Corporate & Securities

Enforcement

Recorded on: Jun. 11, 2012

LAURIN BLUMENTHAL KLEIMAN: So we've save the Exchange-Traded Fund panel for last. Although, I know several of you really came here to learn more about alternatives to mutual funds. And we have two panelists here who are very steeped in all kinds of investment company, and other types of Securities Law issues, but particularly focused also on ETFs. To my right is Jim Munsell, he is my partner. We practice together across the street, in the Investment ...

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 Exchange-Traded Funds [01:00:26] Overview of market Different types of exchange-traded products Investment Company Act: Regulatory issues The purchase price of this segment includes the following article(s) from the Course Handbook available online: Introduction to Exchange-Traded Funds James C. ...

From the program: Whistleblowers and the False Claims Act 2012: What You Need to Know

Released on: Nov. 28, 2012

Companies doing business with all levels of government face increasing exposure under federal and state False Claims Acts (FCAs).  Company whistleblowers are filing record numbers of new FCA cases, and the U.S. Department of Justice and state Attorney Generals are ramping-up fraud investigations and prosecutions nationwide.  Taught by a panel of experienced FCA practitioners including prosecutors, whistleblowers' counsel, defense counsel ...

From the program: The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2013

Released on: May. 17, 2013

Enforcement under the Foreign Corrupt Practices Act (“FCPA”) continues as a critical priority for both the DOJ and the SEC. 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 the FCPA, an increasing number of countries, as well as international organizations, are ramping up anti-corruption enforcement ...

Recorded on: Nov. 26, 2012

SPEAKER 1: Welcome. We'd like to begin the second day of PLI with a panel on federal court litigation. We're really happy to have Karen Tumlin who is the managing-- one moment for technical difficulties. OK let's go, thank you so much. We're happy to begin the second day of PLI with the federal court litigation panel. We're lucky to have Karen Tumlin, who is the managing attorney of the Los Angeles office of NILC. She focuses on promoting the rights ...

Recorded on: Nov. 26, 2012

AUSTIN T. FRAGOMEN, JR: Good afternoon. Our first topic this afternoon will be filing PERM cases in this economy, which is obviously a challenge. It goes without saying, filing PERM cases even under the best of circumstances is a challenge. But in an economy that's not particularly conducive to successfully going through the recruitment process certainly raises a lot of issues. And I think that it's an issue that we're all confronted with. To present ...

Recorded on: Jul. 3, 2012

LAUREN: --with us. Thank you. CLIFFORD KIRSCH: Thanks Lauren. Thanks everyone for being back with us for this wrap up panel. And what we wanted to do to take us to the end of the program for the next hour and 15 minutes is look at three areas-- financial responsibility, which Allison made a very, very quick reference to this morning about customer protection and net capital knowing that we would speak about later. We save it for this. But it's such ...

Course Handbook from the program Financial Services Industry Regulatory Compliance & Ethics Forum 2012, held October, 2012.

• Oct. 30, 2013 New York, NY

• Oct. 30, 2013 Webcast

• Oct. 30, 2013 Philadelphia, PA
• Oct. 30, 2013 Birmingham, AL
• Oct. 30, 2013 Columbus, OH
• Oct. 30, 2013 Pittsburgh, PA
• Oct. 30, 2013 Mechanicsburg, PA

In the aftermath of the financial crisis and recent scandals, and targeted examination and enforcement scrutiny, financial services firms’ corporate compliance and ethics programs are under intense observation. At this program, attendees will get a solid foundation in the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators ...

Recorded on: Mar. 8, 2012

CLIFFORD KIRSCH: All right. We are back, and we are here for our next session, which is hot topics in supervision. And this next panel I'm going to put into the good hands of Stephanie Nicholas. Stephanie's a partner at WilmerHale in DC, where she's a member of the broker-dealer compliance and regulation practice group. Stephanie, thanks for being here, I'm going to turn it over to you to introduce the panelists and tee things up for us. STEPHANIE ...

Recorded on: Apr. 19, 2012

JOHN W. WHITE: OK. Thank you. And you're welcome back to our program. I hope we're going to get our slides here soon on the screen. But if you want to go to the slides, I would take you to slide 20 of the tab 5 or the-- ah, here we go. Hold on. It's going to take me-- I gotta do a lot of scrolling through to get there to slide 20. I don't walk and chew gum at the same time. ROBERT EVANS: Stuff we're skipping will be on the final, in case you're wondering. JOHN ...

From the program: Fundamentals of Broker-Dealer Regulation 2012

Released on: Jul. 9, 2012

Major changes in broker-dealer regulation and the industry have come about as a result of the financial services crisis and the resulting regulatory reform.  At the same time, FINRA continues to overhaul its rulebook as part of its Rulebook Consolidation process.  This program will provide you with a solid foundation in the regulatory regime applying to broker-dealers, including what to expect next regarding broker-dealer regulation.  Learn ...

• Jun. 24, 2013 New York, NY

• Jun. 24, 2013 Webcast

• Jun. 24, 2013 Birmingham, AL
• Jun. 24, 2013 Boston, MA
• Jun. 24, 2013 Philadelphia, PA
• Jun. 24, 2013 Mechanicsburg, PA
• Jun. 24, 2013 New Brunswick, NJ
• Jun. 24, 2013 Pittsburgh, PA

Major changes in broker-dealer regulation and the industry have come about as a result of the financial services crisis and the resulting regulatory reform. At the same time, FINRA’s overhaul of its rulebook as part of its Rulebook Consolidation process is almost complete. This program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealers, including what to expect next regarding broker-dealer regulation. ...

From the program: Fundamentals of Investment Adviser Regulation 2012

Released on: Aug. 1, 2012

In the aftermath of the financial crisis and the resulting regulatory reform, the SEC has advanced significant rulemaking to impose a greater degree of controls on investment advisers’ operations.  In fact, the SEC has put the regulation of investment advisers under the microscope.  At the same time, Congress is considering financial regulatory reform that could impose a new self-regulatory organization in charge of adviser regulation.  In ...

• Jul. 17, 2013 New York, NY

• Jul. 17, 2013 Webcast

• Jul. 17, 2013 Boston, MA
• Jul. 17, 2013 Philadelphia, PA
• Jul. 17, 2013 New Brunswick, NJ
• Jul. 17, 2013 Pittsburgh, PA
• Jul. 17, 2013 Mechanicsburg, PA
• Jul. 17, 2013 Birmingham, AL

In the aftermath of the financial crisis and the resulting regulatory reform, the SEC has advanced significant rulemaking to impose a greater degree of controls on investment advisers’ operations. In fact, the SEC has put the regulation of investment advisers under the microscope, establishing new rules related to adviser custody, political contributions and adviser disclosure and has retooled its adviser exam program.At this program, attendees will ...

Recorded on: Apr. 30, 2013

CLIFFORD E. KIRSCH: I'd like to get started again. And in this next panel, we begin taking a dive into the regulation of investment companies, as it exists today and, again, taking a pretty in-depth look into the Investment Company Act. And in this panel, Fund Anatomy, we take an inside look at the mutual fund. And what we're going to look at is the mutual fund regulations, with respect to the board of directors, portfolio management, and also how ...

Recorded on: Apr. 30, 2013

LAURIN BLUMENTHAL KLEIMAN: Welcome back. This next panel is always a real crowd-pleaser. Fund litigation-- we just got finished talking about the regulatory oversight and what the SEC can do to make a fund's life challenging. Now we're going to talk about the adventures that funds have gone through in the courts. My two panelists have been with this program for several years, and it's always really interesting to hear what they have to say. To my ...

Recorded on: Apr. 30, 2013

CLIFFORD E. KIRSCH: Alrighty, welcome back. We're going to start. I know others will be joining us as we begin chatting. And welcome back to the folks on the web as well. Thanks for joining us. On this panel, we're going to go for an hour, looking at how a mutual fund markets itself and sells fund shares. And I'm delighted to be able to welcome two folks who are new to this program but not new at all to investment management regulation. To my far ...

From the program: Global Capital Markets & the U.S. Securities Laws 2012: Raising Capital in an Evolving Regulatory Environment

Released on: Jun. 6, 2012

DVD's from the program Global Capital Markets & the U.S. Securities Laws 2012: Raising Capital in an Evolving Regulatory Environment, held April, 2012.

• Jun. 5, 2013 New York, NY

• Jun. 5, 2013 Webcast

• Jun. 5, 2013 Boston, MA
• Jun. 5, 2013 New Brunswick, NJ
• Jun. 5, 2013 Columbus, OH

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 enforcement environment targeting ...

Course Handbook from the program Going Private 2012: Doing the Deal Right, held February, 2012.  

Recorded on: Feb. 7, 2013

DIANA BILLIK: Good afternoon. Welcome to this session, which is going to deal with OFAC, FCPA, and Bribery Act risks in a context of mergers and acquisitions as well as capital market transactions. My name is Diana Billik. I am a partner with Allen and Overy, resident in their Paris office. And I practice US securities laws. To my right, you have Nilufer Von Bismarck. If you haven't met her already from this morning, Nilufer is a partner with Slaughter ...

• Nov. 19, 2013 New York, NY

• Nov. 19, 2013 Webcast

• Nov. 19, 2013 Boston, MA
• Nov. 19, 2013 Philadelphia, PA
• Nov. 19, 2013 Mechanicsburg, PA
• Nov. 19, 2013 Pittsburgh, PA

The government’s continued crackdown on insider trading has focused on hedge funds, their consultants and those who analyze and trade for them. Regulators and enforcement officials have now turned their sights to conflicts of interest, valuation, cross-trades, expense and trade allocation, and fee practices. Following new registration requirements under Dodd-Frank, private equity firms are under examination scrutiny by the SEC, and according to senior ...

Course Handbook from the program Hedge Fund Enforcement & Regulatory Developments 2012, held October, 2012.

From the program: Hedge Funds 2012: Strategies and Structures for an Evolving Marketplace

Recorded on: Sep. 10, 2012

Taken from the Web Program Hedge Funds 2012: Strategies and Structures for an Evolving Marketplace recorded September, 2012 in New York. Lecture Topics  [00:57:53] Trading Issues Related to Swaps Under Dodd-Frank  [00:57:53] New CPO/CTA registration requirements Trading and clearing in derivatives by hedge funds Treatment of FX transactions Regulatory responses to MF Global The purchase price of this segment ...