General

IA

6.50

From the program: Banking Law Institute 2012

Released on: Dec. 19, 2012

The banking industry is in the midst of a fundamental transformation of the regulatory framework in which it operates, as well as a shifting of regulatory and enforcement priorities and approaches. These changes, taking place in an environment of continuing global economic challenges, require bankers and counsel who practice in the financial services industry to reexamine basic assumptions about business operations and future trends. With changing ...

From the program: Basics of Mutual Funds and Other Registered Investment Companies 2013

Released on: May. 8, 2013

This program is designed to provide you 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. You will learn the fundamentals of the extensive regulatory framework that dictates the structure and operations of retail investment funds ...

From the program: Directors' Institute on Corporate Governance (Tenth Annual)

Released on: Sep. 26, 2012

In the past year, new expectations were placed on boards in critical areas of governance, including corporate social responsibility, board governance, audit committee oversight of financial reporting and independent auditors, shareholder activism, and executive compensation. In addition, the Dodd-Frank Act will continue to put new requirements on companies and boards, and boards need to remain mindful of the implications of said requirements, as well ...

• Sep. 17, 2013 São Paulo, BRA

PLI has offered continuing legal education seminars in the United States since 1933, primarily in New York City, San Francisco, Chicago and Washington, D.C. In 2001, PLI added the Institute on Securities Regulation in Europe, held in London, UK, and just this year we moved into Asia holding the First Annual Institute on Corporate & Securities Law in Hong Kong.We are now very pleased to announce our expansion into Latin American with Practising ...

• Jul. 17, 2013 New York, NY

In the aftermath of the financial crisis and the resulting regulatory reform, the SEC has advanced significant rulemaking to impose a greater degree of controls on investment advisers’ operations. In fact, the SEC has put the regulation of investment advisers under the microscope, establishing new rules related to adviser custody, political contributions and adviser disclosure and has retooled its adviser exam program.At this program, attendees will ...

From the program: International Estate & Tax Planning 2013

Released on: May. 7, 2013

Individuals with connections to more than one country - international private clients - need sophisticated succession and tax planning advisors to help them navigate a complex and sometimes treacherous legal, tax and regulatory environment. These clients include U.S. persons with assets or beneficiaries outside the United States, as well as non-U.S. persons with U.S. connections. Their advisors must view a client’s specific circumstances ...

From the program: Pretrial Practice 2012

Released on: Jun. 4, 2012

Pretrial practice in federal civil litigation has undergone tremendous change. As fewer civil cases are tried, the staples of pretrial practice - pleadings, motions to dismiss, discovery, Daubert motions, summary judgment, and settlement - have replaced trials as the focus of litigation. What does the changing nature of pretrial practice in litigation mean for your practice? Our faculty of experienced plaintiffs’ and defense attorneys ...

From the program: Private Placements and Other Financing Alternatives 2013

Released on: Apr. 29, 2013

Our expert faculty of leading practitioners and regulators will analyze current developments in private placements and hybrid financing transactions, including changes brought about by the adoption of the JOBS Act. We will discuss the basics of private placements and other exempt offerings. We will discuss recent changes to Regulation D effected by the Dodd-Frank Act and by the JOBS Act. We will address how changes brought about by the JOBS Act and ...

From the program: Securities Offerings 2013: A Public Offering: How It Is Done

Released on: Mar. 29, 2013

This course tracks a public offering from the initial kickoff meeting to the closing dinner.  The session has a practical focus on translating the law of securities offerings into the actual mechanics of starting and completing a public offering.  The “how to do it” approach includes the preparation of registration statements, the SEC review and comment process, stock exchange listing and pricing mechanics.  The course will ...