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Corporate & Securities

Corporate Governance

Recorded on: Jun. 11, 2012

Taken from the Web Program Fundamentals of Mutual Funds and Exchange-Traded Funds 2012 Recorded June, 2012 in New York Background: Mutual Funds and Exchange-Traded Funds [01:02:11] History The different types of mutual funds The mutual fund as a retail product and as a retirement vehicle The emergence of ETFs The purchase price of this segment includes the following article(s) from the Course Handbook available online:  ...

From the program: Doing Deals 2012: The Art of M&A Transactional Practice

Released on: Apr. 4, 2012

Audio CD's from the program Doing Deals 2012: The Art of M&A Transactional Practice, held March, 2012.

From the program: Drafting Securities Filings 2012

Recorded on: Oct. 5, 2012

Taken from the Web Program Drafting Securities Filings 2012 recorded September, 2012 in New York. Lecture Topics  [01:12:15] MD&A and the Annual Report to Shareholders  [01:12:15] Relationship to financial statements and financial disclosure Current Commission focus on MD&A topics Enforcement actions Additional disclosure items for the annual report to shareholders MD&A drafting exercise The ...

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 Effective Compliance Programs (Part 1) [01:12:54] Practical solutions to real-world problems Implementing effective compliance procedures Accounting controls that work Practical training for field employees The purchase price of this segment includes the following article(s) from ...

Recorded on: Oct. 19, 2012

Taken from the Web Program Pocket MBA Fall 2012 Recorded October, 2012 in New York Fraud, Regulatory Ethics and the "Dark Side" of Performance Management [01:18:35] Ethical challenges associated with performance management Fraud definition, schemes, and recent trends/developments How fraud schemes impact financial statements Internal controls, fraud awareness/prevention and governance Current regulatory and ...

From the program: Going Private 2012: Doing the Deal Right

Released on: Apr. 5, 2012

DVD's from the program Going Private 2012: Doing the Deal Right, held February, 2012.

From the program: Understanding the Securities Laws 2012

Released on: Dec. 27, 2012

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 and the Securities Exchange Act of 1934 and related ...

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 ...