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KPMG Executive Education

Bank SEC Reporting & Compliance

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Description

Financial professionals of public banks and bank holding companies face their own set of unique challenges.

This seminar provides a sound grounding in SEC reporting and compliance for financial professionals of banks and bank holding companies.

Emphasizing bank-specific periodic financial statement requirements, it gives participants practical, hands-on experience preparing annual reports, quarterly reports, current reports, and proxy statements—even as the regulatory requirements change. Course materials are continuously updated to give timely perspectives on current issues on the SEC’s agenda, including non-GAAP financial measures, the Disclosure Effectiveness Project, trends in Dodd-Frank initiatives, the JOBS Act, trends in SEC comments, and XBRL. Actual bank SEC filings are integrated into the course to demonstrate how the regulations are implemented in practice, and all participants receive an SEC Rules and Regulations Manual.

Agenda

  • The SEC, Its Operations, and Organization
  • Dealing Effectively with SEC Staff
  • XBRL
  • SEC Reporting Using IFRS
  • Developing the Form 10-K Annual Report
  • Form 10-Q Quarterly Report
  • The Item Requirements of Form 10-K, including Industry Guide 3 and Article 9 of Regulation S-X
  • Form 8-K Current Report
  • Proxy Statements

Experts

Mary Anne Busse is a nationally recognized expert in disclosure and governance, having served for several years in various capacities with the Securities and Exchange Commission in Washington, D.C., her last assignment as Senior Counsel in the Division of Corporation Finance. Ms. Busse currently ...

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