A comprehensive look at the new model and its impact Achieving excellence: Cybermetrics What directors need to know (September 2015)
5 28. Oversight of third-party risks (February 2016) Governing for the long-term: Strategy and Risk Governing for the long-term: Information Technology (IT) Oversight Crises happen are you prepared? (March 2015) Court ruling affirms need for reasonable cybersecurity protection New York County Lawyers Ass n Comm. on Prof l Ethics, Op. 746, (Oct. 7, 2013) SEC Awarding Nearly $2 Million to Three Whistleblowers SEC Announces Whistleblower Award of More Than $325,
6 36. Complaint for Damages and Other Relief, Charles Matthew Erhart v. Bofi Holding Inc., No. 15CV2287 BAS NLS (S.D. Cal. Oct. 13, 2015) Sanford S. Wadler v. Bio-Rad Laboratories, Inc. et al., No. 15-cv JCS (N.D. Cal. Oct. 23, 2015) (order granting in part and denying in part defendants motion to dismiss) Complaint Demanding Jury Trial, Sanford S. Wadler v. Bio-Rad Laboratories, Inc. et al., No. 3:15-cv-2356 (N.D. Cal. May 27, 2015) Complaint, David Danon v. Vanguard Group, Inc., No. 2:15-cv CDJ (E.D. Pa. Dec. 31, 2015) SEC v. Life Partners Holdings, Inc., Brian D. Pardo, R. Scott Peden and David M. Martin, No. 6:12-cv (W.D. Tx. January 4, 2012) Exchange Act Litigation Release No , Accounting and Auditing Enforcement Release No (January 4, 2014) In the Matter of R. Scott Peden, Esq., Order Making Findings and Imposing a Remedial Sanction Pursuant to Rule 102(e) of the Commission s Rules of Practice, SEC Release No , Admin. Proceeding File No (Nov. 23, 2015)
7 42. SEC: Grant Thornton Ignored Red Flags in Audits In the Matter of Wayne Gray, CPA, Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, Exchange Act Release No , Accounting and Auditing Enforcement Release No. 3754, Admin. Proceeding File No (Mar. 10, 2016) SEC Charges Company and Executives for Faulty Evaluations of Internal Controls In the Matter of Logitech International, S.A., Michael Doktorczyk, and Sherralyn Bolles, CPA, Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities and Exchange Act of 1934, Making Findings, and Imposing Cease-and-Desist Orders and Penalties, Exchange Act Release No. 7764, Accounting and Auditing Enforcement Release No. 3765, Admin. Proceedings File No (Apr. 19, 2016) In the Matter of Ener1, Inc., Charles L. Gassenheimer, Jeffrey A. Seidel, and Robert R. Kamischke, Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order, Exchange Act Release No , Exchange Act Release No , Accounting and Auditing Enforcement Release No. 3766, Admin. Proceeding File No (Apr. 19, 2016)
8 47. In the Matter of Robert D. Hesselgesser, CPA, Order Instituting Public Administrative Proceedings Pursuant to Section 4C of the Securities and Exchange Act of 1934, and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions, Exchange Act Release No , Accounting and Auditing Enforcement Release No. 3767, Admin. Proceedings File No (Apr. 19, 2016) SEC Announces Financial Fraud Cases In the Matter of BDO USA, LLP, Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities and Exchange Act of 1934, and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, Exchange Act Release No , Accounting and Auditing Enforcement Release No. 3692, Admin. Proceedings File No (Sept. 9, 2016) SEC Charges BDO and Five Partners in Connection With False and Misleading Audit Opinions SEC Charges Animal Feed Company and Top Executives in China and U.S. With Accounting Fraud: U.S. Based Audit Committee Chair Charged for Complicity in Scheme
9 52. In the Matter of Donald W. Prosser, CPA, Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order, Exchange Act Release No , Accounting and Auditing Enforcement Release No. 3687, Admin. Proceeding File No (Sept. 8, 2015) SEC Charges Sports Nutrition Company With Failing to Properly Disclose Perks for Executives: Former Audit Committee Chair Among Four Individuals Charged U.S Securities and Exchange Commission 54. SEC Charges 11 Bank Officers and Directors With Fraud U.S Securities and Exchange Commission 55. In the Matter of James A. White, Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission s Rules of Practice, Making Findings, and Imposing Remedial Sanctions, Exchange Act Release No , Accounting and Auditing Enforcement Release No. 3762, Admin. Proceeding File No (Apr. 5, 2016) INDEX Program Attorney: Willis Goodmoore 13
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