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Showing 1 - 25 of 31 Results

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Packaged Retail and Insurance-based Investment Products: Final Preparations

One-Hour Briefing  One-Hour Briefing

July 26, 2017, 12:00 pm - 1:00 pm (E.T.) After one false start, the PRIIPs Regulation will finally become effective at the beginning of 2018 and will herald a new approach for pre-contractual disclosure in the form of a Key Information Document (KID) in relation to retail packaged investment products.  The Regulation will impact upon many different types of products including transferable securities, derivatives, funds, structured products ...

Qualified Small Business Stock Trends in Venture Financings and Mergers and Acquisitions

One-Hour Briefing  One-Hour Briefing

The “qualified small business stock” (QSBS) provisions of the Internal Revenue Code allow taxpayers to exclude a specified percentage of gain recognized on the sale of eligible QSBS held for over five years, which exclusion, for shares issued on or after September 28, 2010, may be 100% (subject to certain limitations).  Please join Myra A. Sutanto Shen of Wilson Sonsini Goodrich & Rosati, P.C. to discuss QSBS trends in venture ...

Trump Administration’s Wage and Hour Priorities – The Fate of the Overtime Regulations, Administrator Interpretations and Opinion Letters, and Enforcement Priorities

One-Hour Briefing  One-Hour Briefing

The Trump Administration is addressing many of the key issues involving compliance with the wage and hour laws, and significant changes are expected.  Please join David S. Fortney of Fortney & Scott, LLC and Rebekah L. Bailey of Nichols Kaster, PLLP as they provide the latest developments, including:  The fate of the overtime exemption regulation that more than doubled the salary level enacted by the Obama Administration and was ...

Basics of the Federal Election Campaign Act 2017

One-Hour Briefing  One-Hour Briefing

In just one hour, this Briefing will provide you with a summary of federal candidate and PAC campaign law, as regulated by the Federal Election Campaign Act and administered by the Federal Election Commission’s Regulations and Disclosure Rules.  Please join Jan Witold Baran of Wiley Rein LLP, Kenneth A. Gross of Skadden, Arps, Slate, Meagher & Flom LLP and Chip Nielsen of Nielsen Merksamer Parrinello Gross & Leoni LLP for a discussion ...

Private Equity Transactions – Recurring Commercial Litigation Issues

One-Hour Briefing  One-Hour Briefing

Issues arise often when representing private equity clients in transaction negotiations.  Deal lawyers, and litigators who advise deal lawyers, should be aware of these issues and recent relevant case law.   Please join Gabrielle Gould and Samuel Rubin of Goodwin Procter LLP as they discuss the following:  Contractual negotiations and the rights and obligations of commercial counter-parties in negotiations; Merger ...

Overseas Joint Ventures: Opportunities, Risks, and Potential Pitfalls

One-Hour Briefing  One-Hour Briefing

U.S. companies frequently enter into joint ventures with non-U.S. partners in order to pursue business overseas.  One recent focus of JV activity is to deliver the defense technology and hardware opportunities highlighted during President Trump’s recent visit to the Kingdom of Saudi Arabia.  Particularly when the U.S. partner is a minority shareholder of the JV, business leaders tend to see such arrangements as opportunities for the ...

Senior Investors: Litigation Trends and Regulatory Update

One-Hour Briefing  One-Hour Briefing

This Briefing will provide a roadmap of common plaintiffs' arguments and defendants' rebuttal arguments in actions filed by or on behalf of elder investors. Elizabeth M. Del Cid and Sharon A. O’Shaughnessy of Murphy & McGonigle will discuss recent rules and notices published by the regulators on senior investors, the standards of proof for financial elder abuse that arise in these cases in major jurisdictions (NY, CA, FL, VA, and NC), and ...

Marketplace Lending and Crowdfunding 2017

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend With the Title III federal public crowdfunding provisions of the JOBS Act finally becoming fully effective in May 2016 and a new administration, what does the future hold for marketplace lending and crowdfunding?  Will it be a boom or bust?  Will Regulation A+ start to pick up speed and grow into the potential many predicted?  Will Marketplace Lending finally have a principal regulator or will it continue to have ...

Corporate Political Activities 2017: Complying with Campaign Finance, Lobbying and Ethics Laws

Program  Program

Please note: this program does not offer legal ethics credit. Federal and state lobbying, campaign finance and ethics rules are changing, making compliance with those laws more challenging than ever. Congressional ethics rules, the Lobbying Disclosure Act (LDA) and pay-to-play laws place additional responsibilities on companies and their executives and directors. To stay current on the latest developments, be sure to attend this acclaimed program ...

Securities Filings 2017: Practical Guidance in a Changing Environment

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend This popular two-day program will analyze in detail the forms used for filings with the SEC under the Securities Act of 1933 (“Securities Act”), and the Securities Exchange Act of 1934 (“Exchange Act”), with particular emphasis on the mechanics of and timing for assembling particular filings. Each segment of the program will incorporate practical tips and/or interactive drafting exercises. Ethics credit ...

Hedge Fund Management 2017

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend  At this program, our expert faculty will focus on common structures for hedge funds, SEC priorities for and the regulatory environment surrounding hedge funds, and the day to day operational issues of running a hedge fund operation. The faculty will also explore strategies for addressing issues for when a hedge fund is in distress, issues relating to expansion into the registered fund business and issues and selling a ...

Hot Issues in Executive Compensation 2017

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend As the economy shifts and the legislature, SEC, and shareholders respond, the design, implementation and disclosure of executive compensation undergoes continual change. At this program, experts in the area – from major corporations, the SEC, the IRS and shareholder activist groups, as well as from leading law and consulting firms – will lead you through the emerging best practices and the current reactions to the ...

Cybersecurity 2017: Managing Cybersecurity Incidents

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Cyber attacks have wreaked havoc on organizations in nearly every industry sector. C-suites and boards of directors alike rank this issue to be of the highest concern — and for good reason. From the technology sector to financial services, cyber criminals have made it clear that no entity is immune. In today’s interconnected world, cybercrime targets go beyond those that maintain personal information; many entities are targeted for other ...

Government Contracts 2017

Program  Program

The Federal government market is increasingly complex and compliance driven. Budget pressure, inappropriate use of fixed-price contracts, increasing compliance and transparency requirements, the initiation of a “super” oversight board, intensified focus on contract and business systems auditing, increased emphasis on suspension and debarment, and growing use of the False Claims Act to enforce contract terms all make participation in this ...

Building and Sustaining Client Relationships in the Digital Age

One-Hour Briefing  One-Hour Briefing

Many recent law school graduates have never lived in an era without instantaneous communications such as email or text messaging.  Yet, these methods of communication are performed at a distance without face-to-face or even verbal contact.  Lawyers have fewer and fewer live, personal contacts with their clients, to such an extent that many rarely use the phone anymore!  The immediate contact provided by emails and texts can expedite ...

Hot Topics in Mergers & Acquisitions 2017

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend In 2016, M&A activity, whether measured by deal volume or the aggregate value of deals, sustained the robust pace set in 2015.  In the U.S., 2016 also saw a near-record number of broken deals, some blocked by a more active regulatory regime.  The impact of the U.S. election results and the UK Brexit is still unfolding. In this quickly evolving and uncertain environment, it is critical for dealmakers and their ...

Securities Arbitration 2017

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend This year’s Securities Arbitration program will feature FINRA Dispute Resolution leadership and arbitrators, as well as noted academics and experienced attorneys who represent both customers and industry.  Our faculty will provide practical tips for preparing for expungement proceedings. They will explore the ethical issues involved in litigating against pro se parties and handling financial fraud cases involving ...

Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2017

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend In recent years, the government has sharply focused on compliance professionals and in-house counsel, the gatekeepers who are tasked with identifying corporate misconduct. If you are a gatekeeper or represent them, it is time to hear from experienced in-house and outside counsel, chief compliance officers and government officials as they discuss a variety of topics stemming from the government’s scrutiny of the function, ...

Understanding the Securities Laws 2017

Program  Program

Why You Should Attend Whether you are new to the field or seeking a quick refresher or an update, this is the securities law primer that you won’t want to miss. This program will provide an overview and discussion of the basic aspects of the U.S. federal securities laws by leading in-house and law firm practitioners as well as SEC staff. Emphasis will be placed on the interplay among the Securities Act of 1933, the Securities Exchange Act of ...

Outsourcing 2017: ITO, BPO and Cloud

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Information technology and business process outsourcing has quickly gone from being a new and novel approach to commonplace practice.  Managing a global business today virtually necessitates contracting with outside technology partners to manage various aspects of non-essential and even some core business functions.  As ITO, BPO and cloud solutions reach broad adoption across industries new entrants to the market continue ...

White Collar Crime 2017: Prosecutors and Regulators Speak

Program  ProgramWebcast  Webcast

Why You Should Attend In recent years, the Department of Justice, the SEC, the CFTC, and other U.S. and foreign agencies have pressed forward with a white collar enforcement program of unprecedented scope and severity. The recent changes in the U.S. administration have created additional uncertainty about what to expect in this arena.  With a spotlight on the financial services sector, the authorities have advanced novel theories and have exacting ...

Bridge-the-Gap: Professional Practice for Newly Admitted Attorneys 2017

Program  ProgramWebcast  Webcast

Why You Should Attend  Fulfill your annual New York MCLE requirement for professional practice credit by attending this one-day program covering a variety of substantive law topics. Learn from our faculty of experts, who will guide you through the fundamentals of advertising in social media, cloud computing, compliance, cybersecurity, and smart contracts. This is your opportunity to satisfy your curiosity about an area of law that may be outside ...

Broker/Dealer Regulation and Enforcement 2017

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Stay Ever Current: Subscribe today to , PLI’s new blog edited by Clifford E. Kirsch. Why You Should Attend This program will focus on the many significant developments in the regulation and oversight of broker-dealers. With a new administration, what regulatory changes can broker-dealers and the industry expect to see? Will there continue to be significant regulatory focus on cybersecurity, alternative trading systems and high-frequency ...

Pocket MBA 2017: Finance for Lawyers and Other Professionals

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend This program will enhance your understanding of business strategies, accounting fundamentals and vocabulary used by management, investors, auditors and bankers.  Practical advice and application of information to actual situations and financial reports will provide participants with opportunities to immediately implement growth and broaden capabilities. The faculty for this program is unusually diverse, including top partners ...

Fundamentals of Swaps & Other Derivatives 2017

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Over-the-counter (OTC) derivatives are key elements in many of our financial markets.  The Dodd-Frank Act and other regulations have changed and are continuing to change how these important instruments are regulated and transacted.  This program will introduce you to both the instruments and their current environment. A derivative is a financial instrument that allocates the risks and price exposures associated with ...


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