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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 ...

47th Annual Institute on Securities Regulation

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From the program: Securities Regulation Institute (47th Annual)

Released on: Nov. 4, 2015

    For more than four decades, PLI’s Annual Institute on Securities Regulation has been the premier conference on securities regulation and corporate governance for lawyers, from new associates to seasoned practitioners.  This year’s Institute will once again bring you the nation’s leading securities and corporate legal experts to deliver practical insights and real-world strategies and solutions to the many challenges ...

48th Annual Institute on Securities Regulation

Seminar  SeminarWebcast  Webcast

Mark Your Calendar. More Information to Come!

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 ...

The SEC Speaks in 2015

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From the program: The SEC Speaks in 2015

Released on: Mar. 7, 2015

At the beginning of each year PLI presents, in cooperation with the U.S. Securities and Exchange Commission, The SEC Speaks program, providing an essential update on the current initiatives at the Commission as well as the priorities for the coming year. In this unique program, you will hear remarks by the Chairman and Commissioners, as well as panel discussions by senior staff at the Divisions of Corporation Finance, Economic and Risk Analysis, ...

Advanced Swaps & Other Derivatives 2015

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From the program: Advanced Swaps & Other Derivatives 2015

Released on: Oct. 27, 2015

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 a 2015 priority.  The ...

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 ...

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. 17, 2015

CLIFFORD KIRSCH: All righty, while folks are selling back, let me just make introductions and set up. As I mentioned, we're on this panel looking to give you an overview of the federal scheme and the state scheme. And we'll use the next hour to do that at a high level. And it's always great to do this with and to be able to introduce Philip Rutledge. Phil is a partner of Bybel and Rutledge in Harrisburg, Pennsylvania. And Phil's primary purpose focuses ...

Fundamentals of Investment Adviser Regulation 2015

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From the program: Fundamentals of Investment Adviser Regulation 2015

Released on: Jul. 29, 2015

Over the past few years, 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.  The SEC has also set high expectations for advisers in identifying and responding to conflicts of interests. In this program, you will get a solid foundation in the regulatory regime applying to investment ...

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 ...

Advising the Board of Directors: Including an Overview of Board Hypothetical and Role Playing a Board Meeting

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Recorded on: Jan. 19, 2016

Taken from the Web Program Mergers & Acquisitions 2016: Trends and Developments recorded January, 2016 in New York. Advising the Board of Directors: Including an Overview of Board Hypothetical and Role Playing a Board Meeting [01:58:45] A panel of experienced M&A attorneys, an investment banker, and a Delaware judge will walk through the decision-making process that boards of directors face when running a sales process and engage in ...

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. ...

Annual Disclosure Documents 2015 -- Lessons Learned from Enforcement

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From the program: Annual Disclosure Documents 2015

Recorded on: Dec. 14, 2015

Taken from the Web Program Annual Disclosure Documents 2015 recorded December, 2015 in New York. Lessons Learned from Enforcement [01:00:22] FCPA developments Insider trading Financial reporting cases Identifying enforcement priorities and their impact on disclosure practices          Kenneth R. Lench, Deborah C. Lofton, Joan E. McKown, Todd J. Russo The purchase price ...

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
Last Updated: July 2015

Money laundering by drug cartels, terrorists, and other criminal groups is a fast-growing problem in today’s global economy. New technologies including online payment systems, virtual currency, and stored value cards have joined well-established methods of laundering the proceeds of criminal activity.      These laundered  proceeds provide economic fuel for terrorist activities and  violent conflicts across the ...

Audit Committees and Financial Reporting 2015: Recent Developments and Current Issues -- Risk Management & Compliance: What Audit Committees Need To Know

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From the program: Audit Committees and Financial Reporting 2015: Recent Developments and Current Issues

Recorded on: Jun. 24, 2015

Taken from the Web Program Audit Committees and Financial Reporting 2015: Recent Developments and Current Issues recorded June, 2015 in New York. Risk Management & Compliance: What Audit Committees Need To Know [00:54:34] Financial statement risk and earnings management Cyber security Limits to audit committee responsibility for risk management Continuing focus on FCPA enforcement Crisis management Moderator: ...

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 2015 -- Fund Litigation

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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. Fund Litigation [01:00:27] Private rights of action:who can – and can’t – sue Disclosure cases Excessive fees – how the courts have interpreted the “reasonable” requirement Recent developments and the future of fund litigation Mark Holland, Laurin Blumenthal ...

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 2015

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From the program: Fundamentals of Swaps & Other Derivatives 2015

Released on: Oct. 23, 2015

Over-the-counter (OTC) derivatives are key elements in many of our financial markets.  The Dodd-Frank Act has changed and is continuing to change 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 ...

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 ...


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