Ethics

Past 12 Months

Corporate & Securities

Compliance

Recorded on: May. 9, 2012

Taken from the Web Program The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2012 Recorded May, 2012 in New York Hypothetical: Ethical Issues in Internal Investigations [01:03:32] Considerations at the outset Attorney client privilege/ waiver Who is the client, who owns the privilege? Dealing with other countries' governments, etc. Privacy and data security The purchase price of this ...

From the program: Securities Offerings 2012: A Public Offering: How It Is Done

Released on: May. 9, 2012

Audio CD's from the program Securities Offerings 2012: A Public Offering: How It Is Done, held April, 2012.

From the program: Enforcement 2012: Multi-Agency Enforcement Efforts

Released on: May. 30, 2012

DVD's from the program Enforcement 2012: Multi-Agency Enforcement Efforts, held April, 2012.

From the program: Corporate Compliance and Ethics Institute 2012

Released on: Jun. 15, 2012

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. No matter how large or small your company (or client), paying careful attention to corporate compliance and ethics is no longer optional.  ...

From the program: Antitrust Institute 2012: Developments & Hot Topics

Released on: Jun. 5, 2012

Audio CD's from the program Antitrust Institute 2012: Developments & Hot Topics, held May, 2012.

From the program: Pocket MBA Summer 2012

Released on: Jun. 19, 2012

An understanding of key financial, accounting and economic concepts, principles and terminology will contribute to your ability to interact with and advise your clients with their critical issues.  The ability to identify and appropriately use financial and accounting information is relevant to a wide range of legal and regulatory matters for both external and in-house attorneys.  Litigators and transactional attorneys alike will benefit ...

From the program: Cloud Computing 2012: Cut Through the Fluff & Tackle the Critical Stuff

Released on: Jun. 25, 2012

Corporations, government organizations and millions of consumers are shifting massive quantities of data and their software applications to cloud computing facilities.  Cloud computing uses the Internet to give every size organization access to large, dynamically scalable resources (data storage, software applications and computing power).  “The Cloud” allows users, at all levels, to avoid large capital outlays for hardware and ...

From the program: Internal Investigations 2012: How to Protect Your Clients or Companies in the Global, Post-Dodd Frank World

Released on: Jul. 10, 2012

In today's uncertain economic, legal and regulatory environment, companies, their executives, and their counsel need to be proactive in identifying risks and remedying potential issues. Knowing how to conduct efficient and effective internal investigations is key to protecting your clients or company.  Using a real-world hypothetical fact pattern throughout the day, expert panels review the many considerations and issues that can and do arise ...

From the program: Audit Committee Workshop 2012

Released on: Jul. 6, 2012

As we continue to see many new regulations from the SEC, PCAOB, CFTC and financial institution regulators, numerous challenges emerge for the audit committee.  If you are a director or member of an audit committee, or if you advise audit committees, this program will help you understand what is required of the audit committee in this new and rapidly changing environment.  An expert faculty of public company directors who have served on audit ...

Recorded on: Jul. 24, 2012

Taken from the Web Program Fundamentals of Investment Adviser Regulation Recorded July, 2012 in New York Compliance and Exams; Ethics for Adviser Lawyers [01:01:21] Self-reporting Whistleblowers rules CLO/CCO liability The purchase price of this segment includes the following article(s) from the Course Handbook available online: Fundamentals of Investment Adviser Regulation 2012: Compliance and Exams: Ethics for Adviser ...

From the program: Private Equity Forum (Thirteenth Annual)

Released on: Jul. 24, 2012

The current economic crisis and the state of financial markets continues to have a negative impact on private equity, leading to lower levels of fund-raising and deal-making activities. There has also been increasing regulatory and legislative focus on private equity funds and their roles in the financial markets leading to the downturn, as well as their potential roles going forward. In this environment, private equity faces a number of significant ...

From the program: Hedge Funds 2012: Strategies and Structures for an Evolving Marketplace

Released on: Sep. 19, 2012

In 2012, hedge funds and their managers face their first year of operations under new regulations enacted under Dodd-Frank.  The Dodd-Frank Act has triggered a massive change in the regulatory framework for the entire financial industry that significantly alters the registration and reporting requirements for hedge fund managers and many of their trading activities.  The hedge fund industry continues to grow, with a reported $2 trillion ...

From the program: Drafting Securities Filings 2012

Released on: Oct. 12, 2012

This workshop will analyze in detail the principal forms and certain drafting issues and techniques used in 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. Recent legislation, including the controversial Jumpstart Our Business Startups (“JOBS”) ...

From the program: Pocket MBA Fall 2012

Released on: Oct. 26, 2012

An understanding of key accounting, financial and economic concepts, principles and terminology will contribute to your ability to interact with and advise your clients with their critical issues. The ability to identify and appropriately use financial and accounting information is relevant to a wide range of legal and regulatory matters for both external and in-house attorneys. Litigators and transactional attorneys alike will benefit from this practical ...

From the program: Securities Regulation Institute 2012 (44th Annual)

Recorded on: Nov. 13, 2012

Taken from the Web Program Securities Regulation Institute 2012 (44th Annual) recorded November, 2012 in New York. Lecture Topics  [01:32:54] Dealing with Challenging Corporate Problems - Hypothetical Scenarios  [01:32:54] Our CEO has been accused of wrongdoing Do we have to disclose the details about that loss contingency? We may have an FCPA problem Our data protection systems are vulnerable We may have ...

From the program: Advanced Compliance and Ethics Workshop 2012

Released on: Dec. 13, 2012

Never in the history of criminal or corporate law has the existence of an effective compliance and ethics program been more valuable to an organization. The enormity of recent criminal fines, the aggressive enforcement of criminal laws against organizations, the extent to which criminal authorities around the world are working together, the risks of civil liability, and the startling speed of communication and the attendant transparency of corporate ...

From the program: Understanding the Securities Laws 2012

Released on: Dec. 27, 2012

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 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 and key SEC representatives. Emphasis will be placed on the interplay among the Securities Act of 1933 and the Securities Exchange Act of 1934 and related ...

From the program: Understanding Financial Products 2013

Released on: Jan. 22, 2013

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 legal risks and challenges ...

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 ...

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: Apr. 29, 2013

Taken from the Web Program Enforcement 2013: Perspectives from Government Agencies Recorded April, 2013 in New YorkEthics [01:01:35] Clawback litigation Any impact of judicial skepticism regarding regulation of enforcement? Hot button issues for district courts: settlement review, not admit or deny  The purchase price of this segment includes the following article(s) from the Course Handbook available online: Zealous Advocacy and ...