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Showing 1 - 25 of 116 Results

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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 facing you ...

48th Annual Institute on Securities Regulation

Seminar  SeminarWebcast  Webcast

Mark Your Calendar. More Information to Come!

The SEC Speaks in 2016

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From the program: The SEC Speaks in 2016

Released on: Mar. 1, 2016

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, and Investor Advocate, as well as panel discussions by senior staff at the Divisions of Corporation Finance, Economic ...

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. 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 ...

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 ...

Global Capital Markets & the U.S. Securities Laws 2016

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From the program: Global Capital Markets & the U.S. Securities Laws 2016

Released on: May. 3, 2016

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 ...

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 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 -- Evolving Expectations for Audit Committees, including Audit Committee and Company Communications

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

Recorded on: Jun. 24, 2015

CPE credit (NASBA QAS Self-Study) is available by completing and passing the program’s CPE Review & Exam. Evolving Expectations for Audit Committees, including Audit Committee and Company Communications [01:02:56] This program examines a range of issues related to expanding audit committee reporting, including SEC Concept Release; reacting to shareholder focus on areas like audit firm tenure and engagement partner selection; and Internal ...

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 ...

Basics of Mutual Funds and Other Registered Investment Companies 2016 -- Fund Marketing and Sale of Fund Shares

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

From the program: Basics of Mutual Funds and Other Registered Investment Companies 2016

Recorded on: Apr. 29, 2016

Taken from the Web Program Basics of Mutual Funds and Other Registered Investment Companies 2016 recorded April, 2016 in New York. Fund Marketing and Sale of Fund Shares [01:00:27] 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) How funds are priced: the critical importance of fund valuation Fund advertising  ...

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 Advisory Services 2016: Current Legal and Compliance Issues Facing Dual Registrants

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From the program: Broker-Dealer Advisory Services 2016: Current Legal and Compliance Issues Facing Dual Registrants

Released on: Feb. 28, 2016

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 ...

Broker-Dealer Registration and FINRA Membership

Transcripts  Transcripts    

Recorded on: Jun. 25, 2015

CLIFFORD E. KIRSCH: All right. We are going to get started, and this panel is going to look at registration and FINRA membership. And sort of our thinking in having this panel and following the last panel, once you determine broker-dealer status, once you determine your broker-dealer, you need to register, and you need to become a FINRA member, and you need to maintain that membership and the registration. So there's a lot of important considerations ...

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 ...

Broker/Dealer Regulation and Enforcement 2015

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From the program: Broker/Dealer Regulation and Enforcement 2015

Released on: Nov. 17, 2015

This program will focus on the many significant developments in the regulation and oversight of broker-dealers. New rules are continuously promulgated under the Dodd-Frank Act and have substantial implications for broker-dealers and the industry. At the same time, there is heightened enforcement of the federal securities laws. The SEC Division of Enforcement has established a new task force focused specifically on broker-dealers. FINRA is considering ...

Broker/Dealer Regulation and Enforcement 2016

Seminar  SeminarWebcast  Webcast

Mark Your Calendar. More Information to Come!

CCO/CLO Roundtable

Transcripts  Transcripts    

Recorded on: Oct. 13, 2015

BRIAN RUBIN: Last session, which will last until 5:15. Once again, I'm Brian Rubin, Cliff's partner, and I'll be doing part of the last panel on cyber securities issues. With me is Katie Gordon, who's Director and Associate General Manager at E-Trade supporting investment advisory and brokerage platform, helps manage regulatory investigations. Most recently, she was in the Chief Counsel's Office of the Division of Investment Management at the SEC. ...

Financial Services Industry Regulatory Compliance & Ethics Forum 2015

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From the program: Financial Services Industry Regulatory Compliance & Ethics Forum 2015

Released on: Oct. 19, 2015

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 about the relevant regulatory framework as well as practical considerations regarding the design and implementation of such ...

Co-Investor Issues

Transcripts  Transcripts    

Recorded on: May. 11, 2015

RICHARD GRIME: This is a panel on-- we've called it Co-Investor Issues, because I think rather than just calling it Joint Venture Partners, calling it Private Equity, we want to sort of try and touch on some of the corruption issues that come up when companies choose to co-partner, co-invest with some other entity. And that could be a private investor. It could be another company. It could be a series of companies. It could be potentially a state ...


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