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Asset Based Financing Strategies 2014

On-Demand Web Programs  On-Demand Web Programs    

From the program: Asset Based Financing Strategies 2014

Released on: Mar. 14, 2014

Asset based financing is a key source of credit for small and medium-size companies and for some larger, publicly traded companies as well. In contrast to equity financing where ownership in the company is diluted, asset-based financing allows companies to use their own assets to generate cash flow.In structuring these loans, lenders and their counsel must consider all senior interests in the collateral, as well as the practical difficulties in obtaining ...

Corporate Governance - A Master Class 2014

On-Demand Web Programs  On-Demand Web Programs    

From the program: Corporate Governance - A Master Class 2014

Released on: Feb. 26, 2014

Public companies and their directors and officers face increasing responsibilities and are under intense scrutiny from investors and regulators. Legal and regulatory changes, including Sarbanes-Oxley, Dodd-Frank and listing standards, and overall changing expectations in the marketplace contribute to this new challenging environment. Corporate governance provides the framework within which directors and officers must operate in fulfilling their responsibilities. ...

Drafting and Negotiating Corporate Agreements 2014

On-Demand Web Programs  On-Demand Web Programs    

From the program: Drafting and Negotiating Corporate Agreements 2014

Released on: Jan. 24, 2014

In 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 to come up in a negotiation ...

ERISA Fiduciary Investment Basics 2014

On-Demand Web Programs  On-Demand Web Programs    

From the program: ERISA Fiduciary Investment Basics 2014

Released on: Feb. 19, 2014

This course provides an introduction to the basics of ERISA fiduciary law using a case-study vehicle.  In this year’s program, you will learn about the principal issues in ERISA’s regulation of plan investments through a case study of a hypothetical plan asset hedge fund exploring entry in the plan marketplace and a plan investor considering such an alternative investment.   The program also will utilize a hypothetical fiduciary training ...

Ethics for Financial Industry Lawyers 2014

On-Demand Web Programs  On-Demand Web Programs    

From the program: Ethics for Financial Industry Lawyers 2014

Released on: Mar. 7, 2014

The program will review the professional responsibility issues confronting lawyers who advise clients in connection with securities and derivatives transactions, including the implementation of the Dodd-Frank Act.Lecture Topics  [Total time 01:56:02] Segments with an asterisk (*) are available only with the purchase of the entire program. Ethics for Financial Industry Lawyers 2014 [01:56:02]Michael S. Sackheim, Howard Schneider The purchase ...

Hedge Fund Compliance & Regulatory Challenges 2014

On-Demand Web Programs  On-Demand Web Programs    

From the program: Hedge Fund Compliance & Regulatory Challenges 2014

Released on: Feb. 11, 2014

Nearly 40% of investment advisers that are currently registered with the Securities and Exchange Commission manage at least one private fund.  As a result, the SEC’s examination staff has developed new strategies and processes to address the risks associated with managing hedge funds and other private funds.  In addition, in light of the Commodity Futures Trading Commission’s increased jurisdiction over private funds, the National Futures ...

Investment Management Institute 2014

On-Demand Web Programs  On-Demand Web Programs    

From the program: Investment Management Institute 2014

Released on: Mar. 21, 2014

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 New regulations affecting money-market funds Potential SEC staff guidance regarding valuation, derivatives and other areas Potential new regulatory initiatives relating to target date funds and exchange-traded funds Possible modifications ...

Mergers & Acquisitions 2014: Trends and Developments

On-Demand Web Programs  On-Demand Web Programs    

From the program: Mergers & Acquisitions 2014: Trends and Developments

Released on: Jan. 31, 2014

Effective negotiations and deal execution require that M&A practitioners be well versed in the latest trends. Recent developments in M&A transactions have included novel walk-away provisions, tailored go-shop provisions and new twists on reverse break-up fees. In a race to the finish line, some two-step tender offer transactions have proceeded on a dual track, in which a one-step merger transaction is pursued while the tender offer is proceeding. ...

Securities Offerings 2014: A Public Offering: How It Is Done

On-Demand Web Programs  On-Demand Web Programs    

From the program: Securities Offerings 2014: A Public Offering: How It Is Done

Released on: Mar. 28, 2014

This course will provide a solid understanding of the legal framework for securities offerings under the Securities Act of 1933.  Topics covered include the basics, such as definitions and regulations of “offers” and “sales” of “securities” and the distinctions between public and private offerings, including the need to register public offerings (and how that is done) and basic exemptions from registration.  It will also cover important ...

Securities Products of Insurance Companies in the Course of Regulatory Reform 2014

On-Demand Web Programs  On-Demand Web Programs    

From the program: Securities Products of Insurance Companies in the Course of Regulatory Reform 2014

Released on: Feb. 5, 2014

The insurance industry continues to navigate the legal environment in meeting insurance and retirement needs in the face of regulatory initiatives adopted in recent years, and ongoing initiatives for regulatory and legislative change, as well as new technological developments. This timely program provides critical content on the prevailing and emerging legal issues practitioners must understand and insights into product development. As the evolving ...

The SEC Speaks in 2014

On-Demand Web Programs  On-Demand Web Programs    

From the program: The SEC Speaks in 2014

Released on: Mar. 8, 2014

The past year has seen significant activity at the Commission as it has continued to engage in a broad range of rulemaking projects and other initiatives to implement the Jumpstart Our Business Startups Act (JOBS Act) and the Dodd-Frank Wall Street Reform and Consumer Protection Act (DFA). For example, the Commission adopted rules to implement provisions of the JOBS Act lifting the ban on general solicitation in certain private offerings and also ...

Understanding Financial Products 2014

On-Demand Web Programs  On-Demand Web Programs    

From the program: Understanding Financial Products 2014

Released on: Jan. 21, 2014

The explosion of new financial products over the decade leading up to the financial crisis, the implosion of the credit markets in 2008, 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 ...

Venture Capital 2014: Nuts and Bolts

On-Demand Web Programs  On-Demand Web Programs    

From the program: Venture Capital 2014: Nuts and Bolts

Released on: Mar. 13, 2014

A thorough understanding of current market practice, deal terms and conditions, transaction documents and applicable securities, regulatory and ethical issues is critical in the venture capital business. This program, designed for those seeking a secure foundation in the venture capital field, will teach you the essentials of venture capital. From examining the anatomy of a venture capital deal, to participating in a mock term sheet negotiation, to ...

Featured Faculty/Authors
George M. Wilson, MBA, CPA

George M. Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI

Mina Park

Mina Park ~ Director, Banking and Capital Markets Origination Legal, Asia Pacific, Citi

Harvey I. Saferstein

Harvey I. Saferstein ~ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.