We are proud to present Practising Law Institute’s
Twelfth Annual Institute on Securities Regulation in Europe: Overcoming Deal-Making Challenges in the Current Markets, the most comprehensive securities programme available in Europe. Once again, the
Institute will feature leading practitioners active in U.S. and European corporate law, as well as government regulators, investment bankers and in-house counsel.
This year’s programme will focus on overcoming the challenges presented by the current markets. Completing M&A deals and financings is more difficult than ever given macro-economic and market concerns, but at the same time compelling deals are getting completed and there remain windows of opportunity. The conference will focus on which deals are getting done and why, how best to prepare clients for overcoming the difficult deal environment, and dealing with the risks presented in the current environment. The panelists will discuss arbritrage between the U.S. and Europe, the role of China and the other Asian economies and markets, and other jurisdiction trends. Legislators and regulators continue to make a stand and present challenges to deals, and the conference will discuss strategies for addressing such challenges.
The programme will focus on all aspects of deal-making, and cover policy aspects as well as the practical, including:
- The market response to the current regulatory environment
- The latest accounting and auditing developments and how to ensure the financials do not derail your deal
- Surviving governance problems and investigations
- The view from in-house counsel
- Insider trading, market abuse and other enforcement developments
- Recent developments in capital markets
- The strong bond market and the difficult loan market
- Developments in mergers & acquisitions and private equity
- What every securities lawyer needs to know about ethics
You will have the unique opportunity to hear from top regulators at the U.S. Securities and Exchange Commission and the Financial Services Authority, as well as from prominent in-house counsel from the leading financial institutions in Europe, and private sector attorneys from the top firms.
On Day One, you will hear a
Keynote Address from
Paul Dudek,
Chief, Office of International Corporation Finance, Division of Corporation Finance, U.S. Securities and Exchange Commission.
On Day Two,
David Lawton, Director of Markets, Financial Services Authority, will deliver another Keynote Address.
The
Twelfth Annual Institute on Securities Regulation in Europe is the most important and comprehensive securities conference that you can view in 2013. This conference is crucial for corporate and securities lawyers both in private practice and in-house, CEOs, CFOs, CIOs and others in senior management whose decisions are affected by securities laws, and by cross-border mergers & acquisitions, private equity and shareholder activists.
This conference has the best content and strategies to assist you in making your practice everything it can be in the service of your clients.
Lecture Topics [Total time 11:33:36]
Segments with an asterisk (*) are available only with the purchase of the entire program.
- Welcome and Opening Remarks* [00:11:02]
Philip J. Boeckman, David J. Greenwald, Nilufer Von Bismarck
- Keynote Address [00:30:01]
Paul M. Dudek
- Regulatory Developments & the Market Response [01:10:06]
Michael Kent, Edward F. Greene, Chris Bates, George H. White
- Getting the Numbers Right and Working with Your Auditors [01:28:37]
John (Arch) Archambault, Gregory J. Jonas, Joseph B. Ucuzoglu, John W. White
- Governance and Deal-Making: How to Survive [01:12:09]
Peter Maher, Brad Ockene, Benedict O'halloran, Sean M. Thornton, Diana Billik, Nilufer Von Bismarck
- The View from In-House Councel [01:17:17]
David J. Greenwald, Bradley J. Gans, Erica Handling, Sajid F. Hussein, Karen Linney, Emma Slatter
- Keynote Address* [00:28:46]
David Lawton
- Insider Trading, Market Abuse and Other Enforcement Developments [00:59:43]
David Meister, Elizabeth Barrett, Greg D. Andres
- Developments in Capital Markets [01:11:14]
Daniel Bushner, Laura A. Holleman, John Travis, Sarah Murphy, Cecil D. Quillen III
- Leveraged Finance- Market Update and Key Trends [00:54:31]
Jane Rogers, Nicholas J. Shaw, Dominic Ashcroft, David Ross
- Developments in Mergers & Acquisitions and Private Equity [01:10:33]
Simon Marchant, Charles Martin, Scott V. Simpson, Richard C. Morrissey, Adam O. Emmerich
- What Every Securities Lawyer Needs to Know About Ethics [00:59:37]
Hans-Michael Giesen, Jo Rickard, Robert H. Mundheim
The purchase price of this Web Program includes the following articles from the Course Handbook available online:
- European Regulatory Reform Progress Report--Update
Chris Bates
- "Shadow Banking": A Forward-Looking Framework for Effective Policy
Edward F. Greene
- European Commission: Green Paper--Shadow Banking
Edward F. Greene
- Strengthening the Oversight and Regulation of Shadow Banking: Progress Report to G20 Ministers and Governors
Edward F. Greene
- FSOC Poised to Begin Nonbank SIFI Designations Following Release of Final Rule
Edward F. Greene
- Policy Recommendations for Money Market Funds--Final Report From the OICU-IOSCO
Edward F. Greene
- OTC Derivative Regulation--The Benefits of Clearing
Michael Kent
- EMIR Update--ESMA Publishes Finalised Technical Standards
Michael Kent
- EMIR--ESMA Consultation Paper on Technical Standards
Michael Kent
- EMIR vs Title VII of the Dodd-Frank Act--OTC Derivatives Regulation in the U.S. and Europe: An Ocean Apart or Just Across the Pond?
Michael Kent
- Work Plan for the Consideration of Incorporating International Financial Reporting Standards Into the Financial Reporting System for U.S. Issuers--Final Staff Report from the Office of the Chief Accountant, United States Securities and Exchange Commission
John W. White
- Work Plan for the Consideration of Incorporating International Financial Reporting Standards Into the Financial Reporting System for U.S. Issuers, A Comparison of U.S. GAAP and IFRS, A Securities and Exchange Commission Staff Paper
John W. White
- IAASB: Invitation to Comment--Improving the Auditor's Report
John W. White
- IAASB: Feedback Statement--The Evolving Nature of Financial Reporting: Disclosure and Its Audit Implications
John W. White
- PCAOB: Standing Advisory Group Meeting--Auditor's Reporting Model
John W. White
- PCAOB Release No. 2012-004: Auditing Standard No. 16--Communications with Audit Committees; Related Amendments to PCAOB Standards; and Transitional Amendments to AU Sec. 380
John W. White
- PCAOB--Information for Audit Committees About the PCAOB Inspection Process, Release No. 2012-003
John W. White
- PCAOB Concept Release on Auditor Independence and Audit Firm Rotation, Release No. 2011-006
John W. White
- PCAOB Concept Release on Possible Revisions to PCAOB Standards Related to Reports on Audited Financial Statements and Related Amendments to PCAOB Standards , Release No. 2011-003
John W. White
- Financial Reporting Council--Effective Company Stewardship--Enhancing Corporate Reporting and Audit
John W. White
- Financial Reporting Council--Effective Company Stewardship Next Steps
John W. White
- European Commission--Proposal for a Regulation of the European Parliament and of the Council on Specific Requirements Regarding Statutory Audit of Public-Interest Entities
John W. White
- European Commission--Reforming the Audit Market--Frequently Asked Questions
John W. White
- FASB Codification
John W. White
- Heads Up--Announcing. . .Auditor Evaluation Tool for Audit Committees
Joseph B. Ucuzoglu
- Heads Up--PCAOB Approves Auditing Standard on Communications with Audit Committees
Joseph B. Ucuzoglu
- Heads Up--Information for Audit Committees About the PCAOB Inspection Process
Consuelo Hitchcock, Joseph B. Ucuzoglu
- Heads Up--Still No Decision--SEC Issues Final Report on Incorporation of IFRSs
Joseph B. Ucuzoglu
- Mabey & Johnson--Dividends at Risk of Civil Recovery? Maybe Not
Nilufer von Bismarck
- Complying with Bribery Laws in Key European Jurisdictions
Nilufer von Bismarck
- The Bribery Act 2010--Revised SFO Policies on Facilitation Payments, Business Expenditure and Corporate Self-Reporting, Change of Tone or Change of Tack?
Nilufer von Bismarck
- Who's Bribing Whom?--Do You Know, and Should You Care, What Your Suppliers Are up to?
Nilufer von Bismarck
- The Bribery Act 2010: The Next Chapter
Nilufer von Bismarck
- The UK's Bribery Act 2010--What Next?
Nilufer von Bismarck
- The Bribery Act 2010--Guidance and Countdown to Commencement on 1 July 2011
Nilufer von Bismarck
- The Bribery Act 2010: The New Corporate Offence of Failing to Prevent Bribery
Nilufer von Bismarck
- "Another Sherry, Vicar?"--A Practical Guide to the Bribery Act 2010
Nilufer von Bismarck
- Deferred Prosecution Agreements: A Missed Opportunity
Diana Billik
- Bribery Act 2010: SFO's Revised Statements of Policy
Diana Billik
- FSA Thematic Review into Anti-Bribery and Corruption Systems and Controls
Diana Billik
- SFO Settles with Shareholder of Convicted Company
Diana Billik
- Managing Integrity and Corruption Risks When Investing in Emerging Markets
Peter Maher
- Iran, Non-U.S. Banks, and Secondary Sanctions: Understanding the Trends
Sean M. Thornton
- Iran-Related OFAC Settlement May Have Broader Impact on Future Investments
Sean M. Thornton
- New Rules for UK Mortgage Lending
David J. Greenwald
- Financial Services Daily News
David J. Greenwald
- Latest Regulatory Developments Affecting the European Structured Finance Market: Regulation Continues to Challenge the Recovery of the Securitisation Market
David J. Greenwald
- Independent Commission on Banking Report
David J. Greenwald
- A New Approach to Financial Regulation: The Blueprint for Reform
David J. Greenwald
- SEC Enforcement Developments 2012
John W. Banes
- DOJ and SEC Issue FCPA Guidance
John W. Banes
- Extractive Industries New Disclosure Requirements: SEC Requires Disclosure of Government Payments by Extractive Companies; The EU Proposes Similar Requirements Extending Also to Logging and Potentially Other Sectors
Sarah Murphy
- Changes to the Prospectus Regime from 1 July 2012--Investor "Walkaway Rights" for Prospectus Supplements for Exempt Offers
Sarah Murphy
- ESMA Consults on Disclosure Requirements for Convertible and Exchangeable Bonds--Key Implications for Capital Markets Practitioners
Sarah Murphy
- Changes to the Prospectus Regime from 1 July 2012--Key Implications for Equity Capital Markets Practitioners
Sarah Murphy
- Changes to the Prospectus Regime from 1 July 2012--Key Implications for Debt Capital Markets Practitioners
Sarah Murphy
- Two Recent Cases Test Legality of Consent Payments and Exit Consents Under English Law
Daniel Bushner
- The U.S. Jobs Act: Implications for Non-US Companies
Daniel Bushner
- Business Law Today Article on the Jobs Act for Foreigners: Are Foreigners Interested?
Daniel Bushner
- US Style: Home Country Rules: The Financial Crisis Had Started When the Revamp of Rule 12g3-2(b) Was Finalised. How Has the Market Responded?
Daniel Bushner
- Debt Repurchases and Amendments: U.S. Securities Law Considerations
Cecil D. Quillen III
- Pre-IPO Investments: Frequently Asked Questions
Cecil D. Quillen III
- Leveraged Finance--Market Developments
Nicholas J. Shaw, Jane Rogers
- Martin Marietta Materials, Inc. v. Vulcan Materials Company: Delaware Chancery Court Enjoins Hostile Bid That Used Confidential Information in Breach of Confidentiality Agreements
Richard C. Morrissey
- In Re Micromet, Inc. Shareholders Litigation: Delaware Chancery Court Reaffirms Revlon Duties Related to Pre-Signing Market Checks and Parameters of Fiduciary Duty of Disclosure
Richard C. Morrissey
- Bank Mergers & Acquisitions: Federal Reserve Board's Approval of Capital One's Acquisition of ING Direct Discusses Financial Stability Factor
Richard C. Morrissey
- Bank Mergers & Acquisitions: Federal Reserve Details New Financial Stability Analysis in Approving PNC's Acquisition of RBC Bank (USA)
Richard C. Morrissey
- The Kay Review of UK Equity Markets and Long Term Decision Making
Charles Martin
- Sponsors Working with the New Takeover Code Rules
Charles Martin
- Overview of EU Short Selling Regulation (Regulation (EU) 236/2012)
Charles Martin
- Hart-Scott-Rodino Antitrust Improvements Act of 1976, As Amended (And Competition Filings in Other Jurisdictions) Summary Outline
David A. Katz
- Takeover and Activist Response Checklist and Dealing with Activist Hedge Funds
David A. Katz
- Takeover Law and Practice
David A. Katz
- Hypotheticals
Robert H. Mundheim
- Excerpts From Model Rules of Professional Conduct
Robert H. Mundheim
- Excerpts from Solicitors Regulation Authority
Robert H. Mundheim
- Excerpts from German Professional Rules
Robert H. Mundheim
- Supporting Materials for Hypothetical I--Reporting Up
Robert H. Mundheim
- Supporting Materials for Hypothetical II--Multijurisdictional Conflicts
Robert H. Mundheim
- Supporting Materials for Hypothetical III--Conflicts
Robert H. Mundheim
- Supporting Materials for Hypothetical IV--Investigations
Robert H. Mundheim
Presentation Material
- Regulatory Developments & the Market Response
Edward F. Greene
- Getting the Numbers Right and Working with Your Auditors
- Governance and Deal-Making: How to Survive
Peter Maher
- Governance and Deal-Making: How to Survive
- Keynote Address
David Lawton
- Developments in Capital Markets
- Developments in Mergers & Acquisitions and Private Equity
David A. Katz, Simon Marchant, Charles Martin, Scott V. Simpson, Richard C. Morrissey
- What Every Securities Lawyer Needs to Know About Ethics
Robert H. Mundheim
Co-Chair(s)
Moderator(s)
Robert H. Mundheim ~ Professor of Corporate Law and Finance, University of Arizona Law School, Shearman & Sterling LLP
Speaker(s)
Paul M. Dudek ~ Chief, Office of International Corporate Finance, Division of Corporation Finance, U.S. Securities and Exchange Commission
Laura A. Holleman ~ Managing Director & General Counsel - Investment Banking Division, Goldman Sachs International
Gregory J. Jonas ~ Director of the Office of Research and Analysis, Public Company Accounting Oversight Board
Karen Linney ~ Managing Director & EMEA General Councel, JP Morgan
David Meister ~ Director of Enforcement, U.S. Commodity Futures Trading Commission
Emma Slatter ~ General Counsel, U.K. and Western Europe, Deutsche Bank AG
Joseph B. Ucuzoglu ~ National Managing Partner, Regulatory and Public Policy, Deloitte LLP
PLI makes every effort to accredit its On-Demand Web Programs and Segments. Please check the CLE Calculator above for CLE information specific to your state.
On-Demand Web Programs and Segments are approved in:
Alabama1, Alaska, California, Colorado, Delaware, Florida, Georgia, Hawaii, Idaho*, Illinois , Iowa2*, Kansas, Kentucky*, Louisiana, Maine*, Mississippi, Missouri3, Montana, Nebraska, Nevada, New Hampshire4, New Jersey, New Mexico5, New York6, North Carolina7, North Dakota, Ohio8, Oklahoma9, Oregon*, Pennsylvania10, Rhode Island11, South Carolina, Tennessee12, Texas, Utah, Vermont, Virginia13, Washington, West Virginia, Wisconsin14 and Wyoming*.
Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.
Minnesota approves live webcasts ONLY
Please Note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. PLI programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.
*PLI will apply for credit upon request. Louisiana and New Hampshire: PLI will apply for credit upon request for audio-only on-demand web programs.
1Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.
2Iowa: The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.
3Missouri: On-demand web programs are restricted to six hours of self-study credit per year. Self-study may not be used to satisfy the ethics requirements. Self-study can not be used for carryover credit.
4New Hamphsire: The approval is for three years from recorded date.
5New Mexico: On-Demand web programs are restricted to 4.0 self-study credits per year.
6New York: Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats.
7North Carolina: A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs.
8Ohio: To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us. Online programs are considered self-study. Ohio attorneys have a 6 credit self-study limit per compliance period. The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.
9Oklahoma: Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.
10Pennsylvania: PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.
11Rhode Island: Audio Only On-Demand Web Programs are not approved for credit. On-Demand Web Programs must have an audio and video component.
12Tennessee: The approval is for the calendar year in which the live program was presented.
13Virginia: All distance learning courses are to be done in an educational setting, free from distractions.
14Wisconsin: Ethics credit is not allowed. The ethics portion of the program will be approved for general credit. There is a 10 credit limit for on-demand web programs during every 2-year reporting period. Does not approve of Audio-only On-Demand Webcasts.
Running time and CLE credit hours are not necessarily the same. Please be aware that many states do not permit credit for luncheon and keynote speakers.
If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.
Note that some states limit the number of credit hours attorneys may claim for online CLE activities, and state rules vary with regard to whether online CLE activities qualify for participatory or self-study credits. For more information, call Customer Service (800) 260-4PLI (4754) or e-mail info@pli.edu.