On-Demand Learning

Past 12 Months

Transcripts

Corporate & Securities

Compliance

Recorded on: Jun. 6, 2012

KIRSTEN AUNAPU: OK, thank you. Welcome back, and I'm pleased to introduce the dynamic duo of Dan Berner and Jason Downing. Dan is a Deloitte partner out of the Dallas, Texas audit practice. Deloitte's been serving large audit clients for the past 22 years, and has significant experience with SEC matters, including initial and follow-on registration statements, acquisitions, divestitures, and period filings. And our other colleague, Jason Downing, ...

Recorded on: Oct. 16, 2012

JAMES J. AGAR: Welcome back everyone. Just a quick housekeeping note-- the lecture that we're about to start is going to go an hour and 3/4. Breaking for lunch at 12:15, and then we will reconvene at 1:30. I hope that you all enjoyed the first panel with Brad and Mark as much as I did. No matter how long I've been in this business, when I get to attend a great presentation such as theirs, I always learn something new. I'm confident that the learning ...

Recorded on: Jun. 4, 2012

REBECCA WALKER: We're nearing the finish line for the day. Last two topics of the day. This one's a really tough one. This is an area where we as ethics and compliance professionals continue to struggle. We've talked about this a little throughout the day to day, and that is how do we measure the effectiveness of what we're doing. How do we test our programs to ensure both that they are running appropriately and that legal violations are not occurring? ...

Recorded on: Sep. 13, 2012

MICHAEL R. YOUNG: OK, everyone. Can hear me? We're going to get started again. And the good news is that your long wait is over. I know that you have been all sitting here patiently for everyone's favorite panels. And that is the panel on Audit Committees. And then the panels on Enforcement. And your patience is now to be rewarded. We're going to do first the audit committees. And then at four o'clock we're going to do enforcement. And with audit ...

Recorded on: May. 8, 2012

RICHARD GRIME: OK, everybody. We're in the home stretch. And I realize I'm competing with Mexican food, and I'm going to lose. So maybe we'll wait for a few stragglers to come in. This is the benchmarking session. We have about 30 questions that we want to get through. We recognize we're not going to have a dialogue on everything, because we've spent a long time over the last day and a half talking about many of these topics. So there's going to ...

Recorded on: Jun. 4, 2012

REBECCA WALKER: So we're going to start now with the next session. This afternoon we're going to cover program structure and board oversight, auditing and assessment of the program, and then do a recent developments, hot topics, and a section on reporting procedures. So a lot to cover, but as I said, we have one hour, and then we're going to have a short break, and then we'll go to the last two panels of the day. Program structure, reporting procedures, ...

Recorded on: Jun. 6, 2012

ERIC SLOAN: ALL right, we're going to get started again. Hopefully everyone has coffee because, you know, at around 3 o'clock is when the caffeine is really needed. But we have a great panel today to keep you awake and interested. So we're going to focus on capital structure considerations in financing. And to do that we have another great panel. To my immediate right is Bill Brentani. Bill is a partner at Simpson Thatcher & Bartlett in Palo ...

Recorded on: Jun. 28, 2012

STEVEN R. PEIKEN: Thanks, Rich. Sounds like my mom wrote that introduction. We have a great group of panelists, and let me introduce them to you briefly before we jump into this. So seated immediately to my right is David Anders, who's a partner at Wachtell, Lipton, Rosen & Katz, where his practice focuses on the representation of Fortune 500 and other companies in white collar criminal and related investigations. Before joining Wachtell, Lipton, ...

Recorded on: Sep. 13, 2012

SPEAKER 1: We're going to have the next panel. We don't have a hard break, so I'm just going to have the next panel come up. And this is compensation committees. And our panelists are Charles Nathan-- Chuck, he is a member of the corporate department in Latham and Watkins' New York office, and is global co-chair of the firm's mergers and acquisition group. His practice focuses on mergers and acquisitions, corporate counseling, and corporate governance. Seated ...

Recorded on: Jun. 4, 2012

REBECCA WALKER: Your ethics and compliance programs, ideally, should be designed around based on your particular compliance challenges and risks. And that's certainly something that the sentencing guidelines talk about, and really just sort of accords with common sense and good logic. You want to be trying to prevent those legal violations that you're most likely to encounter or that are going to cause the greatest harm to your organization. And ...

Recorded on: Jul. 24, 2012

CLIFFORD E. KIRSCH: All right, we are here for our last panel, compliance exams and ethical issues, ethical issues as they present themselves to lawyers and compliance professionals who operate and work with investment advisers. And for this panel, I'm very, very pleased to introduce to my right, John Walsh. John is a colleague of mine now at Sutherland. John's a partner in Sutherland's DC office in the financial services group. So I'm very, very ...

Recorded on: Nov. 2, 2012

CARMEN J. LAWRENCE: OK, so the next panel, Compliance Officer Roundtable. And the moderator is Alan Cohen. Alan joined Goldman Sachs in 2004. He's a partner and Goldman's head of global compliance. Alan serves on a number of Goldman's committees, including the management committee. Prior to joining Goldman, Alan was co-head of the White Collar Regulatory Defense Practice and New York Litigation group at O'Melveny & Myers. And prior to joining ...

Recorded on: Jun. 28, 2012

HELEN: Welcome back everybody. It's my pleasure to introduce the moderator of our next panel, Mei Lin Kwan-Gett. And I'll let her introduce her other panelists. Mei Lin is a partner at Willkie Farr & Gallagher here in New York and is the co-head of that firms White Collar Criminal Defense Practice Group. Mei Lin specializes in white collar criminal defense, regulatory enforcement matters, internal investigations, and complex commercial litigation. Before ...

Recorded on: Jun. 28, 2012

RICHARD J. MORVILLO: This next panel is going to be talking about actually conducting the investigation. It took us a better part of an hour and 45 minutes to talk about all the background. And we are very fortunate to have another esteemed panel of experts in the area. And I'll introduce them. Nancy needs no introduction. To Nancy's right is David Brodsky, who is a partner at Cleary Gottlieb here in New York, who-- and this is going to be a refrain ...

Recorded on: Nov. 29, 2012

REBECCA WALKER: OK, we're going to get started. Welcome back. Thanks to those of you who stayed through to the-- a lot of folks did. Appreciate that. So I'm playing the role of Stacy Mines today. I'm going to sub in for her and talk about actually my favorite area of law, which is conflicts of interest. And I'm doing that alongside Larry Parsons, who was always scheduled to talk about it. Larry is now the Chief Compliance Officer at McLane Company, ...

Recorded on: Feb. 20, 2013

ALAN L. BELLER: Now for what I always think of as the most exciting subject of the day, which is why we do it immediately after lunch, which is auditing and accounting, continuing evolution in auditing and accounting. And the group that's up her to help us to go through our agenda is on my immediate right, Jack Ciesielski, who is the owner of RG Associates, which is an investment research and portfolio management firm in Baltimore. And Jack is the ...

Recorded on: Aug. 8, 2012

AMY: Now it's my pleasure to turn this briefing over to Jessie Liu. JESSIE LIU: Thank you so much Amy. It is always a pleasure to do a briefing for PLI. And welcome everyone who's on the phone. And Amy said, the title of this briefing is Corporate Crime, Southern Union versus United States, and other key Supreme Court decisions of the 2011 to 2012 term. And I want to just take a little time at the beginning to set the stage for what I'm going to ...

Recorded on: May. 8, 2012

RICHARD W. GRIME: Good morning, everybody. Welcome to day two of the PLI's program on FCPA and anti-corruption laws. This morning, I am pleased to be moderating a panel dealing specifically with China. And as you heard yesterday, there are many issues in dealing with that country. And in particular, we want to spend some time today sort of digging a little deeper than we're able to on panels that just deal generally with anti-corruption enforcement. And ...

Recorded on: Oct. 5, 2012

STEVEN V. BERNARD: Welcome back, everyone. Hope you had a nice lunch. I'd like to introduce the newest member of our panel to my left. Our next speaker is Janet Fischer. Janet's a partner here to Cleary Gottlieb in New York City, and she's going to talk with you about Form 8-K. This morning we talked about how companies becomes public reporting companies. We talked about the 10-Qs, to quarterly reports, the 10-K, the annual report. And I mentioned ...

Recorded on: Nov. 13, 2012

STAN KELLER: If folks would take their seats, we're going to begin, with perhaps the most practical of the sessions that we're doing, which is dealing with challenging corporate problems. And taking hypothetical scenarios and running through them. The panel was to be moderated by Tom Cole, from Sidley & Austin in Chicago. Those of you who have been here in prior years know Tom well. Unfortunately, because of the weather, particularly yesterday's ...

Recorded on: Jan. 14, 2013

ROBERT S. RISOLEO: Hello everyone. Welcome back from lunch. We're entering the home stretch. This afternoon, the next two hours-- well, with a break in-between-- we will spend talking about derivatives. There have been, as you've heard some information about, you'll hear a lot more. There have been a lot of changes to the regulation of derivatives in the past year. And our panel will ably discuss those issues, and some others, as well. Rebecca Simmons ...

Recorded on: May. 8, 2012

MARK F. MENDELSOHN: OK, well, welcome back everybody. Our next panel is addressing difficult and unresolved questions under the FCPA. And we've got another great group of experts here to discuss quite a long list of really interesting issues. I'll start on the opposite end with Tim Dickinson, who is a partner at Paul Hastings. I'm not sure where you say you're a resident these days, but-- TIMOTHY L. DICKINSON: Washington. MARK F. MENDELSOHN: --Resident ...

Recorded on: Dec. 17, 2012

N. ADELE HOGAN: OK, and then we're going to move right in-- Robert Evans from Shearman & Sterling is going to come up, and he's going to talk about disclosure basics. Now, he will go through-- this again applies both to the 33 and the 34 Act. So it's a very helpful background review of this area. And thank you again. That was excellent. Thank you. Great slides. And that Latham chart that is on the Latham website is actually excellent. And basically, ...

Recorded on: Jun. 4, 2012

REBECCA WALKER: OK. We're going to get started. We're going to try to maintain compliance with our schedule and CLE requirements. So we talked a lot in the last session about the importance of culture to an organization. And that's all well and good. And certainly for the last few years, we've also seen a lot of Ethics Resource Center data that verifies the data we saw from LRN, that culture really does trump compliance, or culture can enhance an ...

Recorded on: May. 8, 2012

IVONNE KING: Good afternoon. I'm Ivonne King. We have no break right now, so we'll go until this panel ends, and then we will have a break. This is a kind of tough time slot, because you've been sitting in the audience for since the morning. And we've been talking to you for a while. And we've had lunch, and we've had no break. So I offered Laura Shields of PLI $50 to load Angry Birds on your iPad, and you'll have it for two minutes. I'm just kidding. ...