October, 2013

Banking

Released on: Oct. 3, 2013

Taken from the briefing International Implications of the JOBS Act Amendments Eliminating the Prohibition on General Solicitation and General Advertising Under Rule 506(c) of Regulation D and Rule 144A recorded September, 2013. Experts will lead a panel and discuss the SEC’s newly-adopted and amended rules under the Jumpstart Our Business Startups Act (the “JOBS Act”) that allow “general solicitation” and “general advertising” in private placements ...

Course Handbook from the program Pocket MBA Fall 2013: Finance for Lawyers, held October, 2013.

Course Handbook from the program Fundamentals of Swaps & Other Derivatives 2013, held October, 2013.

• Oct. 17 - 18, 2013 New York, NY

• Oct. 17 - 18, 2013 Webcast

The Dodd-Frank Act establishes a novel, comprehensive framework for the regulation of over-the-counter (OTC) derivatives and the market participants who transact in these products.  That regulatory framework is now being implemented and its effect are becoming clear.The new regulatory regime touches the activities of all participants in the swaps markets, from end users to major swap participants to swap dealers.  The new regulations will ...

Released on: Oct. 24, 2013

Taken from the briefing New York State Department of Financial Services - Recent Initiatives in Consumer Protection and Capital Markets recorded October, 2013.The New York State Department of Financial Services (“DFS”) was formed in October 2011, merging the former state banking and insurance departments into a dynamic new regulatory agency. Two senior executives from DFS will speak about some of the groundbreaking work their divisions have been pursuing ...

• Oct. 30, 2013 New York, NY

• Oct. 30, 2013 Webcast

• Oct. 30, 2013 Columbus, OH
• Oct. 30, 2013 Birmingham, AL
• Oct. 30, 2013 Philadelphia, PA
• Oct. 30, 2013 Mechanicsburg, PA
• Oct. 30, 2013 Pittsburgh, PA

In the aftermath of the financial crisis and recent scandals, and targeted examination and enforcement scrutiny, financial services firms’ corporate compliance and ethics programs are under intense observation. At this program, attendees will get a solid foundation in the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators ...