The jurisdiction would be in the US for firms subject to SEC jurisdiction. This would include all firms listed on US exchanges and firms interested in investing in these firms.
WHY SHOULD YOU ATTEND?
To prepare a listed firm to meet the requirements of the new rules that came out in July. These rules describe the disclosure requirements for listed firms including disclosure on forms 10-K and 8-K. These disclosure requirements are mandatory.
AREA COVERED
- Jurisdiction
- The prior law including guidance will be discussed.
- Relevant cases will also be discussed
- Description of the new rules
- Requirements for compliance will be outlined
LEARNING OBJECTIVES
Understand why disclosure is necessary in order to comply with the latest rules. Understanding the consequences of failure to comply would be that the firm could not get an auditor to create a 10-K or 8-K. This may result in delisting from an exchange. In addition, failure to adequately disclose could result in lawsuits. To comply firms will have to disclose what the rule requires which will be discussed. Preparation may require the completion of a cyber security framework and risk assessment. The SEC mandated the change to unify the reporting of cyber security defenses in listed firms.
WHO WILL BENEFIT?
- Individuals.
- tasked with compliance for the listed firm including compliance officers.
- CISOs.
- CTO.
- Securities auditors, securities counsel, and C suite tasked with overseeing cyber security and compliance.
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