CFO Ethics

Join The CFO RoundTable Boston on Wednesday, January 15, 2014 at Bentley University as we present “Ethical Dilemmas: Perspectives from the FBI, SEC and U.S. Attorney’s Office,” where our panel will discuss trends in securities fraud and securities fraud enforcement practices. 

You Will Learn:

  • The Role of the Securities and Exchange Commission (SEC) and the Department of Justice (DOJ) in the enforcement of Securities Fraud
  • Civil Standard of the SEC vs the Criminal Standard of the DOJ
  • Ethical Dilemmas with Securities Holdings 
  • Role of Compliance
  • Attributes of a “Typical” Defendant/Subject
  • Whistleblower Protections
  • Risks Posed by Subordinates and Former Employees
  • Recent Trends in Enforcement and Investigations

Speakers Include

  • Peter Howe, Business Editor, NECN (Moderator)
  • Kevin B. Currid, Assistant Regional Director, SEC
  • Patrick J. Noone, Senior Staff Accountant, SEC
  • Sarah Walters, Unit Chief, Economic Crimes Unit, U.S. Attorney’s Office
  • Darryl Wegner, Supervisory Special Agent, FBI


Click the button below to register for this program. CFO RoundTable Boston members may attend this program for free, and Controllers RoundTable Boston or CFO RoundTable NYC members may attend at a reduced rate. Non-member senior financial executives who are CFOs, Vice Presidents of Finance, Directors of Finance and Controllers (or the like) are welcome to attend this program for $75. 


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More Information:

For more information about this program or The CFO RoundTable, please contact Kristin Todd, Marketing Director, Boston Chapters at