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This Year

Corporate & Securities

Compliance

From the program: Advanced Compliance and Ethics Workshop 2012

Released on: Jan. 10, 2013

DVD's from the program Advanced Compliance and Ethics Workshop 2012, held October, 2012.

Recorded on: Feb. 4, 2013

Taken from the briefing Affordable Care Act: Compliance Program Considerations for Health Care Providersrecorded February, 2013. Compliance efforts are heating up under the Affordable Care Act (ACA).  Enforcement activities at both the state and federal level are on the rise making compliance programs and plans for the health care industry a must.  Under the ACA, mandatory plans will be required for certain providers by March 23, ...

From the program: Antitrust Institute 2013: Developments & Hot Topics

Released on: May. 21, 2013

From mergers and acquisitions to enforcement priorities, resale price maintenance to international competition, you can be certain to hear about all of the developments in antitrust law at this program led by top experts in the field.  Hear from leading antitrust practitioners, senior government officials, and state regulators about how to manage all of the challenges new developments might throw your way.  Whether you are a seasoned antitrust ...

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: 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: Hedge Fund Compliance & Regulation 2013

Released on: Feb. 12, 2013

Nearly one-third of the investment advisers that registered with the Securities and Exchange Commission as a result of the Dodd-Frank Act manage private funds.  As a result, the SEC’s examination staff has developed new strategies and processes to address the risks presented by hedge funds and other private funds.  In this program, three distinguished panels of experts will discuss the regulatory and compliance challenges facing ...

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 ...

Recorded on: Feb. 20, 2013

ALAN L. BELLER: Now for what I always think of as the most exciting subject of the day, which is why we do it immediately after lunch, which is auditing and accounting, continuing evolution in auditing and accounting. And the group that's up her to help us to go through our agenda is on my immediate right, Jack Ciesielski, who is the owner of RG Associates, which is an investment research and portfolio management firm in Baltimore. And Jack is the ...

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: Jan. 28, 2013

Taken from the Web Program Securities Products of Insurance Companies in the Course of Regulatory Reform 2013 Recorded January, 2013 in New York Conversations with the SEC Staff [01:32:05] The SEC agenda for insurance products Staff standards for filings of product changes Core IA and IC inspection issues SRO or SEC for investment advisers The purchase price of this segment includes the following article(s) from the Course ...

Released on: May. 30, 2013

Taken from the briefing Crisis Management - A View from Inside and Outside the U.S. recorded May, 2013.Crises are unpredictable but not unmanageable. In recent years, we've seen numerous corporate crises in the headlines, some of which have caused significant damage to companies, and highlighted the critical role of the general counsel as crisis manager. Although a corporate crisis can be a turning point for any company, it does not need to end badly. ...

Recorded on: Mar. 19, 2013

Taken from the briefing Defending Corporations and Executives in Congressional Investigations 2013 recorded March, 2013.Congressional investigations, in which corporate executives are called to account by Congress in televised hearings, have long been a fixture of American politics. And they often exact a steep price for individual corporate executives and the companies they represent. Yet few corporations are as prepared to handle congressional ...

Recorded on: Jan. 14, 2013

ROBERT S. RISOLEO: Hello everyone. Welcome back from lunch. We're entering the home stretch. This afternoon, the next two hours-- well, with a break in-between-- we will spend talking about derivatives. There have been, as you've heard some information about, you'll hear a lot more. There have been a lot of changes to the regulation of derivatives in the past year. And our panel will ably discuss those issues, and some others, as well. Rebecca Simmons ...

From the program: Understanding Financial Products 2013

Released on: Jan. 22, 2013

The explosion of new financial products over the past decade, the implosion of the credit markets and the resulting significant new regulatory requirements underline the importance of a basic understanding of financial products. While these instruments have been, in the view of many, invaluable investment tools, and have presented enormous potential for product manufacturers and investors, they also create potentially significant legal risks and challenges ...

Recorded on: Feb. 26, 2013

Taken from the briefing Doing Business in Russia recorded February, 2013. As one of the world’s most important and growing economies, Russia continues to be a significant destination for global investment. Russia is a country rich in natural resources that has a highly-skilled and well-educated work force. Over the past decade, the Russian economy has demonstrated growth at rates exceeding most developed countries, doubling disposable ...

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 ...

Released on: May. 6, 2013

Taken from the briefing Financial Firms as ERISA Plan Sponsors - The When, What and How of the QPAM Audit Requirement recorded April, 2013.Starting in 2012 when a Department of Labor amendment of the Qualified Professional Asset Manager (“QPAM”) prohibited transaction class exemption became effective, a new requirement was imposed on financial firms when managing assets of ERISA plans they maintain for their own employees. These firms now must undergo ...

From the program: First Annual Institute on Corporate & Securities Law in Hong Kong 2013

Recorded on: Apr. 22, 2013

Taken from the Web Program First Annual Institute on Corporate & Securities Law in Hong Kong 2013 recorded April, 2013 in Hong Kong.Lecture Topics  [01:04:35]Hong Kong Capital Markets  [01:04:35] Hong Kong sponsor regime and proposed changes Making secondary listings easier Hong Kong plans for prospectus simplification Making Hong Kong the home for RMB bonds Market disclosure practices “in practice” The purchase price of ...

Released on: Jan. 4, 2013

Taken from the briefing FCPA Due Diligence in Cross-Border Transactions recorded December, 2012. On November 14, 2012, the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) released their much-anticipated Resource Guide to the Foreign Corrupt Practices Act, a self-described “unprecedented undertaking … to provide the public with detailed information about our FCPA enforcement approach and priorities.”  ...

Recorded on: Jan. 4, 2013

AMY TAUB: Thank you. Greetings. My name is Amy Taub, and I am a Program Attorney with PLI. I would like to welcome you to today's briefing, First Read-- DOJ/SEC's Resource Guide to the Foreign Corrupt Practices Act. Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to materials for this briefing ...

Recorded on: Feb. 22, 2013

Taken from the briefing Health Care Reform: An Employer's Essential Guide recorded February, 2013. Guidance on health care reform is coming in fast and from all angles.  The departments of Health and Human Services, Treasury and Labor have recently been releasing proposed rules in droves, with much more to come on the horizon.  Employers must already contend with several of the new rules, and other looming requirements will ...

Recorded on: Mar. 7, 2013

AMY TAUB: Thank you. Hello, my Name is Amy Taub. And I'm a program attorney with PLI. I would like to welcome you to today's briefing, Health Care Reform, an Employer's Essential Guide. Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to materials for this briefing via the course handbook tab ...

Recorded on: Apr. 5, 2013

Taken from the briefing High-Stakes Corporate Compliance: Reducing Risk and Managing Potential Sanctionsrecorded April, 2013.The past few years have seen significant increases in compliance-related investigations, suspensions and debarments, and other actions by government agencies, regulators, and law enforcement. Many government enforcement actions focus on perceived weaknesses in corporate ethical culture, and require the appointment of independent ...

From the program: Investment Management Institute 2013

Recorded on: Mar. 15, 2013

Taken from the Web Program Investment Management Institute 2013 recorded March, 2013 in New York. Lecture Topics  [01:03:17] Compliance and Inspections  [01:03:17] Addressing key adviser and fund compliance issues Preparing for SEC exams Dealing with whistleblower claims The purchase price of this segment includes the following article from the Course Handbook available online: Examinations by the ...

Recorded on: Feb. 20, 2013

ALAN L. BELLER: --which is, is the "new look" compensation committee the same as the "old look" compensation committee? I think the answer to that is no. Though I would note that Floyd left you with the thought that maybe the "New Look" compensation Committee is producing the same results as the "Old Look" compensation Committee. But we can, maybe, talk about that. I want to introduce our three distinguished ...