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From the program: Broker-Dealer and Adviser Regulatory Compliance Forum 2012

Released on: Mar. 21, 2012

Audio CD's from the program Broker-Dealer and Adviser Regulatory Compliance Forum 2012, held February, 2012.

From the program: Corporate Governance - A Master Class 2013

Released on: Feb. 27, 2013

Recent developments, including increasingly intense shareholder activism, seemingly shorter investment time horizons, and regulatory developments under the Dodd-Frank Act, have accelerated changes in corporate governance. Many of the changes are fundamental and will have a profound impact on public companies, their directors and management, and the securities markets. Our stellar faculty will discuss what has already occurred as well as what ...

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

Released on: Jul. 10, 2012

In today's uncertain economic, legal and regulatory environment, companies, their executives, and their counsel need to be proactive in identifying risks and remedying potential issues. Knowing how to conduct efficient and effective internal investigations is key to protecting your clients or company.  Using a real-world hypothetical fact pattern throughout the day, expert panels review the many considerations and issues that can and do arise ...

From the program: Securities Arbitration 2012

Released on: Aug. 30, 2012

Audio CD's from the program Securities Arbitration 2012, held August, 2012.