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Financial Services Industry Regulatory Compliance & Ethics Forum 2014

Seminar  SeminarGroupcast  Groupcast

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 ...

Simplifying the World of Complex Financings (Audio-only)

One-Hour Briefing  One-Hour Briefing

Expert faculty will focus on equity-linked instruments that may be offered in securities financing and other strategic transactions, including warrants and convertible securities. They will discuss the principal negotiating issues in connection with such instruments and the associated accounting and financial reporting consequences. Anna T. Pinedo of Morrison & Foerster LLP and Jarrod M. Rhen of WithumSmith+Brown, PC will address the following:  ...

U.S. Companies Trading on the London Stock Exchange and the Impact of EU Regulations Requiring Mandatory Electronic Settlement

One-Hour Briefing  One-Hour Briefing

Under Article 3(2) of the European Union Regulation on Central Securities Depositories (“CSDR”) published on 28 August 2014, where transactions in transferable securities take place on a trading venue, the relevant securities should be recorded in book entry form in a Central Securities Depository (“CSD”) on or before the intended settlement date (unless already so recorded). The requirement applies irrespective of whether ...

New Developments in Securitization 2014

Seminar  SeminarGroupcast  Groupcast

Co-Sponsored by Pennsylvania Bar InstituteAttendees in Pennsylvania will be viewing the live broadcast at the Pennsylvania Bar Institute, 5080 Ritter Rd., Mechanicsburg, PA 17055. You will have the opportunity to submit questions and will receive the printed Course Handbook.As the securitization world continues to emerge from the financial crisis, it faces a continuing flow of new regulation and, in some cases, uncertainty. Some ...

Banking Law Institute 2014

Seminar  SeminarGroupcast  Groupcast

The banking industry is in the midst of a fundamental regulatory transformation. Many of the most significant Dodd-Frank rulemakings have been completed, and the focus of regulators and industry participants alike has shifted to the challenges of applying and adapting to these complex and far-reaching regulations. In addition, bankers are beginning to think again about mergers and acquisitions as a strategic tool, but the regulatory ...

Featured Faculty/Authors
Mark D. Roellig

Mark D. Roellig ~ Executive Vice President and General Counsel, MassMutual Financial Group

Jodie Berger

Jodie Berger ~ Regional Counsel, Legal Services of Northern California

David G. Wilkins

David G. Wilkins ~ Chief Compliance Officer, SNC-Lavalin Group