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Corporate Governance - A Master Class 2016

Seminar  Seminar

Why You Should Attend This program will address key corporate governance issues faced by boards and principal board committees.  Public companies and their directors and officers face increasing responsibilities and risk of liability.  They are also under intense scrutiny and in at least some cases significant pressure from investors and regulators.  Changing investor expectations and increased investor willingness to seek or force ...

Broker-Dealer Advisory Services 2016: Current Legal and Compliance Issues Facing Dual Registrants

Seminar  Seminar

Why You Should Attend Broker-dealers that are dually registered as investment advisers are under intense regulatory scrutiny.  At this program, attendees will be provided with expert analysis regarding today’s hot topics impacting the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators will review current ...

Spin-offs 2016

Seminar  Seminar

Why You Should Attend Business separation transactions represent a substantial portion of all M&A transactions.  Many of these take the form of spin-offs, equity carve-outs and similar architectures not involving an outright sale.  But what is a spin-off, what makes it different from other types of business separation transactions, and why are people doing more of them?  This program will provide an in-depth perspective on the ...

Social Media 2016: Addressing Corporate Risks

Seminar  Seminar

Why You Should Attend Facebook, Foursquare, Google+, LinkedIn, Pinterest, Snapchat, Twitter, Tumblr, YouTube and other social media sites are transforming not only the daily lives of consumers, but also how companies interact with consumers.  Indeed, even the largest, most conservative blue-chip corporations have embraced social media; one study revealed that, of the Fortune Global 500, 97% were on LinkedIn; 83% had Twitter accounts; 80% had ...

Asset Based Financing Strategies 2016

Seminar  Seminar

Why You Should Attend Asset based financing is a key source of credit for small and medium-size companies and for some larger, publicly traded companies as well. In contrast to equity financing where ownership in the company is diluted, asset-based financing allows companies to borrow funds against their own assets as collateral to generate cash for working capital and capital acquisitions. In structuring these loans, lenders rely on their collateral ...

Investment Management Institute 2016

Seminar  Seminar

Why You Should Attend You’ll hear expert panelists discuss: significant business and legal developments in the investment management area over the past year and important regulatory initiatives such as: The SEC’s regulatory agenda New money-market fund regulations New SEC staff guidance Potential new rulemakings relating to target date funds Exchange-traded products initiatives The proposed fund ...

Doing Deals 2016: The Art of M&A Transactional Practice

Seminar  Seminar

Why You Should Attend The M&A market boom returned in 2015.   In addition to the reappearance of the mega deal, the market has also seen a flurry of hostile deals, cross-border “inversion” transactions (which have been slowed by recent regulatory action), as well as spin-offs and a record number of activist campaigns. Continued high levels of M&A litigation is also giving rise to a flurry of decisions and bench rulings ...

Securities Offerings 2016: A Public Offering: How it is Done

Seminar  Seminar

Why You Should Attend This course will provide a solid understanding of the legal framework for securities offerings under the Securities Act of 1933. Topics covered include the basics, such as definitions and regulations of “offers” and “sales” of “securities” and the distinctions between public and private offerings, including the need to register public offerings (and how that is done) and basic exemptions ...

How to Read Financial Statements 2016

Seminar  Seminar

How to Read Financial Statements 2016 New York City and Live Webcast, , March 16  Why You Should Attend Financial statements provide information on the financial performance of companies and are the language of business.  Attorneys are often required to understand financial statements in order to provide solutions to their clients’ problems, including structuring financial transactions and litigating business disputes.  At ...

Pension Plan Investments 2016: Current Perspectives

Seminar  Seminar

Why You Should Attend Experienced practitioners in the area of pension investment law, will give their perspectives, and illuminate issues, on current topics and recent developments. Continued statutory, regulatory and market changes ensure a full agenda of new developments to be debated and analyzed by the panelists. The Dodd-Frank financial reform legislation brought a new regulatory structure for pension investment activities in the derivatives ...

How to Prepare an Initial Public Offering 2016

Seminar  Seminar

Why You Should Attend In almost any market, understanding the IPO process is an essential skill for both legal and business advisors. Hear from an experienced faculty, including attorneys, underwriters, and a member of the Securities and Exchange Commission staff, who will analyze the nuts and bolts of an initial public offering. The speakers will guide you through the initial public offering process and highlight issues presented by new regulations ...

Financial Services Conflicts of Interest & Fiduciary Duties 2016: Navigating the Emerging Regulatory Maze

Seminar  Seminar

Why You Should Attend The DOL is actively advancing rulemaking that would dramatically change the regulatory framework establishing fiduciary duties and obligations for broker-dealers, advisors and service providers in the retirement marketplace. At the same time, the SEC is reported to be advancing internally its consideration of whether to subject broker-dealers and advisers to a harmonized uniform standard of care.  Further, the OCC’s ...

Global Capital Markets & the U.S. Securities Laws 2016

Seminar  Seminar

Why You Should Attend Capital markets are adjusting to a wide range of evolving regulatory standards which affect the way in which offerings are conducted around the world.  At the same time, issuers around the world are subject to changing accounting and corporate governance standards, while market participants navigate new ground in derivative product regulation.  Issuers and market participants also face an increasingly active global ...

Basics of Mutual Funds and Other Registered Investment Companies 2016

Seminar  Seminar

Why You Should Attend This program is designed to provide attendees with a basic overview of the legal, regulatory and operational issues affecting “registered investment companies” – the universe of publicly offered pooled investment vehicles that include mutual funds, closed-end funds, exchange-traded funds (“ETFs”) and others.  Attendees will learn the fundamentals of the extensive regulatory framework that ...

Enforcement 2016: Perspectives from Government Agencies

Seminar  Seminar

Why You Should Attend We continue to see unprecedented changes in our economic, business and regulatory regimes in general, and in enforcement efforts in particular. This unique program brings together panels of senior staff from the various enforcement and regulatory agencies, including the U.S. Commodity Futures Trading Commission, FINRA, New York State Department of Financial Services, U.S. Securities and Exchange Commission, U.S. Attorney’s ...

The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2016

Seminar  Seminar

Why You Should Attend The Foreign Corrupt Practices Act (“FCPA”) is at the top of most companies’ key risk areas. DOJ and SEC resources devoted to investigating violations and enforcing the law remain at an all-time high. Recent FCPA and bribery enforcement actions demonstrate that no industry is immune from scrutiny.  Beyond the FCPA, an increasing number of countries, as well as international organizations, are ramping up ...

Antitrust Institute 2016: Developments & Hot Topics

Seminar  Seminar

Why You Should Attend This year’s Institute will examine developments in several key areas of antitrust— with emphasis on fundamentals and current developments — reflected in recent decisions as well as vigorous enforcement in the US and around the world.  Panels or nationally known practitioners and senior government enforcement officials will report on and explore developments in competitor relationships, including cartels ...

Leveraged Financing 2016

Seminar  Seminar

Why You Should Attend This program features an experienced faculty of legal experts who are prepared to deliver practical insights on leveraged finance strategies and the current marketplace.  Starting with an overview of the current drivers of deal activity and trends in deal structures and terms, the opening panel will set the stage for a deeper look into area. New segments on leveraged finance restructuring and covenants will cover industry ...

Venture Capital 2016: Nuts and Bolts

Seminar  Seminar

Mark Your Calendar. More Information to Come!

Cloud Computing 2016: Key Issues and Practical Guidance

Seminar  Seminar

Why You Should Attend This program will provide practical advice on understanding the context and business realities around which cloud computing exists, understanding key terms for cloud computing contracts, help organizations considering the purchase of cloud services to understand  vendor and customer obligations and responsibilities associated with cloud computing services, provide information to cloud service vendors on the compliance obligations ...

Private Placements and Hybrid Securities Offerings 2016

Seminar  Seminar

Mark Your Calendar. More Information to Come!

Corporate Compliance and Ethics Institute 2016

Seminar  Seminar

Please note that "ethics" in the program title refers to the “Compliance and Ethics Program” used in the Federal Sentencing Guidelines for Organizations. It does not specifically refer to legal ethics. Please check the credit calculator to the right for credit information for your jurisdiction.Why You Should Attend Compliance and ethics programs are critically important to the success and growth of any organization. Such programs allow ...

Acquiring or Selling the Privately Held Company 2016

Seminar  Seminar

Why You Should Attend At this perennial favorite, our experienced faculty will walk you through all of the steps associated with acquiring and selling a privately held company, whether it is a large independent corporation, a division or subsidiary of a large public company, or a smaller venture capital-backed or family-owned entrepreneurial enterprise. You will learn about the special issues that apply when a private equity firm is the buyer or ...


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