Anti-fraud in Action: Insights from the SEC Coronavirus Steering Committee


The CAQ’s Margot Cella, Vice President, Research and Anti-Fraud Initiatives, has a conversation with the SEC Division of Enforcement’s Associate Director, Carolyn Welshhans, to discuss the priorities of the SEC Coronavirus Steering Committee, how the Committee is responding to fraud during COVID-19, and insights into emerging fraud risks as the pandemic continues.

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[00:50] Priorities of the Corona Virus Steering Committee.

[01:51] What are some of the main emerging issues you’re seeing during the pandemic?

[03:50] Has there been a rise in cybersecurity fraud since the start of the pandemic? What can companies and investors do to protect against cyber-attacks?

[06:07] Has the SEC experienced an uptick in Tips Complaints and Referrals (TCRS) since mid-March?

[07:45] How are remote investigations being handled?

[09:30] What approach is being taken with the companies that are being investigated (remotely) during the pandemic?

[11:18] Expectations for the upcoming 6-12 months and what companies can do to deter fraud.

[13:30] Key takeaway and summary of the work of the Coronavirus Virus Steering Committee and Division of Enforcement during this time.

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Categories: Risk