Narrow Your Results
Narrow Your Results

Display:

Seminars & Webcasts

On-Demand

Publications

Faculty/Authors

News/Blogs

List View Table View

Enforcement 2016: Perspectives from Government Agencies

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend We continue to see unprecedented changes in our economic, business and regulatory regimes in general, and in enforcement efforts in particular. This unique program brings together panels of senior staff from the various enforcement and regulatory agencies, including the U.S. Commodity Futures Trading Commission, FINRA, New York State Department of Financial Services, U.S. Securities and Exchange Commission, U.S. Attorney’s ...

Financial Services Conflicts of Interest & Fiduciary Duties 2016: Navigating the Emerging Regulatory Maze

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend The DOL is actively advancing rulemaking that would dramatically change the regulatory framework establishing fiduciary duties and obligations for broker-dealers, advisors and service providers in the retirement marketplace. At the same time, the SEC is reported to be advancing internally its consideration of whether to subject broker-dealers and advisers to a harmonized uniform standard of care.  Further, the OCC’s ...

Global Capital Markets & the U.S. Securities Laws 2016

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 ...

Investment Management Institute 2016

Seminar  SeminarWebcast  Webcast

Why You Should Attend You’ll hear expert panelists discuss: significant business and legal developments in the investment management area over the past year and important regulatory initiatives such as: The SEC’s regulatory agenda New money-market fund regulations New SEC staff guidance Potential new rulemakings relating to target date funds Exchange-traded products initiatives The proposed fund ...

The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2016

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 and bribery enforcement actions demonstrate that no industry is immune from scrutiny.  Beyond the FCPA, an increasing number of countries, as well as international organizations, are ramping up ...


  • FOLLOW PLI:
  • facebook
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2016 Practising Law Institute. Continuing Legal Education since 1933.