On-Demand Learning

Transcripts

Corporate & Securities

Compliance

Recorded on: Jun. 21, 2010

KIRSTEN S. AUNAPU: OK, great. We're going to get started. So welcome back everyone. I'm pleased to introduce James Webb, who's a partner in Deloitte special acquisition services group. James provides merger and acquisition services and related accounting services to one of the firm's largest private equity clients and its portfolio companies. And during our next segment which is, titled Accounting, Auditing, and Financial Statements, James will provide ...

Recorded on: Jun. 6, 2011

KIRSTEN AUNAPU: OK great. Well, welcome back to our next segment, which is on accounting, auditing, and financial statements. I'd like to introduce to you two of my colleagues from Deloitte, both from the Dallas, Texas area. Dan Berner is an audit partner in the Dallas, Texas practice of Deloitte & Touche LLP. Dan has over 20 years of experience serving large complex clients in retail, consumer and industrial products industries. Dan has served ...

Recorded on: Oct. 12, 2011

MARC MILLER: OK. For those of you who joined us during the first session thank you, and good morning. As an introduction, my name is Marc Miller. I'll be chairing the two day conference. And again, appreciate everyone being here and being active listeners. And also as we said in the opening-- and I think on behalf of the next faculty-- to the extent there's questions, again please don't hesitate to raise your hand. During the session, for those ...

Recorded on: Aug. 11, 2010

MATTHEW SHELHORSE: OK is everyone ready to get started with our second segment here? The second segment is Accounting, Auditing & Financial Statements. And this will take us right into the lunch break. So I think we'll build on what we learned in terms of the accounting standards and policies and the background from the SEC. And I'll take that into more of a practical approach. And we have the pleasure of having with a Sy Jones and Ted Martens. ...

Recorded on: Jun. 6, 2012

KIRSTEN AUNAPU: OK, thank you. Welcome back, and I'm pleased to introduce the dynamic duo of Dan Berner and Jason Downing. Dan is a Deloitte partner out of the Dallas, Texas audit practice. Deloitte's been serving large audit clients for the past 22 years, and has significant experience with SEC matters, including initial and follow-on registration statements, acquisitions, divestitures, and period filings. And our other colleague, Jason Downing, ...

Recorded on: Oct. 13, 2011

SPEAKER 1: I'm going to get started with our next panel on advising the board. And I want to introduce Mark Roellig, who is the executive vice president and general counsel of MassMutual Financial Group. Prior to joining MassMutual, Mark served as the general counsel and secretary for Fisher Scientific International and for Storage Tech. Mark, I will let you introduce your co-panelists. MARK D. ROELLIG: Sure, thank you very much. Sitting to my immediate ...

Recorded on: Oct. 16, 2012

JAMES J. AGAR: Welcome back everyone. Just a quick housekeeping note-- the lecture that we're about to start is going to go an hour and 3/4. Breaking for lunch at 12:15, and then we will reconvene at 1:30. I hope that you all enjoyed the first panel with Brad and Mark as much as I did. No matter how long I've been in this business, when I get to attend a great presentation such as theirs, I always learn something new. I'm confident that the learning ...

Recorded on: Feb. 8, 2012

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, Anti-Corruption Compliance Programs-- Legal Expectations and Good Practices. 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: Apr. 4, 2012

AMY TAUB: Greetings, my name is Amy Taub and I'm a program attorney with PLI. I would like to welcome you to today's briefing, Anti-Money Laundering Program, New Challenges for Non-bank Mortgage Lenders and Originators. Before I 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, 2012

in. AMY TAUB: Greetings. My name is Amy Taub. And I am a Program Attorney with PLI. I would like to welcome you to today's briefing, "Anti-Money Laundering Rules for Investment Advisers, Be Prepared." 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 ...

Recorded on: Jun. 4, 2012

REBECCA WALKER: We're nearing the finish line for the day. Last two topics of the day. This one's a really tough one. This is an area where we as ethics and compliance professionals continue to struggle. We've talked about this a little throughout the day to day, and that is how do we measure the effectiveness of what we're doing. How do we test our programs to ensure both that they are running appropriately and that legal violations are not occurring? ...

Recorded on: Sep. 13, 2012

MICHAEL R. YOUNG: OK, everyone. Can hear me? We're going to get started again. And the good news is that your long wait is over. I know that you have been all sitting here patiently for everyone's favorite panels. And that is the panel on Audit Committees. And then the panels on Enforcement. And your patience is now to be rewarded. We're going to do first the audit committees. And then at four o'clock we're going to do enforcement. And with audit ...

Recorded on: Mar. 1, 2012

ALAN BELLER: We're going to slide very appropriately from Lew Ferguson's speech to audit committees. I'm not sure we planned that, but we're happy we have it. Joining us for this panel, in order from my right, my immediate right, Debra Perry, who had a long career at Moody's, I think culminating as Chief Administrative Officer after several years in various senior positions there. She has more recently been involved on the boards of directors of ...

Recorded on: Oct. 7, 2011

LAUREL FITZPATRICK: We apologize in advance. It's always hard to know exactly where to pitch these kinds of things. I see people in the audience that could as easily be giving this presentation as us, and I'm sure that there are people for whom hedge funds are a new topic. So this first session is sort of pitched as the introduction. And we're going to kind of go over the basics-- which again may be repetitive for some people-- and then try to talk ...

Recorded on: May. 8, 2012

RICHARD GRIME: OK, everybody. We're in the home stretch. And I realize I'm competing with Mexican food, and I'm going to lose. So maybe we'll wait for a few stragglers to come in. This is the benchmarking session. We have about 30 questions that we want to get through. We recognize we're not going to have a dialogue on everything, because we've spent a long time over the last day and a half talking about many of these topics. So there's going to ...

Recorded on: May. 6, 2013

RICHARD W. GRIME: OK everybody. This is the last session. And, hopefully, it's one where we can keep you engaged, because we have to keep you engaged, because it's a polling session. So in front of you are iPads. And I'm in control of the button here, which means that, in part, it may not work. But we'll hope that it does because the whole idea is that we're going to mind the benefit of these people on the panel here, which I'll introduce in a moment. We're ...

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, ...

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: 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: 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. 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. 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: 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: May. 6, 2013

RICHARD W. GRIME: OK, good afternoon everybody, and welcome back. I guess there's just no break really for coffee, but hopefully the next panel will keep you on your toes. We're going to go to Greta Lichtenbaum, who's a partner of mine at O'Melveny & Myers, and let her introduce the panel members and kick off the panel. GRETA LICHTENBAUM: Great. Thanks, Richard. I didn't really focus on the fact that not only are we in the afternoon, but you ...