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Corporate Governance -- A Master Class 2016

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

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 ...

Federal Elections: Federal Campaign Finance Issues

One-Hour Briefing  One-Hour Briefing

With the 2016 federal elections gearing up, this briefing will provide you with an overview of federal campaign law finance law, and will highlight hot topics that arise during presidential election years.  Please join Patricia M. Zweibel of Skadden, Arps, Slate, Meagher & Flom LLP for a discussion addressing:  Contributions and expenditures:  definitions, limits and restrictions  Impact of Citizens United ...

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

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

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  SeminarWebcast  WebcastGroupcast  Groupcast

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 ...

The SEC Speaks in 2016

Seminar  SeminarWebcast  Webcast

At the beginning of each year, PLI presents in cooperation with the U.S. Securities and Exchange Commission The SEC Speaks program, providing an essential update on the current initiatives at the Commission, as well as the priorities for the coming year. At this unique program, you will hear remarks by the Chairman, and  Commissioners, and Investor Advocate, as well as panel discussions by senior staff at the Divisions of Corporation Finance, ...

ABCs of ETFs

One-Hour Briefing  One-Hour Briefing

Exchange traded funds have grown in popularity and complexity. This program will tell you what you need to know -- how they are structured, how they operate, and legal and regulatory trends that affect them.   Please join Jay G. Baris and Kelley A. Howes of Morrison & Foerster LLP as they address the following topics:  The distinctions between mutual funds and ETFs How ETFs are created and how they trade The ...

“Spoofing:” What Is It, How Do Regulators Detect It, and Recent Regulatory Enforcement Actions

One-Hour Briefing  One-Hour Briefing

There continues to be much discussion in the securities industry about the changing nature of trading in our capital markets and those who attempt to improperly take advantage of technological advances. One practice that has generated significant attention and scrutiny from regulators is manipulative trading activity such as spoofing. This briefing will provide regulatory perspectives on the identification of spoofing and other types of manipulative ...

M&A Default Rule Roulette: Winning the Bet with the Law You Pick

One-Hour Briefing  One-Hour Briefing

When negotiating the deal, going-silent could be pro-buyer or pro-seller depending on the law you pick. Comparing Delaware, New York and Texas laws, this panel of seasoned M&A pros will separate fact from fiction on what happens when you go silent and when you test the freedom-of-contract limits of common, yet potentially outcome-determinative deal points.   Topics will include: Sandbagging (aka preserving the benefit-of-the-bargain) ...

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 ...

Anti-Corruption Regimes and Enforcement in Asia Pacific

One-Hour Briefing  One-Hour Briefing

February 25, 2016, 9:30 a.m. - 10:30 a.m. (E.S.T.)Law enforcement agencies in Asia Pacific are becoming increasingly active in penalizing businesses for non-compliance with anti-corruption laws. Effective handling of anti-corruption enforcement can be essential to maintaining business-continuity.    Mark Johnson and Ralph Sellar of Debevoise & Plimpton will:   review recent anti-corruption issues which are the ...

Asset Based Financing Strategies 2016

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

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 ...

Nuts and Bolts of Poison Pills

One-Hour Briefing  One-Hour Briefing

Shareholder rights plans, also known as poison pills, are an extraordinarily effective takeover defense.  However, they also continue to be a source of intense scrutiny by proxy advisory firms.    At first blush, the mechanics of rights plans can seem dauntingly complex. Leading M&A practitioners Francis J. Aquila and Melissa Sawyer from Sullivan & Cromwell LLP will guide you through how a rights plan works.  ...

Investment Management Institute 2016

Seminar  SeminarWebcast  Webcast

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  SeminarWebcast  WebcastGroupcast  Groupcast

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 ...

Iran and Implementation Day: What It Means for U.S. Sanctions

One-Hour Briefing  One-Hour Briefing

On January 16, 2016, “Implementation Day” arrived under the Joint Comprehensive Plan of Action (JCPOA), bringing into effect the commitments of the United States (U.S.) and European Union (EU) to lift certain sanctions on Iran that had been in place due to its nuclear program.  For the U.S., this includes delisting of hundreds of Iranian and Iran-related Specially Designated Nationals (SDNs); issuance of general licenses for non-U.S. ...

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

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

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  SeminarWebcast  WebcastGroupcast  Groupcast

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  SeminarWebcast  WebcastGroupcast  Groupcast

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  SeminarWebcast  WebcastGroupcast  Groupcast

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  SeminarWebcast  WebcastGroupcast  Groupcast

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  SeminarWebcast  WebcastGroupcast  Groupcast

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  SeminarWebcast  Webcast

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  SeminarWebcast  WebcastGroupcast  Groupcast

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  SeminarWebcast  WebcastGroupcast  Groupcast

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 ...


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