Corporate & Securities

Enforcement

Published: November 2008
Last Updated: September 2013

Course Handbook from the program Prison Law 2009, held September, 2009.

Course Handbook for White Collar Crime 2009: Prosecutors & Regulators Speak, an October 2009 program and webcast.

Recorded on: Jan. 20, 2011

SPEAKER 1: OK, welcome back from your break. On our next topic, we're going to cover Purchase Money Security Interest and Consignments. And for this presentation, I'm proud to introduce Ken Karl from Sheppard Mullin in Los Angeles and I thank him for flying out here. And as you may remember this morning, I introduced one of the speakers and told you that he'd given me my first job out of law school. Well, Ken has done something slightly even more ...

Recorded on: Jan. 25, 2011

AMY TAUB: Thank you. Greetings. My name is Amy Taub, and I am a program attorney with PLI, and I would like to welcome you to today's briefing, SEC's New Whistleblower Bounty Program. 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 in ...

Recorded on: Feb. 4, 2011

AMY TAUB: Thank you. Greetings. My name is Amy Taub and I'm a program attorney with PLI, and I would like to welcome you to today's briefing, "Dodd-Frank Act, Impact on Broker-Dealers." 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: Feb. 16, 2011

AMY: Now it's my pleasure to turn this briefing over to Larry Zweifach. LAWRENCE J. ZWEIFACH: Amy, thank you very much. Today, the municipal securities market is prominently featured on the SEC's regulatory and enforcement radar screen. As an example, in the fall of 2010, the SEC initiated a series of field hearings led by Commissioner Elise Walter to explore the current state of the municipal securities market, with one of the principal goals being ...

Recorded on: Mar. 2, 2011

CARMEN J. LAWRENCE: Quite interesting. DAVID BECKER: OK, thank you, Carmen. George, rumor has it that the commission has brought a few insider trading cases recently. Could you tell us about that and how perhaps it may intersect with other matters? GEORGE S. CANELLOS: Well, I guess since our stated general topic is Corporate Governance, I think it might be interesting to think of some of the recent spade of insider trading cases for their implications ...

Recorded on: Mar. 2, 2011

SPEAKER 1: Now it's my pleasure to turn this briefing over to Jessie Liu. JESSIE LIU: Hi. Thank you so much, Amy. As you know, we're talking today about the Dodd-Frank Whistleblower Provisions, and their affect on FCPA compliance and compliance generally. I just want to outline very quickly, we're going to talk a little bit about background, about the Dodd-Frank Act itself. We're going to talk more specifically about the Whistleblower Provisions ...

Recorded on: Apr. 20, 2011

LISABETHANN R. EISEN: We're going to wrap up today talking about some current trends and offering some new regulations, new disclosure items that have come to pass, new corporate governance, and we are going to spend the hour talking about current events, so to speak. Things that you probably have read about in the newspaper. And with that, I'll turn it over to John. JOHN W. WHITE: I feel like you've already stolen my line. But, welcome to the final ...

Recorded on: Jun. 6, 2011

SPEAKER 1: Before we get started, just a little housekeeping. Please be sure to fill out your evaluation forms and turn those in at the back of the room on your way out. This is the second year that Deloitte has co-hosted the session with PLI, and we really do read and appreciate your comments and incorporate those into the agenda next year. And so for our last segment, we have a series of three topic here. The first will be an overview of the current ...

Recorded on: Jun. 9, 2011

LAURIN BLUMENTHAL KLEIMAN: That was really a great introduction to a lot of the fundamental principles we're going to be talking about throughout the day. And if you don't appreciate that now, I think as you listen to the speakers talk about some of these issues that Karrie laid out, you will truly appreciate how comprehensive an overview of the principles Karrie outlined. But to truly understand the operation and regulation of investment companies, ...

Recorded on: Jun. 9, 2011

SPEAKER 1: Thank you so much, Laurie and Mark. I guess if there's one thing that's clear from that presentation, it's how much Laurie and Mark love what they do. It is a very interesting and highly developed area of the law. And I would say-- since we have a couple of minutes-- I would say there is a dearth of experienced '40 Act lawyers in the millennial generation. And so this is an area that I hope by now you've realized is really fascinating and ...

Recorded on: Jun. 9, 2011

CLIFFORD KIRSCH: All right. Welcome back. And what we're going to do is pick up this session, as Laurie mentioned towards the end, give you a bit more feel of the pattern of fund regulation. And we want to leave you with this section with a good sense of some of the major areas in which the Investment Company Act regulate. And before I turn it over to Laurie to sort of take the initial shot at sort of walking through the PowerPoint, I just want to ...

Recorded on: Jun. 9, 2011

CLIFFORD E. KIRSCH: In fact, let me set this up and introduce the panelists while we're getting ready. Allan Oster and Lori Bostrom are both veterans of this program, and it's a pleasure to welcome them back. Alan Oster is the Associate General Counsel at Nationwide Funds and Lori Bostrom is the Senior Vice President and Deputy General counsel at OppenheimerFunds . Here in New york And they're going to walk us through the distribution panel of today's ...

Recorded on: Jun. 9, 2011

KARRIE MCMILLAN: Thanks, Lloyd, for that kind introduction. And it's nice to see you all here and virtually, I guess. Good morning. As Lloyd said, I am Karrie McMillan. I'm the General Counsel of the ICI. And I particularly am happy to be here. And there are a couple of reasons for that. One is that, these days, it is just great to get out of Washington DC. There is so much political rhetoric going on right now. To be anywhere else in the world is ...

Recorded on: Jun. 9, 2011

CLIFFORD E. KIRSCH: Alrighty. Welcome back. Welcome back everyone. Good to see everyone. Just to walk you through this afternoon, we're going to have one panel-- this next panel-- that's going to look at the role of the board and the adviser and the interaction between the two. What does the board get involved in? What does the adviser get involved with? How does the board oversee the adviser, picking up on some of the remarks Laurie and I mentioned ...

Recorded on: Jul. 18, 2011

CLIFFORD E. KIRSCH: As I mentioned that we're going to sort of lay out to you and give you background in terms of the regulatory framework. And for this panel, I'm very pleased and happy to introduce John Bronson and Steve Yadegari. John is Prudential's U.S. Business Regulatory Counsel, and John leads a team of lawyers at Prudential that provide advice on various regulatory matters, including those under the Advisers Act. And Steve is Senior Vice ...

Recorded on: Oct. 7, 2011

DANFORTH TOWNLEY: Welcome back, everybody. We're back for our 1:45 session, which is on managing hedge funds through critical issues to talk about the stresses that funds sometimes go through and have gone through. And I'm pleased to welcome, to my immediate right, Udi Grofman, a partner in the investment management group of Paul, Weiss here in New York whose experience covers all types of private funds and has a great deal of experience in this ...

Recorded on: Oct. 12, 2011

MARC MILLER: We are at 4 o'clock, and this session will go till 5:00. And it's Hot Topics and Trends in Finance. And I think kind of the topics to pick there, really, in many ways, we had a general counsel share form at KPMG, with some of the most prominent GCs, a small select group. And they purposely wanted it that way. But really, the main topic of the hour and a half that they spent together, really as a share form, sitting around a circular ...

Recorded on: Jan. 17, 2012

SPEAKER 1: Okay, we don't have a break schedule, so we're going to go directly to the next speaker. Hopefully you're still awake enough to hear what will hopefully be an interesting presentation by Eliza Swann. This is Eliza's first time with the program, but she's an international corporate law specialist and she's got significant transactional experience. I think you'll find her perspective to be quite interesting. ELIZA SWANN: Thanks everyone ...

Recorded on: Jan. 17, 2012

SPEAKER 1: Welcome back from your break. The next panel is called Specialized Areas of Concern Applicable to the Transaction. Our speaker is Eric Simonson. He's with K&L Gates, where he practices in the areas of mergers and acquisitions, securities, corporate finance, technology transactions, general business and corporate law. He has extensive experience in international acquisitions, leveraged buyouts, going private transaction, complex joint ...

Recorded on: Jan. 25, 2012

TAMARA KIWI: Good afternoon, my name is Tamara Kiwi and I'm a program attorney with PLI. I'd like to welcome you to today's briefing, "Inside Counsel as Target? SEC and Criminal Actions against Inside Counsel." 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 we'll reserve some time at the end for your questions. And ...

Recorded on: Feb. 13, 2012

PAUL F. ROYE: We go ahead and start our next panel. It's Blurring of the Regulatory Lines, and it's going to be moderated by Bob Zack. Bob is Executive Vice President of the Oppenheimer Funds. He's been associated with that group for over 29 years. He's General Counsel of the parent company of the Oppenheimer Funds. Very experienced investment management practitioner, outstanding lawyer, and I'll turn it over to Bob. Thank you, sir. ROBERT G. ZACK: ...

Recorded on: Feb. 29, 2012

MELISSA SAWYER: OK, we're going to go ahead and get started with our second panel. And the topic for this panel is the legal framework for the transaction. And we're fortunate to have exactly the right group of people to be talking about this subject with us today. First we have Jeff Wolters. Jeff is a partner in the corporate department of Morris Nichols in Delaware. He gives advice on a wide range of corporate law matters. But perhaps more importantly, ...