Professional Practice

Past 3 Months

Corporate & Securities

Compliance

Recorded on: Feb. 1, 2013

Taken from the briefing Regulation FD and Social Media in the Wake of the Netflix Investigation: Facebook, Blogging and Beyond recorded February, 2013. The continued surge in the number of people using social media and the many different types of information outlets available for use have put significant pressure on companies' ability to comply with SEC Regulation Fair Disclosure's requirements and restrictions.  Recent news that ...

From the program: Hedge Fund Compliance & Regulation 2013

Released on: Feb. 12, 2013

Nearly one-third of the investment advisers that registered with the Securities and Exchange Commission as a result of the Dodd-Frank Act manage private funds.  As a result, the SEC’s examination staff has developed new strategies and processes to address the risks presented by hedge funds and other private funds.  In this program, three distinguished panels of experts will discuss the regulatory and compliance challenges facing ...

Recorded on: Feb. 4, 2013

Taken from the briefing Affordable Care Act: Compliance Program Considerations for Health Care Providersrecorded February, 2013. Compliance efforts are heating up under the Affordable Care Act (ACA).  Enforcement activities at both the state and federal level are on the rise making compliance programs and plans for the health care industry a must.  Under the ACA, mandatory plans will be required for certain providers by March 23, ...

Released on: Feb. 14, 2013

Taken from the briefing Key Elements of Effective Remediation: An Insider's View 2013 recorded January, 2013. The SEC and DOJ place a “high premium” on effective remediation in deciding whether to prosecute or demand a monitor.  Remediation done poorly, or worse, not at all exposes the organization to enhanced penalties, difficult audit processes and recurring financial loss.  And it is not just the organization that suffers.  ...

From the program: Corporate Governance - A Master Class 2013

Released on: Feb. 27, 2013

Recent developments, including increasingly intense shareholder activism, seemingly shorter investment time horizons, and regulatory developments under the Dodd-Frank Act, have accelerated changes in corporate governance. Many of the changes are fundamental and will have a profound impact on public companies, their directors and management, and the securities markets. Our stellar faculty will discuss what has already occurred as well as what ...

From the program: Social Media 2013: Addressing Corporate Risks

Released on: Feb. 20, 2013

Did you know that Facebook now has one billion active users? (By contrast, the entire population of the United States is 310 million people.) Or that Facebook accounts for over ten percent of all U.S. web traffic? And that over 250 million photographs are posted to Facebook each day? Or that Twitter users are expected to send over 91 billion tweets during 2012? And that over four billion videos are viewed per day on YouTube? Facebook, Twitter, ...

Recorded on: Feb. 22, 2013

Taken from the briefing Health Care Reform: An Employer's Essential Guide recorded February, 2013. Guidance on health care reform is coming in fast and from all angles.  The departments of Health and Human Services, Treasury and Labor have recently been releasing proposed rules in droves, with much more to come on the horizon.  Employers must already contend with several of the new rules, and other looming requirements will ...

From the program: The SEC Speaks in 2013

Released on: Mar. 9, 2013

Over the past year, the Commission has been engaged in a broad range of rulemaking projects and other initiatives to implement the newly-enacted Jumpstart Our Business Startups Act and the Dodd-Frank Wall Street Reform and Consumer Protection Act.  The Commission has been working to implement the provisions of the JOBS Act, including with regard to the use of general solicitation and general advertising in certain private offerings, new exemptions ...

Recorded on: Feb. 26, 2013

Taken from the briefing Doing Business in Russia recorded February, 2013. As one of the world’s most important and growing economies, Russia continues to be a significant destination for global investment. Russia is a country rich in natural resources that has a highly-skilled and well-educated work force. Over the past decade, the Russian economy has demonstrated growth at rates exceeding most developed countries, doubling disposable ...

From the program: Broker-Dealer and Adviser Regulatory Compliance Forum 2013

Released on: Mar. 6, 2013

Brokerage and advisory firms' compliance programs are under intense regulatory scrutiny. In this program, you 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 regulatory initiatives and recent examination ...

Recorded on: Mar. 6, 2013

Taken from the briefing "Tightening the Chokehold" - An Overview of Enhanced OFAC Sanctions and Enforcement recorded March, 2013. The United States has ratcheted up its pressure on bad-actor states- Iran, in particular - through a series of enactments that strengthen sanctions administered by the Office of Foreign Assets Control (“OFAC”). In the words of one Congresswoman, this legislation “seeks to tighten the chokehold ...

Recorded on: Mar. 12, 2013

Taken from the briefing Navigating the Requirements for Derivatives Trading: Title VII of Dodd-Frank recorded March, 2013.Now that the rulemaking relating to Title VII of the Dodd-Frank Act has been nearly finalized, market participants are preparing themselves to function in a very different derivatives market.  Title VII imposes a comprehensive regulatory framework for derivatives, and requires both end-users and dealers to adopt ...

From the program: Investment Management Institute 2013

Recorded on: Mar. 15, 2013

Taken from the Web Program Investment Management Institute 2013 recorded March, 2013 in New York. Lecture Topics  [01:03:17] Compliance and Inspections  [01:03:17] Addressing key adviser and fund compliance issues Preparing for SEC exams Dealing with whistleblower claims The purchase price of this segment includes the following article from the Course Handbook available online: Examinations by the ...

Recorded on: Mar. 19, 2013

Taken from the briefing Defending Corporations and Executives in Congressional Investigations 2013 recorded March, 2013.Congressional investigations, in which corporate executives are called to account by Congress in televised hearings, have long been a fixture of American politics. And they often exact a steep price for individual corporate executives and the companies they represent. Yet few corporations are as prepared to handle congressional ...

Released on: Mar. 28, 2013

Taken from the briefing SEC Focus on Asset Valuation: What Fund Managers Should Know recorded March, 2013. For the past year, top officials of the Securities and Exchange Commission (“SEC”) have repeatedly identified the valuation of illiquid assets held by registered funds and private equity and hedge funds as one of the regulatory agency’s top five areas of enforcement and examination focus. In a December action, the SEC charged ...

Recorded on: Apr. 5, 2013

Taken from the briefing High-Stakes Corporate Compliance: Reducing Risk and Managing Potential Sanctionsrecorded April, 2013.The past few years have seen significant increases in compliance-related investigations, suspensions and debarments, and other actions by government agencies, regulators, and law enforcement. Many government enforcement actions focus on perceived weaknesses in corporate ethical culture, and require the appointment of independent ...

From the program: First Annual Institute on Corporate & Securities Law in Hong Kong 2013

Recorded on: Apr. 22, 2013

Taken from the Web Program First Annual Institute on Corporate & Securities Law in Hong Kong 2013 recorded April, 2013 in Hong Kong.Lecture Topics  [01:00:30]Regulatory Overview and Update  [01:00:30] U.S. capital markets overview Cross-border activity Reverse mergers and SEC response Hong Kong capital markets and corporate governance issues Initiatives to attract overseas companies Hong Kong liability regime compared to ...

From the program: Enforcement 2013: Perspectives from Government Agencies

Recorded on: Apr. 29, 2013

Taken from the Web Program Enforcement 2013: Perspectives from Government Agencies recorded April, 2013 in New York.Lecture Topics  [01:15:01]Foreign Facing Conduct: Enforcement and Sanctions Update  [01:15:01] FCPA update - what are the limits? Impact of foreign data privacy laws on U.S. investigations Global insider trading enforcement Anti-corruption enforcement beyond the FCPA Anti-money laundering issues and trends involving ...

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 ...