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Litigation

Securities

From the program: Fundamentals of Mutual Funds and Exchange-Traded Funds 2012

Recorded on: Jun. 11, 2012

Taken from the Web Program Fundamentals of Mutual Funds and Exchange-Traded Funds 2012 recorded June, 2012 in New York. Lecture Topics  [01:00:11] Litigation Involving Mutual Funds  [01:00:11] Private rights of action under the Investment Company Act Excessive fee cases The mutual fund as plaintiff The purchase price of this segment includes the following article from the Course Handbook available online:  ...

From the program: Delaware Law Developments 2012: What All Business Lawyers Need to Know

Recorded on: Jun. 18, 2012

Taken from the Web Program Delaware Law Developments 2012: What All Business Lawyers Need to Know Recorded June 2012 in New York City Lecture Topics He Did What?! He Said What?! Ethical Issues in Representing Representative Clients [01:00:08] This panel will discuss the challenges counsel face when representing or opposing representative clients - What are the ethical obligations of counsel when they learn facts that may undermine ...

From the program: Internal Investigations 2012: How to Protect Your Clients or Companies in the Global, Post-Dodd Frank World

Recorded on: Jun. 28, 2012

Taken from the Web Program Internal Investigations 2012: How to Protect Your Clients or Companies in the Global, Post-Dodd Frank World recorded June, 2012 in New York. Lecture Topics  [01:27:26] Commencing the Investigation: Considerations at the Outset  [01:27:26] How do you deal with allegations by someone who may be a whistleblower? When is an investigation warranted? Who should oversee the investigation? Who ...

From the program: White Collar Crime 2012: Prosecutors and Regulators Speak

Recorded on: Oct. 3, 2012

Taken from the Web Program White Collar Crime 2012: Prosecutors and Regulators Speak recorded October, 2012 in New York. Lecture Topics  [01:15:59] Trial Tactics  [01:15:59] In the current post-financial crisis climate, do white collar defendants stand a chance? How do pre-trial strategies in motion practice, discovery, and parallel proceedings impact trial success? What sorts of courtroom tactics have been particularly ...

From the program: Advanced Swaps & Other Derivatives 2012

Recorded on: Oct. 22, 2012

Taken from the Web Program Advanced Swaps & Other Derivatives 2012 recorded October, 2012 in New York. Lecture Topics  [00:33:18] Enforcement, Litigation & Insolvency and Resolution Authority: Netting Opinions; Safe Harbors; Orderly Liquidation Part 1  [00:33:18] Review of recent cases of interest to the OTC derivatives market, including flip clauses, multilateral netting, and more Fraud prosecutions (synthetic ...

From the program: Securities Regulation Institute 2012 (44th Annual)

Recorded on: Nov. 13, 2012

Taken from the Web Program Securities Regulation Institute 2012 (44th Annual) recorded November, 2012 in New York. Lecture Topics  [01:00:38] Ethics: Dealing with Whistleblowers and Investigations  [01:00:38] Mutiny for the bounty Impact on internal compliance programs What is impermissible retaliation? How is the SEC's program working? Lawyers as bounty hunters Who is the client/representing multiple ...

From the program: Understanding the Securities Laws 2012

Recorded on: Dec. 17, 2012

Taken from the Web Program Understanding the Securities Laws 2012 recorded December, 2012 in New York. Lecture Topics  [01:27:15] Liability for Securities Law Violations  [01:27:15] Securities Act - Sections 11, 12, 15 and 17 - Effect of the JOBS Act - Indemnification and contribution Exchange Act - Section 10 and Rule 10b-5 - Insider trading and selective disclosure “Controlling person” ...

From the program: The SEC Speaks in 2013

Recorded on: Feb. 25, 2013

Taken from the Web Program The SEC Speaks in 2013 recorded February, 2013 in Washington, D.C. Lecture Topics  [01:01:12] Judicial and Legislative Developments  [01:01:12] Aiding and abetting the violation of antifraud provisions Brokerage firm liability for sales representatives’ misrepresentations Insider trading liability Statute of limitations for civil penalties Court approval of consent judgments ...

From the program: Enforcement 2013: Perspectives from Government Agencies

Recorded on: Apr. 29, 2013

Taken from the Web Program Enforcement 2013: Perspectives from Government Agencies recorded April, 2013 in New York.Lecture Topics  [00:59:26]Legal Issues in the Courts: The Year in Review  [00:59:26]The purchase price of this segment includes the following article from the Course Handbook available online: What More Can be Done to Deter Violations of the Federal Securities Laws?, Texas Law Review, Vol. 90, pp. 1849–1889 (2012)David ...

From the program: Handling a Securities Case 2013: From Investigation to Trial and Everything in Between

Recorded on: May. 1, 2013

Taken from the Web Program Handling a Securities Case 2013: From Investigation to Trial and Everything in Between recorded April, 2013 in New York.Lecture Topics  [01:05:12]Commencement of a Civil Action: Filing the Complaint, Preparing the Motion to Dismiss, Coordinating Multiple Actions  [01:05:12] The plaintiffs’ perspective: investigating the claim and filing the complaint The defendants’ perspective: analyzing the potential motion ...