On-Demand Learning

Corporate & Securities

Compliance

Recorded on: Nov. 12, 2012

Taken from the Web Program Ethics and Law Department Management 2012: A View From the Inside Recorded November, 2012 in New York Best Practices and Ethical Considerations in Corporate Compliance (Part 1) [02:07:39] Using a hypothetical, we will walk you through the various steps and ethical issues that arise when setting up your multinational corporation’s legal department and compliance office, and upon learning of a potential crisis.    ...

Recorded on: Jun. 20, 2011

REBECCA WALKER: Attention But we do have a lot to cover today. We're going to go onto the next panel which is going to talk about Board oversight and program structure. And joining me on this panel is Kathryn Reimann, the Managing Director and Chief Compliance officer of Citibank and Citi Holdings. And before her position at Citibank-- and, I think, when I first met Kathryn-- she was the Chief Compliance Officer at American Express, so a nice, long ...

Recorded on: Jun. 4, 2012

REBECCA WALKER: So we're going to start now with the next session. This afternoon we're going to cover program structure and board oversight, auditing and assessment of the program, and then do a recent developments, hot topics, and a section on reporting procedures. So a lot to cover, but as I said, we have one hour, and then we're going to have a short break, and then we'll go to the last two panels of the day. Program structure, reporting procedures, ...

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

Released on: Apr. 4, 2012

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

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 ...

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 ...

Recorded on: Jun. 6, 2012

ERIC SLOAN: ALL right, we're going to get started again. Hopefully everyone has coffee because, you know, at around 3 o'clock is when the caffeine is really needed. But we have a great panel today to keep you awake and interested. So we're going to focus on capital structure considerations in financing. And to do that we have another great panel. To my immediate right is Bill Brentani. Bill is a partner at Simpson Thatcher & Bartlett in Palo ...

Recorded on: Jun. 6, 2011

ERIC B. SLOAN: All right. For-- I can't tell what this screen is telling me to do, but I think we're live. For our next panel, as some have said before, we couldn't be more fortunate to have our two speakers. Immediately to my right is Lew Steinberg. Lew is the managing director and head of strategic advisory in the investment banking department of Credit Suisse, which is an international investment bank. And I should say now, for Lew's benefit, that ...

Recorded on: Oct. 12, 2011

OK. Well, welcome back everybody. Good afternoon. I know at times the after lunch sessions are sometimes difficult to battle through, but hopefully everyone had a nice opportunity to grab a sandwich. And as previewed from this morning, we're going to move into capital structure and really introduce some of the different ways capital structure comes to be, an overview of that, key drivers, common corporate transactions, and really get a little more ...

Recorded on: Sep. 11, 2012

Taken from the briefing Catching Up on Clawbacks recorded September, 2012. Since the introduction of compensation recovery (“clawback”) requirements in the Sarbanes-Oxley Act of 2002, corporate America has been moving inexorably towards mandatory clawback policies. Not only have institutional investors and their advisors promoted the adoption of these policies, the recent spotlight on managing compensation-related risk ...

From the program: Cloud Computing 2012: Cut Through the Fluff & Tackle the Critical Stuff

Released on: Jun. 25, 2012

Corporations, government organizations and millions of consumers are shifting massive quantities of data and their software applications to cloud computing facilities.  Cloud computing uses the Internet to give every size organization access to large, dynamically scalable resources (data storage, software applications and computing power).  “The Cloud” allows users, at all levels, to avoid large capital outlays for hardware and ...

Recorded on: Jun. 29, 2011

STEVEN R. PEIKIN: Thanks Nancy. We have an embarrassingly well qualified group of panelists this morning. Let me briefly introduce them. To my far right is Tom Hanusik, who is partner in Crowell & Moring's White Collar and Regulatory Enforcement Group, where he focuses on defending companies and individuals in white collar investigations, SEC enforcement matters, and at trial. Tom has prior government experience as Assistant Chief in the Fraud ...

Recorded on: Jun. 22, 2010

I'll start first with Martine Beaman, who's to my right. Martine is a litigation partner Davis Polk. She concentrates her practice and white color criminal defense, and securities and regulatory enforcement. She's a former Assistant U.S. Attorney in the Southern District of New York, and has handled a number of internal investigations on behalf of major professional services firms, financial institutions and other large companies. To her right ...

Recorded on: Jun. 28, 2012

STEVEN R. PEIKEN: Thanks, Rich. Sounds like my mom wrote that introduction. We have a great group of panelists, and let me introduce them to you briefly before we jump into this. So seated immediately to my right is David Anders, who's a partner at Wachtell, Lipton, Rosen & Katz, where his practice focuses on the representation of Fortune 500 and other companies in white collar criminal and related investigations. Before joining Wachtell, Lipton, ...

Recorded on: Sep. 13, 2012

SPEAKER 1: We're going to have the next panel. We don't have a hard break, so I'm just going to have the next panel come up. And this is compensation committees. And our panelists are Charles Nathan-- Chuck, he is a member of the corporate department in Latham and Watkins' New York office, and is global co-chair of the firm's mergers and acquisition group. His practice focuses on mergers and acquisitions, corporate counseling, and corporate governance. Seated ...

Recorded on: Jun. 4, 2012

REBECCA WALKER: Your ethics and compliance programs, ideally, should be designed around based on your particular compliance challenges and risks. And that's certainly something that the sentencing guidelines talk about, and really just sort of accords with common sense and good logic. You want to be trying to prevent those legal violations that you're most likely to encounter or that are going to cause the greatest harm to your organization. And ...

Recorded on: Jul. 24, 2012

CLIFFORD E. KIRSCH: All right, we are here for our last panel, compliance exams and ethical issues, ethical issues as they present themselves to lawyers and compliance professionals who operate and work with investment advisers. And for this panel, I'm very, very pleased to introduce to my right, John Walsh. John is a colleague of mine now at Sutherland. John's a partner in Sutherland's DC office in the financial services group. So I'm very, very ...

Recorded on: Jul. 24, 2012

Taken from the Web Program Fundamentals of Investment Adviser Regulation Recorded July, 2012 in New York Compliance and Exams; Ethics for Adviser Lawyers [01:01:21] Self-reporting Whistleblowers rules CLO/CCO liability The purchase price of this segment includes the following article(s) from the Course Handbook available online: Fundamentals of Investment Adviser Regulation 2012: Compliance and Exams: Ethics for Adviser ...

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: Dec. 1, 2011

REBECCA: OK, so we are going to get started on our last hour of the day. I know it's been a long day. We've packed a whole lot of information into a day. We didn't even give you a real break for lunch. And so I appreciate your diligence and attention. The truth is PLI likes to do these programs in a day and a half because everybody wants to leave on the second day after lunch-- or before lunch. So we try to pack it all in. But there's a whole lot ...

Recorded on: Nov. 2, 2012

CARMEN J. LAWRENCE: OK, so the next panel, Compliance Officer Roundtable. And the moderator is Alan Cohen. Alan joined Goldman Sachs in 2004. He's a partner and Goldman's head of global compliance. Alan serves on a number of Goldman's committees, including the management committee. Prior to joining Goldman, Alan was co-head of the White Collar Regulatory Defense Practice and New York Litigation group at O'Melveny & Myers. And prior to joining ...

Recorded on: Jun. 20, 2011

REBECCA WALKER: Thank you for coming back. It was a long day yesterday, but we covered a lot of I think really great material. But there was a lot of it. So today we're going to cover a lot of really great material, but in a shorter time frame. We'll only be here this morning. We're going to start this morning talking about risk assessment, then we'll hear about help lines and investigations, and we'll finish up today with a discussion of international ...

Recorded on: Jul. 23, 2012

Taken from the briefing Compliance with Disability Accessibility Requirements When Buying or Selling Instructional Technology: A Legal, Policy and Technical Primer for Lawyers recorded July, 2012. Persons with disabilities are demanding and obtaining legal rights to access and use instructional technology products. This is particularly true in the educational arena. However, the road to product accessibility is paved with a confusing ...

Recorded on: Jun. 22, 2010

NANCY: We're going to get started with our last panel of the day, Concluding the Investigation, and I'm going to introduce that panel's moderator, John Savarese. John is a partner in the Litigation Department of Wachtell, where he's been for over 15 years, and he has represented numerous Fortune 500 corporations, major financial institutions, and senior executives in SEC and other regulatory enforcement proceedings as well as white collar criminal ...