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2011 Practice Highlights: A. Purchase Money Security Interest (PMSI) and Consignment Transactions; B. Default and Enforcement; C. Bankruptcy

Transcripts  Transcripts    

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 ...

A. Default and Enforcement B. Bankruptcy C. How the Uniform Commercial Code Affects Your Business: Applying Articles 1, 8 and 9 to Non-Financing Transactions

Transcripts  Transcripts    

Recorded on: Jan. 16, 2014

KENNETH CHIN: Welcome back. So for this segment of the presentation, I want to introduce the next two speakers. One is Ken Carl, who is a partner at Sheppard Mullin. And he will talk about enforcing security interest under Article 9. After you've figured out-- you're perfected in everything, now the borrower doesn't pay. Then what? And immediately following him will be Kristen Campana, who is a partner at Bracewell Giuliani. And she's going to tell ...

Advanced Swaps & Other Derivatives 2014

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From the program: Advanced Swaps & Other Derivatives 2014

Released on: Oct. 31, 2014

The Dodd-Frank Act establishes a novel, comprehensive framework for the regulation of over-the-counter (OTC) derivatives and the market participants who transact in these products. That regulatory framework, split primarily between the SEC and CFTC, has been substantially implemented by the CFTC, with SEC progress, as well. The new regulatory regime touches the activities of all participants in the swaps markets, from end users to major swap ...

Advanced Swaps & Other Derivatives 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend The Dodd-Frank Act established a novel, comprehensive framework for the regulation of over-the-counter (OTC) derivatives and the market participants who transact in these products.  That regulatory framework, split primarily between the SEC and CFTC, has been substantially implemented by the CFTC. For their part, the SEC has made substantial progress and at the direction of Chair Mary Jo White is making Title VII implementation ...

Adviser Registration; Regulatory Jurisdiction

Transcripts  Transcripts    

Recorded on: Jul. 17, 2014

CLIFFORD KIRSCH: For our next panel, we wanted to walk you through the framework. We want, at this point, to assume you're registered, you're going to live within the Advisers Act within state regulation of advisers and what that means. And in this hour we really want to just give you the flavor, the framework, how the laws, how the rules operate, how they're administered. And I'm delighted to be joined by Phil Rutledge. Phil is a partner of Bybel ...

Adviser Registration; Regulatory Jurisdiction

Transcripts  Transcripts    

Recorded on: Jul. 18, 2013

CLIFFORD KIRSCH: All righty, and we are going to go right into the next panel. And I'm here with Phil Rutledge, and what Phil and I wanted to do was give you an overview, just assume-- put beside the analysis of is someone required to register or not. Someone is required to register. They're doing activity. That's an adviser. What Phil and I wanted to do in this panel is really just set the stage of what does it mean to be registered, what does it ...

Advisers to Private Funds

Transcripts  Transcripts    

Recorded on: Jul. 18, 2013

CLIFF: Thanks for sticking with us today. It's been a great audience and a great program. So thanks for your attention throughout. I'm very pleased to introduce our last panel, which is a dedicated panel. We structured this, just because of all the issues that are arising and people are dealing with, a standalone panel on advisors to private funds. And I'm very pleased to welcome, to my right, Peter Rosenblum. Peter has spoken on this program. But ...

Alternative Investment Vehicles and Derivatives Regulation

Transcripts  Transcripts    

Recorded on: Jun. 6, 2013

DAVID M. LYNN: OK, now we're back with the next panel, and in this panel, we're going to shift focus to issues with broker dealers, investment advisers, funds, and more generally, the issues that we see in global capital markets with derivatives regulation. And so I have a great panel here to talk about these issues. To my right is Susan Ervin, who's a partner at Davis Polk and Wardwell, and she has held senior positions at both the SEC and CFTC. ...

Anti-Corruption Issues Facing Financial Institutions

Transcripts  Transcripts    

Recorded on: May. 11, 2015

KIMBERLY A. PARKER: Hope everyone got some good lunch to sustain you through the afternoon, because we've got a lot of very good panels planned for you for the afternoon. I am delighted to introduce our panel on financial institutions and the FCPA, which is always a highlight of the PLI conference because we are here in New York at the center of the financial world. And this is always a panel where we can hear from some really serious experts that ...

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

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From the program: The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2015

Released on: May. 19, 2015

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 the FCPA, an increasing ...

Anti-Money Laundering (AML)

Transcripts  Transcripts    

Recorded on: Nov. 1, 2013

SUNG-HEE SUH: Everybody, thank you all for coming here today. I'm going to introduce my two fellow panelists who we're very happy to have, given their wealth of experience. To my far left is Lisa Belle. She is the current head of global financial crimes for JP Morgan Chase global wealth management business lines, which include JP Morgan private bank, JP Morgan securities, and the JP Morgan trust companies. She covers, among other things, anti-money ...

Anti-Money Laundering Deskbook: A Practical Guide to Law and Compliance

Treatise  Treatise

Published: July 2014

Money laundering by drug cartels, terrorists, and other criminal groups is a fast-growing problem in today’s global economy. The illegal proceeds provide economic fuel for military conflicts across the globe, as well as all manner of other kinds of illegal activity. Anti-Money Laundering Deskbook: A Practical Guide to Law and Compliance is your roadmap to understanding this complex area. The U.S. Treasury Department’s Financial Crimes ...

Background: Mutual Funds and Exchange - Traded Funds

Transcripts  Transcripts    

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, ...

Basics of Mutual Funds and Other Registered Investment Companies 2013 -- Fund Marketing and Sale of Fund Shares

Web Segment  Web Segment    

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 ...

Basics of Mutual Funds and Other Registered Investment Companies 2014

Handbook  Course Handbook

Course Handbook from the program Basics of Mutual Funds and Other Registered Investment Companies 2014, held April, 2014.

Basics of Mutual Funds and Other Registered Investment Companies 2015 -- The Evolution of an Industry: Approaching 75 Years of Retail Fund Regulation

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From the program: Basics of Mutual Funds and Other Registered Investment Companies 2015

Recorded on: May. 4, 2015

Taken from the Web Program Basics of Mutual Funds and Other Registered Investment Companies 2015 recorded April, 2015 in New York. The Evolution of an Industry: Approaching 75 Years of Retail Fund Regulation [01:19:31] The fund industry prior to regulation and Congress’s response to abuses The Investment Company Act framework: focus on conflicts of interest: disclosure and shareholder protection What are “registered ...

Bilateral OTC Derivatives: Termination, Valuation, Netting, Closeout, Netting Opinions

Transcripts  Transcripts    

Recorded on: Oct. 24, 2013

JOSHUA D. COHN: Thanks, Robin. We're going to wrap up with actually some of our most interesting material. We can't conclude without spending some time on how the markets treat problem relationships-- default, termination, and insolvency issues. We've touched on that somewhat in prior presentations. And we're going to go into it in a little more depth. These are tough issues to which much attention has been paid over the OTC years. And they'll continue ...

Fundamentals of Swaps & Other Derivatives 2014

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From the program: Fundamentals of Swaps & Other Derivatives 2014

Released on: Oct. 29, 2014

Over-the-counter (OTC) derivatives are key elements in many of our financial markets. The Dodd-Frank Act is substantially changing how these important instruments are regulated and transacted. This program will introduce you to both the instruments and their new environment. A derivative is a financial instrument that allocates the risks and price exposures associated with a designated reference asset or entity between the parties thereto. Derivatives ...

Bolstering Your Company’s Fraud Defenses 2014: Proactive Prevention and Responses

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From the program: Bolstering Your Company’s Fraud Defenses 2014: Proactive Prevention and Responses

Released on: Nov. 28, 2014

Companies face greatly increased risks of being a victim of fraud in today's challenging business climate; no company is too big or too small to fall victim. In light of the high costs of fraud, both in actual revenues lost, potential legal exposure and opportunity costs, it is imperative that companies develop and implement proactive strategies to prevent and detect business fraud. Strong fraud prevention and response processes can bolster the confidence ...

Broker-Dealer, Adviser and Mutual Fund Compliance Program

Transcripts  Transcripts    

Recorded on: Oct. 30, 2014

CLIFFORD KIRSCH: Welcome back, everyone. And at this next session, we're going to look at compliance programs. And to be a little bit more specific, at our last session, we looked at compliance programs from the parent level and with a particular emphasis on whistleblower programs. Looking at the attendance for this conference, both web and live, it looks like a number of you are with larger financial services firms that have subsidiaries that are ...

Financial Services Industry Regulatory Compliance & Ethics Forum 2014

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From the program: Financial Services Industry Regulatory Compliance & Ethics Forum 2014

Released on: Nov. 12, 2014

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. In this program, you 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 ...

Broker-Dealer Advisory Services 2015: Current Legal and Compliance Issues Facing Dual Registrants

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From the program: Broker-Dealer Advisory Services 2015: Current Legal and Compliance Issues Facing Dual Registrants

Released on: Mar. 4, 2015

Broker-dealers that are dually registered as investment advisers 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 ...

Broker-dealer and Adviser Advertising Developments

Transcripts  Transcripts    

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 ...

Fundamentals of Broker-Dealer Regulation 2015

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From the program: Fundamentals of Broker-Dealer Regulation 2015

Released on: Jul. 8, 2015

Major changes in broker-dealer industry and regulatory framework continue as a result of the financial services crisis, the resulting regulatory reform and other trends and developments.  At the same time, FINRA’s rewrite of its Rulebook as part of its Rulebook Consolidation process is almost complete, and broker-dealers became subject to FINRA’s new supervision rules in December 2014.  Moreover, FINRA has recently initiated ...

Featured Faculty/Authors
Clifford E. Kirsch

Clifford E. Kirsch ~ Sutherland Asbill & Brennan LLP

Tanya E. M. Wong

Tanya E. M. Wong ~ Director of Government Benefits, Legal Services NYC - Legal Support Unit

Kenneth N. Nigon

Kenneth N. Nigon ~ RatnerPrestia