Corporate & Securities

Enforcement

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 ...

From the program: The SEC Speaks in 2013

Released on: Mar. 9, 2013

Over the past year, the Commission has been engaged in a broad range of rulemaking projects and other initiatives to implement the newly-enacted Jumpstart Our Business Startups Act and the Dodd-Frank Wall Street Reform and Consumer Protection Act.  The Commission has been working to implement the provisions of the JOBS Act, including with regard to the use of general solicitation and general advertising in certain private offerings, new exemptions ...

From the program: Advanced Swaps & Other Derivatives 2012

Recorded on: Oct. 19, 2012

Taken from the Web Program Advanced Swaps & Other Derivatives 2012 recorded October, 2012 in New York. Lecture Topics  [01:27:28] Clearing and Trading; Grandfathering; End-Users; Marin Posting for Cleared and Uncleared Transactions; Client Money Segregation; Loss Mutualization  [01:27:28] Mandatory clearing and trading requirements SEFs and trading facilities, including definitions, exceptions, regulation and registration  ...

Recorded on: Jun. 13, 2012

Taken from the briefing Antitrust Enforcement in the Health Care Industry: Current FTC and DOJ Activities recorded June 2012. With health care costs seemingly spiraling out of control, federal antitrust regulators have turned a watchful eye to the health care industry.  The FTC and DOJ have made it clear that they will aggressively challenge both new transactions and established practices they believe threaten competition.  ...

From the program: Asset Based Financing Strategies 2013

Recorded on: Mar. 18, 2013

Taken from the Web Program Asset Based Financing Strategies 2013 recorded March, 2013 in New York. Lecture Topics  [00:59:58] Priority and Enforcement Issues  [00:59:58] Accounting for non-UCC liens and statutory trusts Commonly negotiated issues in subordination and intercreditor agreements Minimizing “lender liability” risks in exercising UCC remedies The purchase price of this segment includes ...

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, ...

From the program: Basics of Mutual Funds and Other Registered Investment Companies 2013

Recorded on: Apr. 30, 2013

Taken from the Web Program Basics of Mutual Funds and Other Registered Investment Companies 2013 recorded April, 2013 in New York.Lecture Topics  [01:01:23]Fund Marketing and Sale of Fund Shares  [01:01:23] How are Fund Shares Distributed? “Funds are sold, not bought”: the role of sales charges and no-load funds, and the future of Rule 12b-1 (or (2)) (let’s do on the last panel) How funds are priced: the critical importance of fund ...

Recorded on: Feb. 22, 2013

CLIFFORD KIRSCH: Great. All righty, welcome back. And Anna gave the lead-in for this session. Our next panel is going to look at advertising developments. And as I said at the outset, we wanted to spend an hour working through the material here, because there really are very, very significant changes both on the broker-dealer side and the adviser side. And I have a great panel to walk us through, Stephanie Nicolas and Jesse Kanach. Stephanie is a ...

From the program: Broker-Dealer and Adviser Regulatory Compliance Forum 2013

Released on: Mar. 6, 2013

Brokerage and advisory firms' compliance programs are under intense regulatory scrutiny. In this program, you will be provided with expert analysis regarding today’s hot topics impacting the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators will review current regulatory initiatives and recent examination ...

Course Handbook from the program Broker-Dealer and Adviser Regulatory Compliance Forum 2012, held February, 2012.

From the program: Broker/Dealer Regulation and Enforcement 2012

Released on: Nov. 7, 2012

More than three years since the financial crisis erupted, there continues to be heightened regulation and enforcement of the securities laws - by the DOJ, SEC, CFTC, states and SRO’s.  A number of significant rules have been promulgated in the last year to implement various provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted in 2010, while other rules have been proposed but not yet finalized.  The Dodd-Frank ...

• Oct. 23, 2013 New York, NY

• Oct. 23, 2013 Webcast

The Dodd-Frank Act - frequently described as the most sweeping reform legislation in decades - and the contemplated, proposed or final rules implementing it, have significant implications for broker-dealers. The concurrent proliferation of new regulation and record-breaking enforcement activity by the DOJ, SEC, CFTC, states and SROs have created a strained and overburdened environment for legal and compliance personnel. This program brings ...

Recorded on: Nov. 26, 2012

AUSTIN T. FRAGOMEN JR: So our next topic deals with family immigration. And obviously, this is an area we've more than touched on, when it comes to all the different aspects of representing children in every context imaginable, right? So we've already been through children in great detail, but now, we're going to talk about family immigration. And we'll talk about children in the more traditional sense of media relative petitions and things of that ...

Recorded on: Nov. 26, 2012

Taken from the Web Program 45th Annual Immigration & Naturalization Institute Recorded November, 2012 in New York Challenges for Families Coming to the United States [01:00:24] Backlogs and timing Child Status Protection Act, and K visa options: are these sufficient relief valves? The “DREAM Act” executive order - progress to date Affidavit of Support issues Conditional residency and its removal The ...

Recorded on: Nov. 26, 2012

CYNTHIA J. LANGE: Well, welcome back. We'll be rounding off the afternoon here with a couple of excellent panels. Right now, we'll be having Bernie Wolfsdorf and Stephen Yale-Loehr will talk to us about challenges to entrepreneurs coming to the United States. There's so much happening in this area, and we really appreciate the work that they've put into this. Robert Divine had planned on being here, and I think help work on the material but due to ...

Recorded on: May. 24, 2012

Taken from the briefing Civil Enforcement Cases: Emerging Trends and Issues in the Wake of the Financial Crisis recorded May 2012. In recent years, many practitioners have anticipated criminal prosecutions related to the Financial Crisis.  Often overlooked, however, are the significant civil enforcement actions that have been brought in this area.   Lecture Topics  [Total Time: 01:06:42] Discovery tools available ...

Recorded on: Oct. 19, 2012

GARY BARNETT: OK, welcome back. We're going to move into our next session now, clearing and trading, grandfathering, end users, margin posting for cleared and uncleared transactions, client money segregation, loss mutualization. And our moderator is Kathryn, or Katie, Trkla. I'm going to introduce her, and then let her introduce the rest of the panel. Katie's a partner with Foley & Lardner. She's a member of Foley's securities, commodities, and ...

Recorded on: Apr. 12, 2013

Taken from the Web Program How to Prepare an Initial Public Offering 2013 Recorded April, 2013 in New YorkCommunications During Registration and the SEC's Role in the IPO Process [01:04:35] What communications are permitted during the registration process? “Testing the waters” under the JOBS Act Nuts and bolts of the SEC review process How to maximize effective interactions with the SEC The purchase price of this segment includes the following ...

Recorded on: Feb. 22, 2013

ANNA T. PINEDO: So as Cliff mentioned, we're going to spend this hour talking about complex products and, indeed, complex products have become the most important issue for FINRA from a prudential and an enforcement perspective and have been for some time. And largely that's been as a result of concerns that emerged during the financial crisis, that investors who purchased particular products didn't necessarily understand all of the risks associated ...

Recorded on: Nov. 2, 2012

CARMEN J. LAWRENCE: OK, so the next panel, Compliance Officer Roundtable. And the moderator is Alan Cohen. Alan joined Goldman Sachs in 2004. He's a partner and Goldman's head of global compliance. Alan serves on a number of Goldman's committees, including the management committee. Prior to joining Goldman, Alan was co-head of the White Collar Regulatory Defense Practice and New York Litigation group at O'Melveny & Myers. And prior to joining ...

Recorded on: Apr. 26, 2012

DAVID M. LYNN: OK. We're back at the Global Capital Markets Conference. And at the topic now we're turning to is corporate governance. And I would reminder those who are watching us on the web cast that you can ask a question if you press the Ask Question button, and we'll actually receive it here by the magic of the internet and we'll be able to answer it. The top, again, for this panel is to really survey a number of important corporate governance ...

From the program: Corporate Governance - A Master Class 2012

Released on: Mar. 28, 2012

DVD's from the program Corporate Governance - A Master Class 2012, held February, 2012.

From the program: Corporate Governance - A Master Class 2013

Released on: Feb. 27, 2013

Recent developments, including increasingly intense shareholder activism, seemingly shorter investment time horizons, and regulatory developments under the Dodd-Frank Act, have accelerated changes in corporate governance. Many of the changes are fundamental and will have a profound impact on public companies, their directors and management, and the securities markets. Our stellar faculty will discuss what has already occurred as well as what ...

• Sep. 30. - Oct. 1, 2013 Washington, DC

Lobbying, campaign finance and ethics rules in Washington, and in every state, are changing, and new court cases are affecting lobbyists, corporations, associations, and unions.  Compliance with federal, state and local laws is more complex than ever. Congressional ethics rules, the Lobbying Disclosure Act (LDA), pay-to-play laws, as well as increasing pressure on corporations to disclose to shareholders their contributions and lobby expenditures, ...

Recorded on: Apr. 30, 2013

LAURIN BLUMENTHAL KLEIMAN: --our last panel of the day, and here's the point in the program where we talk not only about the more traditional registered investment companies, but also new and different and alternative ways of pulling assets and selling securities publicly, like exchange traded funds and other things like that. I see Ed and I see Bob, and there's Jim. How are you? EDWARD BAER: Good to see you. The right hand of power. LAURIN BLUMENTHAL ...