Ethics

Corporate & Securities

Enforcement

From the program: Corporate Governance - A Master Class 2012

Released on: Mar. 14, 2012

Audio CD's from the program Corporate Governance - A Master Class 2012, held February, 2012.

From the program: The SEC Speaks in 2012

Released on: Mar. 24, 2012

Audio CD's from the program The SEC Speaks in 2012, held February, 2012.

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: 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: JOBS Act 2012: What You Need to Know Now

Recorded on: Jun. 1, 2012

Taken from the Web Program JOBS Act 2012: What You Need to Know Now recorded May, 2012 in New York. Lecture Topics  [00:59:22] Litigation and Ethical Traps in the JOBS Act  [00:59:22] SEC enforcement and private litigation concern Ethical considerations for practitioners The purchase price of this segment includes the following article from the Course Handbook available online: Presentation Material JOBS Act ...

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: Fundamentals of Investment Adviser Regulation 2012

Released on: Aug. 1, 2012

In the aftermath of the financial crisis and the resulting regulatory reform, the SEC has advanced significant rulemaking to impose a greater degree of controls on investment advisers’ operations.  In fact, the SEC has put the regulation of investment advisers under the microscope.  At the same time, Congress is considering financial regulatory reform that could impose a new self-regulatory organization in charge of adviser regulation.  In ...

From the program: Prison Law 2012

Released on: Aug. 17, 2012

Whether representing prisoners while in private practice, public interest practice or as a policy advocate, the issues and the environment in which advocates operate is increasingly challenging and complex.  This year, PLI’s third annual program on Prison Law will address the legal framework for civil litigation filed on behalf of prisoners in federal and state courts, from a national perspective. Lecture Topics  [Total time 06:27:32] Segments ...

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  [01:32:59] Enforcement Roundtable  [01:32:59] Financial crisis cases - the SEC/DOJ keep charging ahead Hedge funds and private equity - the SEC/DOJ are looking - what are they finding? Insider trading - something old or something new? The crowded enforcement landscape - the SEC/DOJ ...

From the program: Immigration & Naturalization Institute 2012 (45th Annual)

Recorded on: Nov. 26, 2012

Taken from the Web Program Immigration & Naturalization Institute (45th Annual) recorded November, 2012 in New York. Lecture Topics  [01:20:23] Ethics in Immigration Practice: Where Zealous Representation Starts and Ends  [01:20:23] Knowing when to withdraw Privacy, confidentiality and privilege Tips to avoid malpractice The purchase price of this segment includes the following article from the Course Handbook ...

From the program: Understanding the Securities Laws 2012

Recorded on: Dec. 17, 2012

Taken from the Web Program Understanding the Securities Laws 2012 recorded December, 2012 in New York. Lecture Topics  [00:59:25] Ethics and Professionalism in Securities Law  [00:59:25] Lawyers as targets - special issues facing securities lawyers SEC investigations Foreign Corrupt Practices Act (“FCPA”) Attorney reporting responsibility Practical guidance for addressing difficult ethical ...

From the program: Institute on Securities Regulation in Europe (Twelfth Annual): Overcoming Deal-Making Challenges in the Current Markets

Released on: Feb. 15, 2013

We are proud to present Practising Law Institute’s Twelfth Annual Institute on Securities Regulation in Europe: Overcoming Deal-Making Challenges in the Current Markets, the most comprehensive securities programme available in Europe. Once again, the Institute will feature leading practitioners active in U.S. and European corporate law, as well as government regulators, investment bankers and in-house counsel. This year’s programme ...

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 ...

From the program: Investment Management Institute 2013

Released on: Mar. 22, 2013

You’ll hear expert panelists discuss: significant business and legal developments in the investment management area over the past year and important regulatory initiatives such as: The SEC’s regulatory agenda Potential new regulations affecting money-market funds Potential SEC staff guidance regarding derivatives used by registered funds Potential new regulatory initiatives relating to target date funds and exchange-traded ...

From the program: Enforcement 2013: Perspectives from Government Agencies

Released on: May. 10, 2013

We continue to see unprecedented changes in our economic, business and regulatory regimes in general, and in enforcement efforts in particular. This unique program brings together panels of senior staff from the various enforcement and regulatory agencies, including the U.S. Commodity Futures Trading Commission, FINRA, U.S. Securities and Exchange Commission, U.S. Attorney’s Office, U.S. Department of the Treasury, U.S. Department of Justice, Federal ...

From the program: The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2013

Released on: May. 17, 2013

Enforcement under the Foreign Corrupt Practices Act (“FCPA”) continues as a critical priority for both the DOJ and the SEC. Recent FCPA enforcement actions and disclosures demonstrate that no industry is immune from FCPA scrutiny, and FCPA sweep investigations across industry sectors are becoming more common and challenging. Beyond the FCPA, an increasing number of countries, as well as international organizations, are ramping up anti-corruption enforcement ...

• Jun. 11, 2013 Chicago, IL
• Jun. 25, 2013 New York, NY

• Jun. 25, 2013 Cleveland, OH
• Jun. 25, 2013 Atlanta, GA
• Jun. 25, 2013 Philadelphia, PA
• Jun. 25, 2013 Mechanicsburg, PA
• Jun. 25, 2013 Pittsburgh, PA

Knowing how to conduct effective and efficient internal investigations is key to protecting your clients or company. Companies and their counsel need to be diligent and proactive in identifying risks and remedying potential issues. At this program, panels of experts from the private bar, in-house and the government use a real-world hypothetical fact pattern throughout the day to review the many considerations and issues that can and do arise from ...

• Jun. 24, 2013 New York, NY

• Jun. 24, 2013 Pittsburgh, PA
• Jun. 24, 2013 Mechanicsburg, PA
• Jun. 24, 2013 Birmingham, AL
• Jun. 24, 2013 Boston, MA
• Jun. 24, 2013 New Brunswick, NJ
• Jun. 24, 2013 Philadelphia, PA

Major changes in broker-dealer regulation and the industry have come about as a result of the financial services crisis and the resulting regulatory reform. At the same time, FINRA’s overhaul of its rulebook as part of its Rulebook Consolidation process is almost complete. This program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealers, including what to expect next regarding broker-dealer regulation. ...

• Jul. 17, 2013 New York, NY

• Jul. 17, 2013 Birmingham, AL
• Jul. 17, 2013 Philadelphia, PA
• Jul. 17, 2013 Mechanicsburg, PA
• Jul. 17, 2013 New Brunswick, NJ
• Jul. 17, 2013 Pittsburgh, PA
• Jul. 17, 2013 Boston, MA

In the aftermath of the financial crisis and the resulting regulatory reform, the SEC has advanced significant rulemaking to impose a greater degree of controls on investment advisers’ operations. In fact, the SEC has put the regulation of investment advisers under the microscope, establishing new rules related to adviser custody, political contributions and adviser disclosure and has retooled its adviser exam program.At this program, attendees will ...

• Jul. 25 - 26, 2013 New York, NY

• Jul. 25 - 26, 2013 New Brunswick, NJ
• Jul. 25 - 26, 2013 Cleveland, OH
• Jul. 25 - 26, 2013 Boston, MA

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, the Securities Exchange Act of 1934, the Sarbanes-Oxley ...