This Year

Corporate & Securities

Compliance

From the program: Advanced Compliance and Ethics Workshop 2012

Released on: Jan. 10, 2013

DVD's from the program Advanced Compliance and Ethics Workshop 2012, held October, 2012.

• Oct. 24 - 25, 2013 New York, NY
• Nov. 18 - 19, 2013 San Francisco, CA

• Nov. 18 - 19, 2013 Webcast

• Nov. 18 - 19, 2013 Columbus, OH
• Nov. 18 - 19, 2013 Mechanicsburg, PA
• Nov. 18 - 19, 2013 Philadelphia, PA
• Nov. 18 - 19, 2013 Pittsburgh, PA

Legal drivers for corporate compliance and ethics programs have continued to grow in complexity and importance in recent years. The costs of non-compliance have never been greater. Indeed, five of the ten largest corporate criminal fines in U.S. history were imposed or agreed to in 2012 alone. And harsh penalties — both against business organizations and individuals — are increasingly becoming the norm outside the U.S. Moreover, the whistleblower ...

Recorded on: Feb. 4, 2013

Taken from the briefing Affordable Care Act: Compliance Program Considerations for Health Care Providersrecorded February, 2013. Compliance efforts are heating up under the Affordable Care Act (ACA).  Enforcement activities at both the state and federal level are on the rise making compliance programs and plans for the health care industry a must.  Under the ACA, mandatory plans will be required for certain providers by March 23, ...

• Nov. 1, 2013 New York, NY

• Nov. 1, 2013 Webcast

• Nov. 1, 2013 Columbus, OH
• Nov. 1, 2013 Boston, MA
• Nov. 1, 2013 Philadelphia, PA
• Nov. 1, 2013 Cleveland, OH
• Nov. 1, 2013 Mechanicsburg, PA
• Nov. 1, 2013 Pittsburgh, PA
• Nov. 1, 2013 Atlanta, GA

Lawyers counseling businesses must possess a solid foundation in principles of antitrust law and an understanding of the latest antitrust developments. Running afoul of antitrust rules can result in class actions and treble damage litigation as well as government enforcement and adverse publicity. Are you prepared to provide practical answers to the antitrust questions your clients will ask? You will be after attending this program, developed with ...

• Jun. 10 - 11, 2013 Chicago, IL

From mergers and acquisitions to enforcement priorities, resale price maintenance to international competition, you can be certain to hear about all of the developments in antitrust law at this program led by top experts in the field.  Hear from leading antitrust practitioners, senior government officials, and state regulators about how to manage all of the challenges new developments might throw your way.  Whether you are a seasoned antitrust ...

• Jun. 21, 2013 New York, NY

• Jun. 21, 2013 Webcast

• Jun. 21, 2013 Mechanicsburg, PA
• Jun. 21, 2013 Pittsburgh, PA
• Jun. 21, 2013 Philadelphia, PA

As we continue to see many new regulations from the SEC, PCAOB and financial institution regulators, we also continue to see 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, and those who advise them, in this rapidly changing environment. You will hear from an expert faculty of ...

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 ...

From the program: Broker-Dealer and Adviser Regulatory Compliance Forum 2013

Released on: Mar. 6, 2013

Brokerage and advisory firms' compliance programs are under intense regulatory scrutiny. In this program, you will be provided with expert analysis regarding today’s hot topics impacting the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators will review current regulatory initiatives and recent examination ...

• Oct. 23, 2013 New York, NY

• Oct. 23, 2013 Webcast

The Dodd-Frank Act - frequently described as the most sweeping reform legislation in decades - and the contemplated, proposed or final rules implementing it, have significant implications for broker-dealers. The concurrent proliferation of new regulation and record-breaking enforcement activity by the DOJ, SEC, CFTC, states and SROs have created a strained and overburdened environment for legal and compliance personnel. This program brings ...

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 ...

• Jun. 10, 2013 San Francisco, CA

• Jun. 10, 2013 Webcast

Corporations, government organizations and millions of consumers are shifting massive quantities of data and their software applications to cloud computing facilities. Cloud computing provides flexibility, enhanced access to software functionality and potential cost savings, but can inject potential new risks. Negotiating contracts for cloud computing services presents new challenges and it can be difficult to formulate a clear understanding of the ...

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: Feb. 20, 2013

ALAN L. BELLER: Now for what I always think of as the most exciting subject of the day, which is why we do it immediately after lunch, which is auditing and accounting, continuing evolution in auditing and accounting. And the group that's up her to help us to go through our agenda is on my immediate right, Jack Ciesielski, who is the owner of RG Associates, which is an investment research and portfolio management firm in Baltimore. And Jack is the ...

From the program: Corporate Governance - A Master Class 2013

Released on: Feb. 27, 2013

Recent developments, including increasingly intense shareholder activism, seemingly shorter investment time horizons, and regulatory developments under the Dodd-Frank Act, have accelerated changes in corporate governance. Many of the changes are fundamental and will have a profound impact on public companies, their directors and management, and the securities markets. Our stellar faculty will discuss what has already occurred as well as what ...

Recorded on: Jan. 28, 2013

Taken from the Web Program Securities Products of Insurance Companies in the Course of Regulatory Reform 2013 Recorded January, 2013 in New York Conversations with the SEC Staff [01:32:05] The SEC agenda for insurance products Staff standards for filings of product changes Core IA and IC inspection issues SRO or SEC for investment advisers The purchase price of this segment includes the following article(s) from the Course ...

• Dec. 12 - 13, 2013 Washington, DC

It is more important than ever for institutions in all sectors of the economy to stay on top of export control and sanctions developments in the United States and other countries. Companies and financial institutions must be aware of their obligations under existing laws and regulations, the enforcement and disclosure risks they currently face, and those they may face in the future. Implementing and strengthening compliance programs is an increasingly ...

• May. 30 - 31, 2013 New York, NY

• May. 30 - 31, 2013 Webcast

• May. 30 - 31, 2013 Mechanicsburg, PA
• May. 30 - 31, 2013 Philadelphia, PA
• May. 30 - 31, 2013 Pittsburgh, PA
• May. 30 - 31, 2013 New Brunswick, NJ

Compliance and ethics programs should no longer be considered optional. They are an important aspect of legal risk management, and government standards on compliance programs have become increasingly specific. No matter how large or small the company, paying careful attention to corporate compliance and ethics is critical. No area is safe - prosecutors all over the world aggressively attack corporate crime, as countries now pursue subjects ...

• Oct. 2, 2013 New York, NY

• Oct. 2, 2013 Webcast

The role of the corporate counsel continues to transform to meet new challenges in relation to an increasingly global economy, recent financial turmoil and continually changing new technologies. It is essential for all corporate counsel to be informed of the latest issues and trends and possess effective, budget-conscious strategies for managing the legal and practical business matters of corporate law departments and adding value to the enterprise.

• Sep. 30. - Oct. 1, 2013 Washington, DC

Lobbying, campaign finance and ethics rules in Washington, and in every state, are changing, and new court cases are affecting lobbyists, corporations, associations, and unions.  Compliance with federal, state and local laws is more complex than ever. Congressional ethics rules, the Lobbying Disclosure Act (LDA), pay-to-play laws, as well as increasing pressure on corporations to disclose to shareholders their contributions and lobby expenditures, ...

Released on: May. 30, 2013

Taken from the briefing Crisis Management - A View from Inside and Outside the U.S. recorded May, 2013.Crises are unpredictable but not unmanageable. In recent years, we've seen numerous corporate crises in the headlines, some of which have caused significant damage to companies, and highlighted the critical role of the general counsel as crisis manager. Although a corporate crisis can be a turning point for any company, it does not need to end badly. ...

• Jun. 14, 2013 San Francisco, CA

• Jun. 14, 2013 Webcast

The IPO market is the most active it has been in more than ten years, with technology companies leading the way. Recent securities law developments, including the Jumpstart Our Business Startups Act and regulatory changes to implement it, are likely to spur new approaches to capital raising, including changes to current practices in IPO transactions. Even without these legal and regulatory developments, current IPO practices are constantly evolving ...

Recorded on: Mar. 19, 2013

Taken from the briefing Defending Corporations and Executives in Congressional Investigations 2013 recorded March, 2013.Congressional investigations, in which corporate executives are called to account by Congress in televised hearings, have long been a fixture of American politics. And they often exact a steep price for individual corporate executives and the companies they represent. Yet few corporations are as prepared to handle congressional ...

Recorded on: Jan. 14, 2013

ROBERT S. RISOLEO: Hello everyone. Welcome back from lunch. We're entering the home stretch. This afternoon, the next two hours-- well, with a break in-between-- we will spend talking about derivatives. There have been, as you've heard some information about, you'll hear a lot more. There have been a lot of changes to the regulation of derivatives in the past year. And our panel will ably discuss those issues, and some others, as well. Rebecca Simmons ...

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 ...

• Sep. 11, 2013 New York, NY

• Sep. 11, 2013 Webcast

In the past year, new expectations were being placed on boards in critical areas of governance, including disclosure, oversight of complex operational issues, and responsiveness to and communication with investors pressing different concerns, such as short-term shareholder value, traditional governance issues and social responsibility. In addition, the Dodd-Frank Act, the Foreign Corrupt Practices Act, and other anti-bribery laws have put new requirements ...