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Navigating the U.S. Criminal Law Maze in the Corporate Deal (Audio-only)

One-Hour Briefing  One-Hour Briefing

There has been a surge in global M&A and financing activity, with no end in sight. At the same time, U.S. and foreign prosecutors continue aggressively to investigate corporations for an array of potential crimes rooted in national security concerns, ranging from domestic and foreign bribery to sanctions, export controls and money laundering violations. Today, more than ever, it is critical for transactional lawyers to understand the enforcement ...

Broker/Dealer Regulation and Enforcement 2014

Seminar  Seminar

This program will focus on the many significant developments in the regulation and oversight of broker-dealers. New rules are continuously promulgated under the Dodd-Frank Act and have substantial implications for broker-dealers and the industry. At the same time, there is heightened enforcement of the federal securities laws. The SEC Division of Enforcement has established a new task force focused specifically on broker-dealers. ...

SEC's Conflict Minerals Rules: What We Learned from 2013 and What Happens Next (Audio-only)

One-Hour Briefing  One-Hour Briefing

Over 1,300 companies filed Securities and Exchange Commission (SEC) Form SDs and, in most cases, Conflict Mineral Reports (CMR) for 2013. The SEC's Conflict Minerals Rule left unanswered many of the filing details and challenges that issuers dealt with up until the end. In addition, late-breaking developments in the ongoing legal challenge to the Rule and formal and informal SEC guidance further complicated what companies understood they needed to ...

Securities Filings 2014: Practical Guidance in a Changing Environment

Seminar  Seminar

This popular program will analyze in detail the principal 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 and recent legislation ...

Outsourcing 2014: Sourcing Critical Services

Seminar  SeminarGroupcast  Groupcast

Co-Sponsored by Massachusetts CLE Attendees in Boston will be seeing the live broadcast from New York City at the conveniently located offices of Massachusetts CLE, 10 Winter Place, Boston, Massachusetts. Remote Location participants will receive all course materials.PLI’s Outsourcing 2014 is a “must” for every lawyer with business clients engaged in outsourcing transactions!Outsourcing brings new opportunities and new risks ...

Financial Services Industry Regulatory Compliance & Ethics Forum 2014

Seminar  SeminarGroupcast  Groupcast

Co-Sponsored by Pennsylvania Bar InstituteAttendees in Pennsylvania will be viewing the live broadcast at the Pennsylvania Bar Institute's CLE Conference Center, Wanamaker Building, 10th floor, Philadelphia (Juniper St. entrance, between 13th & Broad Sts., opposite City Hall). You will have the opportunity to submit questions and will receive the printed Course Handbook.In the aftermath of the financial crisis and recent scandals, ...

Antitrust Counseling & Compliance 2014

Seminar  SeminarGroupcast  Groupcast

Co-Sponsored by Pennsylvania Bar InstituteAttendees in Pennsylvania will be viewing the live broadcast at the Pennsylvania Bar Institute's CLE Conference Center, Wanamaker Building, 10th floor, Philadelphia (Juniper St. entrance, between 13th & Broad Sts., opposite City Hall). You will have the opportunity to submit questions and will receive the printed Course Handbook.Lawyers counseling businesses need to have a solid foundation ...

Pocket MBA Fall 2014: Finance for Lawyers and Other Professionals

Seminar  Seminar

The ability to identify and appropriately use financial and accounting information is relevant to a wide range of legal and regulatory matters for attorneys and other professionals. Litigators and transactional attorneys will benefit from this practical course designed specifically for non-accountants and taught by members of the nation’s top accounting, tax and advisory firms, leading law firms, in-house counsel and universities.What ...

Law and Regulation of "Intermediary" Businesses 2014: Consumer-Facing Technology Providers, Online Platforms, and Online Media

Seminar  Seminar

The Internet has spawned many new business models that arise from empowering consumers and satisfying their desires, providing technologies or services that bring individuals and businesses together in new marketplaces, shaking up old industries and networks, and creating new business opportunities and challenges. New technologies and online platforms and marketplaces have changed not only the world of publishing and entertainment ...

Securities Regulation Institute (46th Annual)

Seminar  Seminar

We are pleased to co-chair the 46th edition of PLI’s Annual Institute on Securities Regulation, the most highly anticipated annual review of the current state of securities regulation and corporate law and practice.This year’s agenda reflects significant developments in the securities laws, as well as changes in the business and legal environment, including: Continued implementation of the Dodd-Frank and JOBS Acts The latest ...

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:  ...

Surviving the SOX 404 Audit of Internal Control over Financial Reporting for 2014 -- Tips for Issuers

One-Hour Briefing  One-Hour Briefing

In the years since the Sarbanes/Oxley Act created the requirement for the annual evaluation of Internal Control Over Financial Reporting issuers have dealt with challenges and uncertainty about how to effectively meet this requirement.  From the first days of the PCAOB's Audit Standard 2, which many would argue drove issuers and auditors to do more work than necessary, to the changes introduced by Audit Standard 5 and the interpretive guidance ...

Bolstering Your Company’s Fraud Defenses 2014: Proactive Prevention and Responses

Seminar  Seminar

Companies face greatly increased risks of being a victim of fraud in today's challenging business climate; no company is too big or too small to fall victim. In light of the high costs of fraud, both in actual revenues lost, potential legal exposure and opportunity costs, it is imperative that companies develop and implement proactive strategies to prevent and detect business fraud. Strong fraud prevention and response processes ...

Advanced Compliance and Ethics Workshop 2014

Seminar  Seminar

Please note that "ethics" in the program title refers to the “Compliance and Ethics Program” used in the Federal Sentencing Guidelines for Organizations. It does not specifically refer to legal ethics. Please check the credit calculator to the right for credit information for your jurisdiction.Corporate compliance and ethics programs are increasingly important to organizations. Indeed, never in the history of criminal or corporate ...

Hedge and Private Fund Enforcement & Regulatory Developments 2014

Seminar  SeminarGroupcast  Groupcast

Over the past few years and once again in FY2013, cases against investment advisers have come to represent the single largest component of the SEC’s enforcement docket. At the same time, the SEC’s exam program, working closely with Enforcement, continues to hone its focus on private equity and hedge funds, announcing a series of initiatives targeting new registrants under Dodd-Frank as well as established firms who have not been ...

Directors' Institute on Corporate Governance (Twelfth Annual)

Seminar  Seminar

Learn how to manage today’s heightened scrutiny and expectations of corporate boardsThe past year has seen a host of new expectations imposed on corporate boards in critical areas of governance, including: Risk management and compliance Disclosure Audit committee oversight of financial reporting Shareholder relations Additionally, the Dodd-Frank Act created new requirements for companies and boards, and boards must now ...

Annual Disclosure Documents 2014

Seminar  SeminarGroupcast  Groupcast

Stay current on disclosure requirements and developments affecting annual disclosure documents and proxy soliciting materials prepared by SEC reporting companies. 2014 has been another interesting year with significant events and uncertainties covering a wide spectrum of matters affecting public company disclosures, including the Dodd-Frank Act mandated rulemaking by the SEC; domestic and international economic, political and ...

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's CLE Conference Center, Wanamaker Building, 10th floor, Philadelphia (Juniper St. entrance, between 13th & Broad Sts., opposite City Hall). You will have the opportunity to submit questions and will receive the printed Course Handbook.As the securitization world continues to emerge from ...

Understanding the Securities Laws Fall 2014

Groupcast  Groupcast

Whether you are new to the field or seeking a quick refresher or an update, this is a securities law primer that you won’t want to miss. This program provides an overview and discussion of the basic aspects of the U.S. federal securities laws by leading in-house and law firm practitioners and key SEC representatives. Emphasis will be placed on the interplay among the Securities Act of 1933 and the Securities Exchange Act of 1934 ...

Coping With U.S. Export Controls and Sanctions 2014

Seminar  Seminar

Export controls and sanctions continue to change rapidly. It is more important than ever for institutions in all sectors of the economy to stay on top of developments in the United States and other countries. Companies and financial institutions must be aware of their compliance and disclosure obligations, enforcement trends and priorities, and emerging risks. Implementing and strengthening compliance programs is an increasingly ...

Immigration and Naturalization Institute (47th Annual)

Seminar  Seminar

At this year’s Institute, an outstanding faculty of leading practitioners will discuss recent developments, key immigration trends and hot topics. The conference planners are closely monitoring the 2014 immigration reform debate, and speakers will discuss the potential impact of proposed or enacted provisions on an issue-by-issue basis.What you will learn The latest updates about immigration reform legislation and the effects ...

Understanding Financial Products

Seminar  SeminarGroupcast  Groupcast

The explosion of new financial products over the past decade, the implosion of the credit markets and the resulting significant new regulatory requirements underline the importance of a basic understanding of financial products. While these instruments have been, in the view of many, invaluable investment tools, and have presented enormous potential for product manufacturers and investors, they also create potentially significant ...

Drafting and Implementing International Employee Handbooks, Global Codes of Conduct and Cross-Border HR Policies (Audio-only)

One-Hour Briefing  One-Hour Briefing

Everyone says “HR has gone global,” but the acid test of global HR is whether a multinational employer effectively aligns its HR policies globally. And many multinationals flunk this test. Is a multinational really globally-integrated if it has a zero-tolerance discrimination policy in the states?but it imposes mandatory retirement abroad? Is a multinational globally-integrated if its U.S. headquarters claims FCPA compliance on securities ...

Hedge Fund Compliance & Regulatory Challenges 2015

Seminar  SeminarGroupcast  Groupcast

As our first educational conference of 2015 focused on hedge funds, this afternoon program will deliver insights from three distinguished panels of experts who will discuss the regulatory and compliance challenges expected to face hedge fund managers in 2015.A stellar faculty composed of hedge fund general counsels and chief compliance officers, representatives from the SEC and NFA, and law firms will share their insights on building ...

Drafting and Negotiating Corporate Agreements 2015

Seminar  Seminar

Why You Should Attend At this perennial favorite, our expert faculty will teach you the basics of drafting and negotiating corporate agreements -- from how the provisions of an agreement fit together, to the fundamental drafting and negotiating principles common to all corporate agreements. You will learn how to reduce your client’s goals to a complete, clearly written and enforceable agreement, and how to identify what issues are most likely ...

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