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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  ...

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

Recorded on: Feb. 22, 2013

Taken from the Web Program Broker-Dealer and Adviser Regulatory Compliance Forum 2013 recorded February, 2013 in New York. Lecture Topics  [01:02:23] Broker-dealer and Adviser Advertising Developments  [01:02:23] New FINRA public communication rules Internal Use Only Material: Complying with the new “reason to believe’ standard Backtested performance Private fund advertising under the JOBS Act The ...

From the program: Broker/Dealer Regulation and Enforcement 2012

Recorded on: Nov. 2, 2012

Taken from the Web Program Broker/Dealer Regulation and Enforcement 2012 recorded October, 2012 in New York. Lecture Topics  [00:59:52] Compliance Officer Roundtable  [00:59:52] 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 ...

From the program: Corporate Governance - A Master Class 2013

Recorded on: Feb. 20, 2013

Taken from the Web Program Corporate Governance - A Master Class 2013 recorded February, 2013 in New York. Lecture Topics  [01:00:44] The Why's and Where's of Enforcement  [01:00:44] Are there more financial crisis cases to come? How will enforcement affect the answer? Is enforcement about “sharing the pain”? Clawbacks and other remedies to increase direct consequences to senior managements Is the ...

From the program: Enforcement 2013: Perspectives from Government Agencies

Recorded on: Apr. 29, 2013

Taken from the Web Program Enforcement 2013: Perspectives from Government Agencies recorded April, 2013 in New York.Lecture Topics  [01:46:33]Enforcement Priorities  [01:46:33] 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 ...

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  [01:02:58]Enforcement Issues Today  [01:02:58] 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. ...

From the program: Fundamentals of Broker-Dealer Regulation 2012

Recorded on: Jul. 3, 2012

Taken from the Web Program Fundamentals of Broker-Dealer Regulation 2012 recorded June, 2012 in New York. Lecture Topics  [01:26:43] Financial Responsibility, Recordkeeping, and Exams  [01:26:43] The Net Capital and Customer Protection Rules Recordkeeping The SEC and FINRA’s Exam Program The purchase price of this segment includes the following article from the Course Handbook available online:  ...

From the program: Fundamentals of Investment Adviser Regulation 2012

Recorded on: Jul. 24, 2012

Taken from the Web Program Fundamentals of Investment Adviser Regulation recorded July, 2012 in New York. Lecture Topics  [01:16:56] Laying the Foundation  [01:16:56] Who is an adviser? Who are the regulators? The different models for providing advisory services The purchase price of this segment includes the following article from the Course Handbook available online: Introduction to the Investment ...

From the program: Fundamentals of Mutual Funds and Exchange-Traded Funds 2012

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. Lecture Topics  [00:59:44] Exchange-Traded Funds  [00:59:44] Overview of market Different types of exchange-traded products Investment Company Act: Regulatory issues The purchase price of this segment includes the following article from the Course Handbook available online: Introduction ...

From the program: Fundamentals of Swaps & Other Derivatives 2012

Recorded on: Oct. 16, 2012

Taken from the Web Program Fundamentals of Swaps & Other Derivatives 2012 recorded October, 2012 in New York. Lecture Topics  [01:25:16] Derivatives Documentation -- Overview of the ISDA Architecture; Masters, Schedules, Confirms, CSAs and collateralization; Execution and Account Agreements  [01:25:16] Master and schedule Confirms and CSAs Bridges and protocols Clearing documentation The purchase price ...

From the program: Hedge Funds 2012: Strategies and Structures for an Evolving Marketplace

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. Lecture Topics  [01:10:36] The Changing Regulatory Framework for Hedge Funds and Managers  [01:10:36] New SEC registration regime for hedge fund managers Grappling with new reporting requirements Extraterritorial application of registration requirements European hedge fund regulatory ...

From the program: How to Prepare an Initial Public Offering 2013

Recorded on: Apr. 11, 2013

Taken from the Web Program How to Prepare an Initial Public Offering 2013 recorded April, 2013 in New York.Lecture Topics  [01:03:52]Communications During Registration and the SEC's Role in the IPO Process  [01:03:52] 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 ...

From the program: Immigration & Naturalization Institute 2012 (45th Annual)

Recorded on: Nov. 26, 2012

Taken from the Web Program Immigration & Naturalization Institute (45th Annual) recorded November, 2012 in New York. Lecture Topics  [00:59:36] Challenges for Families Coming to the United States  [00:59:36] 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  ...

From the program: Institute on Securities Regulation in Europe 2013 (Twelfth Annual): Overcoming Deal-Making Challenges in the Current Markets

Recorded on: Feb. 7, 2013

Taken from the Web Program Institute on Securities Regulation in Europe 2013 (Twelfth Annual): Overcoming Deal-Making Challenges in the Current Markets recorded January 31 - February 1, 2013 in London. Lecture Topics  [01:11:14] Developments in Capital Markets  [01:11:14] Budding renaissance for foreign private issuer IPOs in the U.S.? JOBS Act - impact on registered and unregistered offerings in Europe - has it made ...

From the program: Internal Investigations 2012: How to Protect Your Clients or Companies in the Global, Post-Dodd Frank World

Recorded on: Jun. 28, 2012

Taken from the Web Program Internal Investigations 2012: How to Protect Your Clients or Companies in the Global, Post-Dodd Frank World recorded June, 2012 in New York. Lecture Topics  [01:16:01] Dealing with the Regulators  [01:16:01] The regulators’ perspectives on internal investigations Disclosing the investigation to regulators: why, when and how Regulators’ perspectives on how companies navigate whistleblower ...

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  [01:18:56] Current Division of Investment Managment Agenda  [01:18:56] Money market fund regulation Funds’ use of derivatives Target date fund rules Exchange-traded fund initiatives The purchase price of this segment includes the following article from the Course Handbook available ...

From the program: JOBS Act 2012: What You Need to Know Now

Recorded on: Jun. 1, 2012

Taken from the Web Program JOBS Act 2012: What You Need to Know Now recorded May, 2012 in New York. Lecture Topics  [00:59:22] Litigation and Ethical Traps in the JOBS Act  [00:59:22] SEC enforcement and private litigation concern Ethical considerations for practitioners The purchase price of this segment includes the following article from the Course Handbook available online: Presentation Material JOBS Act ...

From the program: Mergers & Acquisitions 2013: Trends and Developments

Recorded on: Jan. 29, 2013

Taken from the Web Program Mergers & Acquisitions 2013: Trends and Developments recorded January, 2013 in New York. Lecture Topics  [00:52:29] Role Playing - Negotiating the Purchase Agreement  [00:52:29] Role playing to illustrate key elements of negotiating a purchase agreement The purchase price of this segment includes the following article from the Course Handbook available online: Negotiating the Purchase ...

From the program: New Developments in Securitization 2012

Recorded on: Dec. 6, 2012

Taken from the Web Program New Developments in Securitization 2012 recorded November, 2012 in New York. Lecture Topics  [01:04:42] Derivatives Regulation and its Impact on Securitization  [01:04:42] 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 ...

From the program: Prison Law 2012

Recorded on: Aug. 8, 2012

Taken from the Web Program Prison Law 2012 recorded August, 2012 in New York. Lecture Topics  [01:00:12] Ethical Issues in Prison Actions  [01:00:12] Ethical issues that arise in the context of representing prisoners in civil rights actions Potential for conflicts of interest in prisoners’ rights actions Ethical issues and client relationships The purchase price of this segment includes the following article ...

From the program: Private Equity Forum 2012 (Thirteenth Annual)

Recorded on: Jul. 12, 2012

Taken from the Web Program Private Equity Forum (Thirteenth Annual) recorded July, 2012 in New York. Lecture Topics  [01:15:22] Investment Advisers Act Registration  [01:15:22] What it means and how it affects U.S. private equity firms What it means and how it affects non-U.S. private equity firms Exemptions from registration Disclosure requirements: Form ADV and Form PF Operational implications The purchase ...

From the program: Securities Offerings 2013: A Public Offering: How It Is Done

Recorded on: Mar. 25, 2013

Taken from the Web Program Securities Offerings 2013: A Public Offering: How It Is Done recorded March, 2013 in New York. Lecture Topics  [00:59:24] Hot Topics  [00:59:24] The purchase price of this segment includes the following article from the Course Handbook available online: Jumpstart Our Business Startups Act Frequently Asked Questions: Generally Applicable Questions on Title I of the JOBS Act LizabethAnn R. Eisen ...

From the program: Securities Regulation Institute 2012 (44th Annual)

Recorded on: Nov. 13, 2012

Taken from the Web Program Securities Regulation Institute 2012 (44th Annual) recorded November, 2012 in New York. Lecture Topics  [01:32:59] Enforcement Roundtable  [01:32:59] 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 ...