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Corporate & Securities

Compliance

Recorded on: Jun. 6, 2012

Taken from the Web Program Pocket MBA Summer 2012 Recorded June, 2012 in San Francisco A Detailed Look at Basic Financial Statements [01:32:37] The purpose of financial statements - Reporting to stakeholders - Comparability Basic Financial Statements - Income Statement - Balance Sheet - Statement of Cash Flows - Statement of Shareholders’ Equity Accounting fundamentals and core concepts  ...

Recorded on: Oct. 19, 2012

Taken from the Web Program Pocket MBA Fall 2012 Recorded October, 2012 in New York A Look at Financial Statements [01:46:55] Overview of the accounting process, roles and responsibilities, including an overview of internal financial reporting and accounting Overview and use of basic financial statements Select core accounting concepts, including: - Cash vs. accrual accounting - Fair value and mark-to-market - Capital ...

Recorded on: Jun. 5, 2012

Taken from the Web Program Corporate Compliance and Ethics Institute 2012 Recorded May, 2012 in New York Audit/Assessment: Ensuring the Effectiveness of a Program [01:00:44] Best Practices in Compliance Auditing Program Assessment: How Do You Know if Your Program Is Working? What Metrics Matter Most to Compliance? Compliance and Ethics Surveys: Internal and External The purchase price of this segment includes the following ...

Recorded on: Sep. 13, 2012

Taken from the Web Program Directors' Institute on Corporate Governance (Tenth Annual) Recorded September, 2012 in New York Audit Committee [01:02:29] SOX - ten years later Auditor communications and rotation Audit and risk management Audit firm networks Audit report modifications The purchase price of this segment includes the following article(s) from the Course Handbook available online: PCAOB Reproposes ...

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 Benchmarking: Key Anti-Corruption Issues [01:11:45] Assess your anti-corruption program against your competitors Understand new trends and best practices Determine answers to critical questions on training, diligence, entertainment of foreign officials, facilitation payments and commercial ...

Recorded on: May. 6, 2013

Taken from the Web Program The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2013 Recorded May, 2013 in New YorkBenchmarking Panel - Understanding What Your Peers and Competitors are Doing [01:22:59] Training Hospitality to “foreign officials” Voluntary disclosure Facilitation payments Use of outside counsel Due diligence Risk assessments Moderator: Richard GrimeSpeakers: William B. Jacobson, Mark F. ...

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: Feb. 5, 2013

Taken from the Web Program Hedge Fund Compliance & Regulation 2013 Recorded January, 2013 in New York Building an Effective Compliance Program [01:23:16] Regulatory focus in 2013: views from the SEC and NFA Designing an effective compliance program Implementation and testing Working with regulators and preparing for an exam   The purchase price of this segment includes the following article(s) from the Course ...

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 ...

Recorded on: Feb. 28, 2013

Taken from the Web Program The SEC Speaks in 2013 Recorded February, 2013 in Washington Compliance Inspections and Examination [01:07:46] Overview of National Exam Program Most common risks and themes from 2011 exams Examination priorities for 2012 Inter-agency and intra-agency coordination The purchase price of this segment includes the following article(s) from the Course Handbook available online: Speech: ...

Recorded on: Nov. 2, 2012

Taken from the Web Program Broker/Dealer Regulation and Enforcement 2012 Recorded October, 2012 in New York Compliance Officer Roundtable [01:00:38] This panel of Chief Compliance Officers will discuss the challenges they face managing their compliance programs in light of continued unprecedented changes in the broker dealer industry. They will discuss current regulatory issues and priorities and offer lessons learned from recent enforcement actions. ...

Recorded on: Nov. 29, 2012

Taken from the Web Program Advanced Compliance and Ethics Workshop 2012 Recorded November, 2012 in San Francisco Conflicts of Interest and Gifts and Entertainment: Risks and Compliance Measures [01:02:19] Drafting workable policies Approval procedures Questionnaires and certifications Balancing competing interests The purchase price of this segment includes the following article(s) from the Course Handbook available online:  ...

Recorded on: Feb. 21, 2013

Taken from the Web Program Corporate Governance - A Master Class 2013 NY Recorded February, 2013 in New York Continued Evolution in Auditing and Accounting [00:45:00] An energized PCAOB Part I - prospects for audit firm rotation An energized PCAOB Part II - nature of audits An energized PCAOB Part III - communications between auditors and audit committees IFRS update - will we land a woman on Mars before there is IFRS for ...

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 ...

Recorded on: Oct. 9, 2012

Taken from the Web Program Drafting Securities Filings 2012 Recorded September, 2012 in New York Current Issues in Securities Practice [01:15:11] The JOBS Act and other recent legislative developments Recent judicial developments Review of recent and proposed SEC rule changes Continuing implications of Dodd-Frank The purchase price of this segment includes the following article(s) from the Course Handbook available online:  ...

Recorded on: Nov. 15, 2012

Taken from the Web Program 44th Annual Institute on Securities Regulation Recorded November, 2012 in New York Dealing with Challenging Corporate Problems - Hypothetical Scenarios [01:33:38] Our CEO has been accused of wrongdoing Do we have to disclose the details about that loss contingency? We may have an FCPA problem Our data protection systems are vulnerable We may have to restate The purchase price of this segment ...

Recorded on: Jan. 14, 2013

Taken from the Web Program Understanding Financial Products 2013 Recorded January, 2013 in New York Derivatives Products [02:02:13] Use of swaps, collars, options, futures and forwards to hedge portfolio positions Documentation for derivatives Structured and exchange traded notes Impact of Dodd-Frank: swap trading, clearing and trade reporting Special issues associated with credit derivatives Insolvency issues The ...

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 ...

Recorded on: Oct. 11, 2012

Taken from the Web Program Corporate Counsel Institute 2012 Recorded October, 2012 in New York Effective Strategies for Advising the Board in a Crisis [01:03:55] Crisis management Executive misdeeds Activist shareholders Corporate transactions (spin-offs, sales and hostile transactions) The purchase price of this segment includes the following article(s) from the Course Handbook available online: The Practitioner's ...

Recorded on: Apr. 29, 2013

Taken from the Web Program Enforcement 2013: Perspectives from Government Agencies Recorded April, 2013 in New YorkEnforcement Priorities [01:47:16] Changing priorities with President Obama remaining in DC - what is on the horizon? How are agencies effectively handling limited budgets - has thought been given to dividing up the work more? Coordination - recent examples Impact of JOBS Act and Dodd-Frank provisions on cases and how the agencies ...

Recorded on: Nov. 15, 2012

Taken from the Web Program Whistleblowers and the False Claims Act 2012: What You Need to Know Recorded November, 2012 in San Francisco FCA Liability: Enforcement Trends and Limiting Exposure [01:18:18] A. Recent FCA Developments: Legal Trends Impacting Corporate Liability [30 min.] Increased Individual Prosecution and Use of Civil Investigative Demands Expansion of "Implied Certification" Theory of Liability Changes ...

Recorded on: Jun. 26, 2012

Taken from the Web Program Audit Committee Workshop 2012 Recorded June, 2012 in New York Financial Reporting: How to Educate the Audit Committee [00:59:12]   Key recent SEC disclosure guidance Future of IFRS Convergence standards progress Status of Revenue Recognition, Leasing, Financial Instruments standards How can audit committees better understand complex financial reporting standards The purchase price of ...

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 KongHong Kong Capital Markets [01:05:14] 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 this segment includes the following article(s) ...

Recorded on: Jul. 17, 2012

Taken from the Web Program Thirteenth Annual Private Equity Forum Recorded July, 2012 in New York Keynote Address Investment Adviser Act Audits: What is the SEC Looking for? [00:48:40] Investment Adviser Act Audits: What is the SEC looking for? The purchase price of this segment includes the following article(s) from the Course Handbook available online: U.S. Securities and Exchange Commission: Commissioner Daniel M. Gallagher ...

Recorded on: Sep. 10, 2012

Taken from the Web Program Hedge Funds 2012: Strategies and Structures for an Evolving Marketplace Recorded September, 2012 in New York Operational and Compliance Requirements for Hedge Fund Managers [01:03:38] Major operational and legal risks for hedge fund GCs Information walls - when are they needed? Risks regarding expert networks Developing effective compliance programs The purchase price of this segment includes ...