On-Demand Learning

Professional Practice

Corporate & Securities

Enforcement

From the program: The SEC Speaks in 2013

Released on: Mar. 9, 2013

Over the past year, the Commission has been engaged in a broad range of rulemaking projects and other initiatives to implement the newly-enacted Jumpstart Our Business Startups Act and the Dodd-Frank Wall Street Reform and Consumer Protection Act.  The Commission has been working to implement the provisions of the JOBS Act, including with regard to the use of general solicitation and general advertising in certain private offerings, new exemptions ...

From the program: Advanced Swaps & Other Derivatives 2012

Recorded on: Oct. 19, 2012

Taken from the Web Program Advanced Swaps & Other Derivatives 2012 recorded October, 2012 in New York. Lecture Topics  [01:27:28] Clearing and Trading; Grandfathering; End-Users; Marin Posting for Cleared and Uncleared Transactions; Client Money Segregation; Loss Mutualization  [01:27:28] Mandatory clearing and trading requirements SEFs and trading facilities, including definitions, exceptions, regulation and registration  ...

Recorded on: Jun. 13, 2012

Taken from the briefing Antitrust Enforcement in the Health Care Industry: Current FTC and DOJ Activities recorded June 2012. With health care costs seemingly spiraling out of control, federal antitrust regulators have turned a watchful eye to the health care industry.  The FTC and DOJ have made it clear that they will aggressively challenge both new transactions and established practices they believe threaten competition.  ...

From the program: Asset Based Financing Strategies 2013

Recorded on: Mar. 18, 2013

Taken from the Web Program Asset Based Financing Strategies 2013 recorded March, 2013 in New York. Lecture Topics  [00:59:58] Priority and Enforcement Issues  [00:59:58] Accounting for non-UCC liens and statutory trusts Commonly negotiated issues in subordination and intercreditor agreements Minimizing “lender liability” risks in exercising UCC remedies The purchase price of this segment includes ...

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 ...

From the program: Broker-Dealer and Adviser Regulatory Compliance Forum 2013

Released on: Mar. 6, 2013

Brokerage and advisory firms' compliance programs 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 regulatory initiatives and recent examination ...

From the program: Broker/Dealer Regulation and Enforcement 2012

Released on: Nov. 7, 2012

More than three years since the financial crisis erupted, there continues to be heightened regulation and enforcement of the securities laws - by the DOJ, SEC, CFTC, states and SRO’s.  A number of significant rules have been promulgated in the last year to implement various provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted in 2010, while other rules have been proposed but not yet finalized.  The Dodd-Frank ...

Recorded on: Nov. 26, 2012

Taken from the Web Program 45th Annual Immigration & Naturalization Institute Recorded November, 2012 in New York Challenges for Families Coming to the United States [01:00:24] Backlogs and timing Child Status Protection Act, and K visa options: are these sufficient relief valves? The “DREAM Act” executive order - progress to date Affidavit of Support issues Conditional residency and its removal The ...

Recorded on: May. 24, 2012

Taken from the briefing Civil Enforcement Cases: Emerging Trends and Issues in the Wake of the Financial Crisis recorded May 2012. In recent years, many practitioners have anticipated criminal prosecutions related to the Financial Crisis.  Often overlooked, however, are the significant civil enforcement actions that have been brought in this area.   Lecture Topics  [Total Time: 01:06:42] Discovery tools available ...

Recorded on: Apr. 12, 2013

Taken from the Web Program How to Prepare an Initial Public Offering 2013 Recorded April, 2013 in New YorkCommunications During Registration and the SEC's Role in the IPO Process [01:04:35] What communications are permitted during the registration process? “Testing the waters” under the JOBS Act Nuts and bolts of the SEC review process How to maximize effective interactions with the SEC The purchase price of this segment includes the following ...

From the program: Corporate Governance - A Master Class 2012

Released on: Mar. 14, 2012

Audio CD's from the program Corporate Governance - A Master Class 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 ...

Recorded on: Oct. 22, 2012

Taken from the Web Program Fundamentals of Swaps & Other Derivatives 2012 Recorded October, 2012 in New York Derivatives Documentation -- Overview of the ISDA Architecture; Masters, Schedules, Confirms, CSAs and collateralization; Execution and Account Agreements [01:25:55] Master and schedule Confirms and CSAs Bridges and protocols Clearing documentation The purchase price of this segment includes the following article(s) ...

Recorded on: Dec. 7, 2012

Taken from the Web Program New Developments in Securitization Recorded November, 2012 in New York Derivatives Regulation and its Impact on Securitization [01:05:32] Overview of derivatives reforms under Dodd-Frank Clearing and margining Registration and reporting Loss of swap leverage Grandfathering The purchase price of this segment includes the following article(s) from the Course Handbook available online:  ...

From the program: Institute on Securities Regulation in Europe (Twelfth Annual): Overcoming Deal-Making Challenges in the Current Markets

Released on: Feb. 15, 2013

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 ...

Recorded on: May. 9, 2012

Taken from the Web Program The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2012 Recorded May, 2012 in New York Difficult and Unresolved Questions Under the FCPA [01:16:42] Who is a foreign official? Jurisdictional limits on the FCPA’s reach? What does “knowledge” really mean? What exactly is an "instrumentality"; Is it different from a “public enterprise”  ...

Recorded on: Dec. 18, 2012

Taken from the Web Program Understanding the Securities Laws 2012 Recorded December, 2012 in New York Disclosure Basics [01:01:41] The duty to disclose Materiality - Contingent events - SAB 99 Regulation FD and dealing with analysts Stock exchange disclosure requirements Rumors and leaks Loss contingencies Projections/safe harbor for forward-looking statements Disclosure on the Internet/company ...

From the program: Enforcement 2012: Multi-Agency Enforcement Efforts

Released on: May. 30, 2012

DVD's from the program Enforcement 2012: Multi-Agency Enforcement Efforts, held April, 2012.

From the program: Enforcement 2013: Perspectives from Government Agencies

Released on: May. 10, 2013

We continue to see unprecedented changes in our economic, business and regulatory regimes in general, and in enforcement efforts in particular. This unique program brings together panels of senior staff from the various enforcement and regulatory agencies, including the U.S. Commodity Futures Trading Commission, FINRA, U.S. Securities and Exchange Commission, U.S. Attorney’s Office, U.S. Department of the Treasury, U.S. Department of Justice, Federal ...

Recorded on: Apr. 30, 2013

Taken from the Web Program First Annual Institute on Corporate & Securities Law in Hong Kong 2013 Recorded April, 2013 in Hong KongEnforcement Issues Today [01:03:37] Current U.S. enforcement efforts Current Hong Kong enforcement efforts Current U.K. enforcement efforts and U.K. Bribery Act update FCPA enforcement practices Impact of OFAC on doing business in Asia Insider trading: U.S., U.K. and Hong Kong The purchase price of this ...

Recorded on: Nov. 15, 2012

Taken from the Web Program 44th Annual Institute on Securities Regulation Recorded November, 2012 in New York Enforcement Roundtable [01:33:43] Financial crisis cases - the SEC/DOJ keep charging ahead Hedge funds and private equity - the SEC/DOJ are looking - what are they finding? Insider trading - something old or something new? The crowded enforcement landscape - the SEC/DOJ are joined by international regulators, the courts ...

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 Exchange-Traded Funds [01:00:26] Overview of market Different types of exchange-traded products Investment Company Act: Regulatory issues The purchase price of this segment includes the following article(s) from the Course Handbook available online: Introduction to Exchange-Traded Funds James C. ...

From the program: Whistleblowers and the False Claims Act 2012: What You Need to Know

Released on: Nov. 28, 2012

Companies doing business with all levels of government face increasing exposure under federal and state False Claims Acts (FCAs).  Company whistleblowers are filing record numbers of new FCA cases, and the U.S. Department of Justice and state Attorney Generals are ramping-up fraud investigations and prosecutions nationwide.  Taught by a panel of experienced FCA practitioners including prosecutors, whistleblowers' counsel, defense counsel ...

From the program: The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2013

Released on: May. 17, 2013

Enforcement under the Foreign Corrupt Practices Act (“FCPA”) continues as a critical priority for both the DOJ and the SEC. 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 number of countries, as well as international organizations, are ramping up anti-corruption enforcement ...

From the program: Fundamentals of Broker-Dealer Regulation 2012

Released on: Jul. 9, 2012

Major changes in broker-dealer regulation and the industry have come about as a result of the financial services crisis and the resulting regulatory reform.  At the same time, FINRA continues to overhaul its rulebook as part of its Rulebook Consolidation process.  This program will provide you with a solid foundation in the regulatory regime applying to broker-dealers, including what to expect next regarding broker-dealer regulation.  Learn ...