Past 12 Months

Corporate & Securities

Compliance

Recorded on: Jun. 6, 2012

Taken from the Web Program Pocket MBA Summer 2012 Recorded June, 2012 in San Francisco Capital Structure [01:17:03] Overview of capital structure theories Common financing alternatives - debt, equity and hybrids Factors affecting capital structure Sources of funding Stock buy-backs The purchase price of this segment includes the following article(s) from the Course Handbook available online: Financing Alternatives ...

Recorded on: Jun. 4, 2012

REBECCA WALKER: Go right into the next panel. After this one, I promise you a break and some refreshments. I might actually sneak out and grab some coffee as soon as I do the introduction, but I'll be right back. This panel is actually two topics that we smushed together. They probably each deserve an hour, but we're only giving them half an hour each, because we only have a day and a half. We are going to talk about culture of an organization, how ...

Recorded on: Jun. 4, 2012

REBECCA WALKER: OK. We're going to get started. We're going to try to maintain compliance with our schedule and CLE requirements. So we talked a lot in the last session about the importance of culture to an organization. And that's all well and good. And certainly for the last few years, we've also seen a lot of Ethics Resource Center data that verifies the data we saw from LRN, that culture really does trump compliance, or culture can enhance an ...

Recorded on: Jun. 4, 2012

REBECCA WALKER: So we're going to start now with the next session. This afternoon we're going to cover program structure and board oversight, auditing and assessment of the program, and then do a recent developments, hot topics, and a section on reporting procedures. So a lot to cover, but as I said, we have one hour, and then we're going to have a short break, and then we'll go to the last two panels of the day. Program structure, reporting procedures, ...

Recorded on: Jun. 4, 2012

REBECCA WALKER: And these two are heroes for being on the last panel of the day. I think it can be a tough panel. But I'm not going to say we saved the best for last, because we've had amazing speakers all day long, but I'll tell you, if anyone can hold your attention and keep you engaged from 4:00 to 5:00 PM, it is Paul McGreal and Carrie Penman. Poor Paul, he normally has an hour to do this presentation on recent developments and hot topics. And ...

Recorded on: Jun. 4, 2012

Taken from the briefing IPO Market on the Upswing: The Act and Other Recent Developments recorded June, 2012. The IPO market is on the upswing, with strong deal flow and favorable aftermarket performances.  After a lull in the late summer and early fall of 2011, IPO activity picked up considerably at year-end and has continued into 2012, boosted by continuing economic recovery and relatively stable capital markets.  Then, in early ...

Recorded on: Jun. 4, 2012

REBECCA WALKER: Your ethics and compliance programs, ideally, should be designed around based on your particular compliance challenges and risks. And that's certainly something that the sentencing guidelines talk about, and really just sort of accords with common sense and good logic. You want to be trying to prevent those legal violations that you're most likely to encounter or that are going to cause the greatest harm to your organization. And ...

Recorded on: Jun. 4, 2012

REBECCA WALKER: We're nearing the finish line for the day. Last two topics of the day. This one's a really tough one. This is an area where we as ethics and compliance professionals continue to struggle. We've talked about this a little throughout the day to day, and that is how do we measure the effectiveness of what we're doing. How do we test our programs to ensure both that they are running appropriately and that legal violations are not occurring? ...

Recorded on: Jun. 4, 2012

REBECCA WALKER: Excited to see everyone here for day two of the conference. You guys are the diehards. We appreciate you. We actually have a really interesting morning lined up for you. We're going to start by talking about what I think is always one of the most interesting panels of this conference, which is the panel on reporting procedures and investigations. And then we will move on to talking about global compliance issues and third parties. ...

Recorded on: Jun. 4, 2012

REBECCA WALKER: So we're going to move on to the last panel of the conference. Then we'll have a very quick wrap up before we leave, go on to enjoy our weekend. We've talked a lot over the last day and a half about the impact of social media, of technology on our risk profiles and on our programs more generally. So in the last couple of years, we've added this as a segment to the PLI program to discuss separately just social media-- the kinds of ...

Recorded on: Jun. 4, 2012

REBECCA WALKER: And we're going to actually move right into our next panel. So if you all could, Andrea and Odell, could come on up. I apologize for the quick switch that we have to pull on you all. But while we're replacing our panelists we'll do a couple more benchmarking questions. So go to your iPads-- hi, Carol-- and click on polling questions. First question-- this panel, I'll introduce it first-- thanks, guys-- is on another exciting topic, ...

Recorded on: Jun. 6, 2012

ERIC SLOAN: ALL right, we're going to get started again. Hopefully everyone has coffee because, you know, at around 3 o'clock is when the caffeine is really needed. But we have a great panel today to keep you awake and interested. So we're going to focus on capital structure considerations in financing. And to do that we have another great panel. To my immediate right is Bill Brentani. Bill is a partner at Simpson Thatcher & Bartlett in Palo ...

From the program: Fundamentals of Mutual Funds and Exchange-Traded Funds 2012

Released on: Jul. 24, 2012

DVD's from the program Fundamentals of Mutual Funds and Exchange-Traded Funds 2012, held June, 2012.

Recorded on: Jun. 6, 2012

ERIC B. SLOAN: Our first panel is on an overview of the relevant accounting frameworks and sources of information. And to handle this and to start things off, we're really fortunate to have Erik Moe. Erik is a Director with Deloitte. He focuses on financial accounting and reporting. He has an in-depth knowledge of a broad range of issues, including issues related to M&A, private equity, and IFRS, and he'll explain what that means. Erik? ERIK ...

Recorded on: Jun. 6, 2012

KIRSTEN AUNAPU: OK, thank you. Welcome back, and I'm pleased to introduce the dynamic duo of Dan Berner and Jason Downing. Dan is a Deloitte partner out of the Dallas, Texas audit practice. Deloitte's been serving large audit clients for the past 22 years, and has significant experience with SEC matters, including initial and follow-on registration statements, acquisitions, divestitures, and period filings. And our other colleague, Jason Downing, ...

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 ...

Published: June 2012

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 ...

From the program: Fundamentals of Broker-Dealer Regulation 2012

Recorded on: Jul. 3, 2012

Taken from the Web Program Fundamentals of Broker-Dealer Regulation 2012 recorded June, 2012 in New York. Lecture Topics  [00:57:30] Trading Practices  [00:57:30] Best execution and order handling Trade reporting obligations Electronic trading The purchase price of this segment includes the following article from the Course Handbook available online: PwC Financial Services Regulatory Practice: How We Can ...

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 ...

Recorded on: Jun. 26, 2012

GENE CAPELLO: Well sorry for the fire drill here, but there was no break in between, so we're going right into our next panel. Those are risk issues that keep audit committee members awake at night. Let me introduce our panelists, some of whom you've already met. To my right is Nina Henderson of Henderson Advisory. And Nina has a tremendous amount of experience on boards of directors and on audit committees. She has been Director of AXA Financial, ...

Recorded on: Jun. 28, 2012

RICHARD J. MORVILLO: This next panel is going to be talking about actually conducting the investigation. It took us a better part of an hour and 45 minutes to talk about all the background. And we are very fortunate to have another esteemed panel of experts in the area. And I'll introduce them. Nancy needs no introduction. To Nancy's right is David Brodsky, who is a partner at Cleary Gottlieb here in New York, who-- and this is going to be a refrain ...

Recorded on: Jun. 28, 2012

HELEN: Welcome back everybody. It's my pleasure to introduce the moderator of our next panel, Mei Lin Kwan-Gett. And I'll let her introduce her other panelists. Mei Lin is a partner at Willkie Farr & Gallagher here in New York and is the co-head of that firms White Collar Criminal Defense Practice Group. Mei Lin specializes in white collar criminal defense, regulatory enforcement matters, internal investigations, and complex commercial litigation. Before ...

Recorded on: Jun. 28, 2012

STEVEN R. PEIKEN: Thanks, Rich. Sounds like my mom wrote that introduction. We have a great group of panelists, and let me introduce them to you briefly before we jump into this. So seated immediately to my right is David Anders, who's a partner at Wachtell, Lipton, Rosen & Katz, where his practice focuses on the representation of Fortune 500 and other companies in white collar criminal and related investigations. Before joining Wachtell, Lipton, ...

Recorded on: Jul. 3, 2012

CLIFFORD E. KIRSCH: All righty. While the next panel is settling in, I'm going to do the introductions and get things set up. Well, they'll give you time to settle in. Thanks. And what this next panel does, for this next hour, we're going to look at trading practices. And what I've asked Duer and Georgia to do is to give us a framework for thinking about broker dealer trading activity. What are the rules? What are the oversight obligations on broker ...