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Enforcement 2015: Perspectives from Government Agencies

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Co-Sponsored by Atlanta Bar Association Attendees in Atlanta will view the program via Groupcast at the offices of the Atlanta Bar Association, 400 International Tower, 229 Peachtree Street, NE, Atlanta, Georgia, 30303-1601. With PLI’s Groupcasts you'll instantaneously receive streaming audio/video of the live program and be able to submit your questions electronically. At these locations you’ll also receive the printed Course Handbook upon arriving. Why ...

Financial Services Conflicts of Interest & Fiduciary Duties 2015: Navigating the Emerging Regulatory Maze

Seminar  SeminarWebcast  Webcast

Why You Should Attend The SEC and DOL continue to consider rulemaking that could dramatically change the regulatory framework establishing fiduciary duties and obligations for broker-dealers, advisors and service providers in the retirement marketplace. Likewise, commodity trading and municipal advisors have to be mindful of fiduciary obligations that apply to their activity. At the same time, regulators are pressing firms to identify and address ...

Fundamentals of Broker-Dealer Regulation 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Co-Sponsored by Pennsylvania Bar InstituteAttendees in Pennsylvania will be viewing the live broadcast at the the Pennsylvania Bar Institute's Professional Development Conference Center, Heinz 57 Center, 339 Sixth Avenue, 7th Floor, Pittsburgh, Pennsylvania 15222-2517. You will have the opportunity to submit questions and will receive the printed Course Handbook.Mark Your Calendar. More Information to Come!

Global Capital Markets & the U.S. Securities Laws 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Capital markets are adjusting to a wide range of evolving regulatory standards which affect the way in which offerings are conducted around the world.  At the same time, issuers around the world are subject to changing accounting and corporate governance standards, while market participants navigate new ground in derivative product regulation.  Issuers and market participants also face an increasingly active global ...

The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend The Foreign Corrupt Practices Act (“FCPA”) is at the top of most companies’ key risk areas. DOJ and SEC resources devoted to investigating violations and enforcing the law remain at an all-time high. 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 ...

Featured Faculty/Authors
Jae  Kim

Jae Kim ~ Senior Vice President and General Counsel, Rambus Inc.

Lori A. Richards

Lori A. Richards ~ Chief Compliance Officer, Asset Management Unit, JP Morgan & Co

Edwin E. Smith

Edwin E. Smith ~ Morgan Lewis & Bockius LLP