Past 12 Months

Transcripts

Corporate & Securities

Compliance

Recorded on: Mar. 28, 2013

AMY TAUB: Thank you. Hello, my name is Amy Taub, and I am a program attorney with PLI. I would like to welcome you to today's briefing, "SEC Focus on Asset Valuation-- What Fund Managers Should Know." Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to materials for this briefing via ...

Recorded on: Mar. 26, 2013

AMY TAUB: Thank you. Hello. My name is Amy Taub, and I'm a program attorney with PLI. I would like to welcome you to today's briefing, Navigating the Requirements for Derivatives Trading, Title VII of Dodd-Frank. Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to materials for this briefing ...

Recorded on: Mar. 7, 2013

AMY TAUB: Thank you. Hello, my Name is Amy Taub. And I'm a program attorney with PLI. I would like to welcome you to today's briefing, Health Care Reform, an Employer's Essential Guide. Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to materials for this briefing via the course handbook tab ...

Recorded on: Feb. 20, 2013

ALAN L. BELLER: --which is, is the "new look" compensation committee the same as the "old look" compensation committee? I think the answer to that is no. Though I would note that Floyd left you with the thought that maybe the "New Look" compensation Committee is producing the same results as the "Old Look" compensation Committee. But we can, maybe, talk about that. I want to introduce our three distinguished ...

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 ...

Recorded on: Feb. 20, 2013

ALAN L. BELLER: When this program started, I don't think we had a panel of Delaware law. But it's become an increasingly important part of the governance and corporate and, indeed, securities scene. And so this year's panel is appropriately titled, "The Increasing Impact of Delaware law, a Sampler." And to take us through the sample, we have three, again, distinguished panelists. On my immediate right is Mark Gentile, who was a partner ...

Recorded on: Feb. 20, 2013

DAVID M. BECKER: OK. Once again, we've acquiesced in the cheap trick of having the ethics panel last in order to keep people here. And let me tell you who we have. To my right-- always to my right-- is Bill Baker, a partner at Latham & Watkins and before that, 15 years in the enforcement division of the SEC. And to his right is Rob Khuzami, who is presently unemployed, which is appropriate, and before that, served as Director of the Division ...

Recorded on: Feb. 15, 2013

AMY TAUB: Thank you. Hello, my name is Amy Taub, and I am a Program Attorney with PLI. I would like to welcome you to today's briefing, Regulation FD and Social Media in the Wake of the Netflix Investigation-- Facebook, Blogging, and Beyond. Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to ...

Recorded on: Feb. 14, 2013

AMY TAUB: Thank you. Hello, my name is Amy Taub, and I am a program attorney with PLI. I would like to welcome you to today's briefing, Key Elements of Effective Remediation-- An Insider's View. Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to materials for this briefing via the Course Handbook ...

Recorded on: Jan. 25, 2013

JEFFREY S. PURETZ: OK, we're going to resume our program and take on the next panel, which will deal with regulation of variable products under the Investment Company Act. And we have a dynamic duo to present to you who, for the second consecutive year, are pairing up to present this subject. And we have Dodie Kent to my immediate right who is Vice President and Associate General Counsel at AXA Equitable Life. Dodie manages the securities legal team ...

Recorded on: Jan. 25, 2013

JEFFREY PURETZ: OK, we're going to resume the program. Thank you all for getting back. Appreciate it. After the enactment of Dodd-Frank in July of 2010, a lot of the time on this program was spent on working through changes brought about by Dodd-Frank. I think that that has subsided a bit for us because some of it is kind of subsumed within the other discussions like Joan's discussion this morning of equity index products. But what continues to barrel ...

Recorded on: Jan. 24, 2013

AMY TAUB: Hello, my name is Amy Taub and I'm a program attorney with PLI. I would like to welcome you to today's briefing, Setting Your Compliance Program Agenda for 2013. Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing, and, time permitting, they will be addressed. Please remember that you have access to materials for this briefing ...

Recorded on: Jan. 14, 2013

ROBERT S. RISOLEO: OK, welcome back. It is now my pleasure to introduce Stuart Litwin, who's a veteran of the program. And thank you, Stuart, for returning again this year. Stuart is a partner at Mayer Brown and co-head of the firm's global finance practice. He also co-heads Mayer Brown's structured finance and capital markets practices. Stuart is one of the leading lawyers in the United States in the securitization area. He's done securitizations ...

Recorded on: Jan. 14, 2013

REBECCA SIMMONS: And my apologies if I'm hard to hear, but I'm hoping the microphone will make all the difference. So as Bob said, we've been doing this for a number of years. And for a number of years, I was able to give the very same presentation, it was quite straightforward. It's changed a little in the last few years with the adoption of the Dodd-Frank Act, but this presentation is just intended to be a very high level overview. We will go into ...

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 ...

Recorded on: Jan. 14, 2013

CLIFFORD E. KIRSCH: Welcome back everyone. My name is Cliff Kirsch, and I'm going to take you through the next three panels, where in turn, we're going to be looking at mutual funds, hedge funds, and insurance products. And each of these panels get fuller treatment, longer treatment, at other PLI programs. Day long, or two day long programs. But what we're going to try to do for each of these panels is give you a summary, a survey, a working knowledge ...

Recorded on: Jan. 14, 2013

ROBERT S. RISOLEO: Now, with that, I will rest my voice and turn things over to Gary Brown, who is joined to my right. And Gary, thank you for coming back. Gary is the CEO of CMG Life Services Inc, a leading company in the life settlement industry, which he joined after a very long and distinguished career as a lawyer. Gary has also taught securities law at Vanderbilt University School of Law, and served as general counsel to the Ethics and Compliance ...

Recorded on: Jan. 4, 2013

AMY TAUB: Thank you. Greetings. My name is Amy Taub, and I am a Program Attorney with PLI. I would like to welcome you to today's briefing, First Read-- DOJ/SEC's Resource Guide to the Foreign Corrupt Practices Act. Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to materials for this briefing ...

Recorded on: Dec. 17, 2012

N. ADELE HOGAN: OK, and then we're going to move right in-- Robert Evans from Shearman & Sterling is going to come up, and he's going to talk about disclosure basics. Now, he will go through-- this again applies both to the 33 and the 34 Act. So it's a very helpful background review of this area. And thank you again. That was excellent. Thank you. Great slides. And that Latham chart that is on the Latham website is actually excellent. And basically, ...

Recorded on: Dec. 17, 2012

N. ADELE HOGAN: OK, we're going to go ahead and get started today with the afternoon program. Once again, we were very appreciate of the SEC being here. And it gave you a sense of the flavor of how they operate and what it would be like interacting with someone if you had to bump an issue up. So I thought that was very, very helpful. We're now going to turn to an hour on 34 Act reporting. We were focusing on obviously 33 Act earlier today. And we're ...

Recorded on: Dec. 17, 2012

KENNETH L. JOSSELYN: I apologize in advance. I am losing my voice. Hopefully an hour and half of this will, I'll still have a voice. Otherwise Adele will be doing the program, and I will be doing the color commentary as we go along. I'm going to start with a general overview. It's aimed at the basics, because some people have more advanced knowledge, and some people have little. So we want to get the basic grounding in here. As Adele said, feel free ...

Recorded on: Nov. 29, 2012

REBECCA WALKER: Welcome back. After that incredibly weighty day that we had yesterday, I'm surprised to see anybody in the room and delighted to see all of you in the room. I can promise you today's going to be much easier, because we only have a morning session. Three quick and exciting panels, and then we can all be on our way. But again, thanks so much for being here. Thanks for being engaged yesterday. I think it was a great day. I hope you guys ...

Recorded on: Nov. 29, 2012

REBECCA WALKER: You guys ready? OK, so we're going to get started. This next session is on measuring the health of your program-- auditing, assessment, measuring the culture of compliance at your organization, all just critically important components of an effective program. I think when this field got started, 20 years ago or so, this wasn't the area that we were really the worst at it, I think. We could do the training and the policies, and the ...

Recorded on: Nov. 29, 2012

FEMALE SPEAKER: I hope you guys got plenty of cookies and trail mix with chocolate chips. A little bit of sugar to get us through the rest of the day. But Maura and Harvey will also get us through the rest of the day with a really interesting discussion building on the discussion we just had of third parties, and supply chain, and due diligence. We're now going to talk about global compliance programs. And I'm delighted that in that introductory ...

Recorded on: Nov. 29, 2012

REBECCA WALKER: OK, we're going to started. Hopefully folks will come back in from the coffee pots pretty quickly when they hear my voice. We're going to talk next about training and communications-- critically important part of everyone's program, as you know. This is the part of the program that touches the vast majority of your employees, hopefully all your employees, and the way that the employees know the program at many organizations. The DOJ, ...