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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

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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 -- Clearing and Trading; End-Users; Margin for Cleared and Uncleared Transactions; Client Money Segregation; Default Management

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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  [01:30:04]Clearing and Trading; End-Users; Margin for Cleared and Uncleared Transactions; Client Money Segregation; Default Management  [01:30:04] Mandatory clearing and trading requirements SEFs and trading facilities, including definitions, exceptions, regulation and registration Margin, segregation, default ...

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 2013

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From the program: Fundamentals of Investment Adviser Regulation 2013

Released on: Jul. 31, 2013

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.In this program, you ...

Advisers to Private Funds

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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

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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. ...

Global Capital Markets & the U.S. Securities Laws 2013: Raising Capital in an Evolving Regulatory Environment

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From the program: Global Capital Markets & the U.S. Securities Laws 2013: Raising Capital in an Evolving Regulatory Environment

Released on: Jun. 19, 2013

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 ...

Anti-Money Laundering (AML)

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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 ...

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 ...

Asset Based Financing Strategies 2013

Handbook  Course Handbook

Course Handbook from the program Asset Based Financing Strategies 2013, held March, 2013.

Background: Mutual Funds and Exchange - Traded Funds

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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 Accounting for Lawyers 2013: What Every Practicing Lawyer Needs to Know -- Regulatory Trends, Fraud, and Other Issues on the Horizon

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From the program: Basics of Accounting for Lawyers 2013: What Every Practicing Lawyer Needs to Know

Recorded on: Jul. 23, 2013

Taken from the Web Program Basics of Accounting for Lawyers 2013: What Every Practicing Lawyer Needs to Know recorded July, 2013 in San Francisco.Lecture Topics  [01:17:05]Regulatory Trends, Fraud, and Other Issues on the Horizon  [01:17:05] Current regulatory enforcement actions Other regulatory or accounting issues that should be on your radar screen The purchase price of this segment includes the following article from the ...

Basics of Mutual Funds and Other Registered Investment Companies 2013 -- Current Trends and Developments

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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  [01:03:27]Current Trends and Developments  [01:03:27] Will ETFs displace mutual funds as the pooled investment vehicle for the retail investor Will hedge funds displace registered funds as the preferred 21st century investment? What other changes are afoot in the mutual fund industry? The ...

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.

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 ...

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 ...

Broker-dealer and Adviser Advertising Developments

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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 ...

Featured Faculty/Authors
George M. Wilson, MBA, CPA

George M. Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI

Mina Park

Mina Park ~ Director, Banking and Capital Markets Origination Legal, Asia Pacific, Citi

Harvey I. Saferstein

Harvey I. Saferstein ~ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.