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Basics of Mutual Funds and Other Registered Investment Companies 2014

Handbook  Course Handbook

Course Handbook from the program Basics of Mutual Funds and Other Registered Investment Companies 2014, held April, 2014.

Basics of Mutual Funds and Other Registered Investment Companies 2015

Handbook  Course Handbook

Course Handbook from the program Basics of Mutual Funds and Other Registered Investment Companies 2015, held April, 2015.

Bolstering Your Company’s Fraud Defenses 2014: Proactive Prevention and Responses

Handbook  Course Handbook

Course Handbook from the program Bolstering Your Company’s Fraud Defenses 2014: Proactive Prevention and Responses, held November, 2014.

Broker-Dealer Advisory Services 2015: Current Legal and Compliance Issues Facing Dual Registrants

Handbook  Course Handbook

Course Handbook from the program Broker-Dealer Advisory Services 2015: Current Legal and Compliance Issues Facing Dual Registrants, held February, 2015.

Broker-Dealer Regulation

Treatise  Treatise

Published: November 2011
Last Updated: May 2015

Updated to include coverage of the significant FINRA and SEC responses to the economic downturn, the new second edition of Broker-Dealer Regulation provides you with a complete and practical understanding of the many requirements of this highly regulated area. This two-volume work ensures that you satisfy SEC/SRO standards governing your firm, with detailed coverage of: Registration reporting and record-keeping rules Suitability and best execution ...

Broker/Dealer Regulation and Enforcement 2014

Handbook  Course Handbook

Course Handbook from the program Broker/Dealer Regulation and Enforcement 2014, held October, 2014.

Broker/Dealer Regulation and Enforcement 2015

Handbook  Course Handbook

Course Handbook from the program Broker/Dealer Regulation and Enforcement 2015, held November 2015.

Building Better Construction Contracts 2014

Handbook  Course Handbook

Course Handbook from the program Building Better Construction Contracts 2014, held June, 2014.

Business Liability Insurance Answer Book 2015

Answer Book  Answer Book

Published: August 2014

Being held personally liable for a businessrelated decision is the nightmare of every company manager, officer and director. As a result of the recent economic downturn, the number of cases being brought against businesses and the people who run them has surged. Business Liability Insurance Answer Book 2015 provides a concise roadmap to the kinds of issues being litigated, and the types of liability insurance available to protect against suit and ...

Cloud Computing 2014: Key Issues and Practical Guidance

Handbook  Course Handbook

Course Handbook from the program Cloud Computing 2014: Key Issues and Practical Guidance, held May, 2014.

Cloud Computing 2015: Key Issues and Practical Guidance

Handbook  Course Handbook

Course Handbook from the program Cloud Computing 2015: Key Issues and Practical Guidance, held May, 2015.

CMBS and the Real Estate Lawyer 2015: Lender and Borrower Issues in the Capital Markets

Handbook  Course Handbook

Course Handbook from the program CMBS and the Real Estate Lawyer 2015: Lender and Borrower Issues in the Capital Markets, held February, 2015.

Conducting Due Diligence in a Securities Offering

Treatise  Treatise

Published: April 2009
Last Updated: July 2012

Today’s major financial scandals demonstrate what can happen when investigators fail to uncover illegal activity because they failed to do effective background searches.   PLI’s new Conducting Due Diligence in a Securities Offering provides you with clear, step-by-step legal and procedural information that helps ensure you to do a thorough investigation of a company’s records and its top managers — and reduce the potential for legal problems ...

Consumer Product Safety Regulation: Impact of the 2008 Amendments

Treatise  Treatise

Published: October 2008

PLI’s Consumer Product Safety Regulation gives you comprehensive, compliance-enabling insight into the 2008 Consumer Product Safety Improvement Act, the most dramatic overhaul of consumer product safety legislation since the 1970s.   Written by one of the country’s foremost experts in the field, Consumer Product Safety Regulation shows you how the 2008 amendments bring substantially lower lead limits for children’s products; bans on certain ...

Coping with U.S. Export Controls 2014

Handbook  Course Handbook

Course Handbook from the program Coping With U.S. Export Controls 2014, held December, 2014.

Coping With U.S. Export Controls and Sanctions 2015

Handbook  Course Handbook

Course Handbook from the program Coping With U.S. Export Controls and Sanctions 2015, held December, 2015.

Corporate Compliance and Ethics Institute 2014

Handbook  Course Handbook

Course Handbook from the program Corporate Compliance and Ethics Institute 2014, held May, 2014.

Corporate Compliance and Ethics Institute 2015

Handbook  Course Handbook

Course Handbook from the program Corporate Compliance and Ethics Institute 2015, held May, 2015.

Corporate Compliance Answer Book 2015

Answer Book  Answer Book

Published: August 2014

Representing the combined work of more than forty leading compliance attorneys, Corporate Compliance Answer Book 2015 helps you develop, implement, and enforce compliance programs that detect and prevent wrongdoing. You’ll learn how to:  Use risk assessment to pinpoint and reduce your company’s areas of legal exposure Apply gap analysis to detect and eliminate flaws in your compliance program Conduct internal investigations ...

Corporate Counsel Institute 2014

Handbook  Course Handbook

Course Handbook from the program Corporate Counsel Institute 2014, held October, 2014.

Corporate Counsel Institute 2015

Handbook  Course Handbook

Course Handbook from the program Corporate Counsel Institute 2015, held October, 2015.

Featured Faculty/Authors
Clifford E. Kirsch

Clifford E. Kirsch ~ Sutherland Asbill & Brennan LLP

Tanya E. M. Wong

Tanya E. M. Wong ~ Director of Government Benefits, Legal Services NYC - Legal Support Unit

Kenneth N. Nigon

Kenneth N. Nigon ~ RatnerPrestia