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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 ...

Securities Regulation Institute 2013 (45th Annual)

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From the program: Securities Regulation Institute (45th Annual)

Released on: Nov. 22, 2013

PLI’s Annual Institute on Securities Regulation has become the most highly anticipated annual review of the current state of securities, financial regulation and corporate law and practice.  We are pleased to co-chair the 45th edition of this important event, and to present you with this year’s agenda.  As always, we strive to bring you the most up-to-date information in response to the many changes of the past year.  As we continue ...

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 ...

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

MP3 Audio  Audio Download (MP3)    Web Segment  Web Segment    CHB Chapters  CHB Chapters    MP4 - Mobile Video Seg  Video Download (MP4)    

Recorded on: Jan. 16, 2014

Taken from the Web Program Secured Transactions 2014: What Lawyers Need to Know About UCC Article 9 Recorded January, 2014 in New YorkA. Default and Enforcement B. Bankruptcy C. How the Uniform Commercial Code Affects Your Business: Applying Articles 1, 8 and 9 to Non-Financing Transactions [01:41:04] A. Default and Enforcement Planning an exit strategy Has there been a default? Collecting deposit accounts Repossession and landlord waivers ...

The SEC Speaks in 2014

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From the program: The SEC Speaks in 2014

Released on: Mar. 8, 2014

The past year has seen significant activity at the Commission as it has continued to engage in a broad range of rulemaking projects and other initiatives to implement the Jumpstart Our Business Startups Act (JOBS Act) and the Dodd-Frank Wall Street Reform and Consumer Protection Act (DFA). For example, the Commission adopted rules to implement provisions of the JOBS Act lifting the ban on general solicitation in certain private offerings and also ...

Advanced Swaps & Other Derivatives 2013 -- Regulation of Swap Market Participants

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From the program: Advanced Swaps & Other Derivatives 2013

Recorded on: Oct. 23, 2013

Taken from the Web Program Advanced Swaps & Other Derivatives 2013 recorded October, 2013 in New York.Lecture Topics  [01:42:08]Regulation of Swap Market Participants  [01:42:08] Aspects of bank regulation Fund issues The role of the NFA Swap dealer and intermediary compliance and examinations Substituted compliance by foreign entities The purchase price of this segment includes the following article from the Course ...

Advanced Swaps & Other Derivatives 2014

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

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 participants ...

Advanced Swaps & Other Derivatives 2015

Seminar  SeminarWebcast  Webcast

Mark Your Calendar.  More Information to Come!

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 ...

Fundamentals of Investment Adviser Regulation 2014

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From the program: Fundamentals of Investment Adviser Regulation 2014

Released on: Jul. 30, 2014

In the aftermath of the financial crisis and the resulting regulatory reform, the SEC has advanced significant rulemaking and enforcement 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.In this ...

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-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 ...

Financial Services Industry Regulatory Compliance & Ethics Forum 2013

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From the program: Financial Services Industry Regulatory Compliance & Ethics Forum 2013

Released on: Nov. 13, 2013

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 ...

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

Treatise  Treatise

Published: July 2014

The U.S. Treasury Departments Financial Crimes Enforcement Network (FINCEN) defines money laundering as “the process of making illegally-gained proceeds appear legal,” through a three-step layering process of “placement, layering and integration.”  First, “illegitimate funds are furtively introduced into the legitimate financial system. Then the money is moved around to create confusion, sometimes by wiring or transferring through numerous accounts. ...

Arbitration Practicum on Product Cases

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Recorded on: Aug. 6, 2013

Taken from the Web Program Securities Arbitration 2013 Recorded August, 2013 in New YorkArbitration Practicum on Product Cases [01:01:19] Statements of Claim Answers List Selection Discovery (including Updates to Discovery Guide re: product cases) Opening and closing statements Brokers’ testimony/role of the Associated Person Experts’ testimony Exhibit books Use of technology The purchase price of this segment includes the following ...

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 -- Fund Anatomy

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From the program: Basics of Mutual Funds and Other Registered Investment Companies 2014

Recorded on: Apr. 24, 2014

Taken from the Web Program Basics of Mutual Funds and Other Registered Investment Companies 2014 recorded April, 2014 in New York.Lecture Topics  [01:17:16]Fund Anatomy  [01:17:16] “Independent Watchdogs”: the critical role of the fund board The difference between open-end and closed-end funds, and why it matters Sponsoring and Managing the Portfolio: the investment adviser The Supporting Cast: other key service ...

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 ...

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

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Recorded on: Oct. 24, 2013

Taken from the Web Program Fundamental of Swaps & Other Derivatives 2013 Recorded October, 2013 in New YorkBilateral OTC Derivatives: Termination, Valuation, Netting, Closeout, Netting Opinions [00:59:33] Netting opinions and jurisdictional considerations Valuation at termination: case law issues; regulated aspects Other issues The purchase price of this segment includes the following article(s) from the Course Handbook available online: ISDA ...

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

Seminar  SeminarWebcast  Webcast

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 Advisory Services 2014: Current Legal and Compliance Issues Facing Dual Registrants

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From the program: Broker-Dealer Advisory Services 2014: Current Legal and Compliance Issues Facing Dual Registrants

Released on: Mar. 5, 2014

Broker-dealers that are dually registered as investment advisers are under intense regulatory scrutiny and are subject to a number of new and evolving regulatory framework. 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 ...

Featured Faculty/Authors
Jan Witold Baran

Jan Witold Baran ~ Wiley Rein LLP

Kenneth A. Gross

Kenneth A. Gross ~ Skadden, Arps, Slate, Meagher & Flom LLP

Chip Nielsen

Chip Nielsen ~ Nielsen Merksamer Parrinello Gross & Leoni LLP