On-Demand Learning

Audio Download (MP3)

Corporate & Securities

Enforcement

Recorded on: Feb. 28, 2013

Taken from the Web Program The SEC Speaks in 2013 Recorded February, 2013 in Washington Accounting [01:13:25] Current financial disclosure issues Accounting and auditing issues International accounting issues Emerging practice issues Enforcement issues and trends The purchase price of this segment includes the following article(s) from the Course Handbook available online: Work Plan for the Consideration ...

Recorded on: Jun. 13, 2012

Taken from the briefing Antitrust Enforcement in the Health Care Industry: Current FTC and DOJ Activities recorded June 2012. With health care costs seemingly spiraling out of control, federal antitrust regulators have turned a watchful eye to the health care industry.  The FTC and DOJ have made it clear that they will aggressively challenge both new transactions and established practices they believe threaten competition.  ...

Recorded on: Feb. 25, 2013

Taken from the Web Program Broker-Dealer and Adviser Regulatory Compliance Forum 2013 Recorded February, 2013 in New York Broker-dealer and Adviser Advertising Developments [01:03:03] 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 purchase price of this segment includes ...

Recorded on: Nov. 26, 2012

Taken from the Web Program 45th Annual Immigration & Naturalization Institute Recorded November, 2012 in New York Challenges for Families Coming to the United States [01:00:24] 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 Conditional residency and its removal The ...

Recorded on: May. 24, 2012

Taken from the briefing Civil Enforcement Cases: Emerging Trends and Issues in the Wake of the Financial Crisis recorded May 2012. In recent years, many practitioners have anticipated criminal prosecutions related to the Financial Crisis.  Often overlooked, however, are the significant civil enforcement actions that have been brought in this area.   Lecture Topics  [Total Time: 01:06:42] Discovery tools available ...

Recorded on: Oct. 26, 2012

Taken from the Web Program Advanced Swaps & Other Derivatives 2012 Recorded October, 2012 in New York Clearing and Trading; Grandfathering; End-Users; Marin Posting for Cleared and Uncleared Transactions; Client Money Segregation; Loss Mutualization [01:28:16] Mandatory clearing and trading requirements SEFs and trading facilities, including definitions, exceptions, regulation and registration Margin, segregation and loss mutualization: ...

Recorded on: Apr. 12, 2013

Taken from the Web Program How to Prepare an Initial Public Offering 2013 Recorded April, 2013 in New YorkCommunications During Registration and the SEC's Role in the IPO Process [01:04:35] 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 price of this segment includes the following ...

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: May. 2, 2013

Taken from the Web Program Basics of Mutual Funds and Other Registered Investment Companies 2013 Recorded April, 2013 in New YorkCurrent Trends and Developments [01:04:07] 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 purchase price of this segment includes ...

Recorded on: Oct. 22, 2012

Taken from the Web Program Fundamentals of Swaps & Other Derivatives 2012 Recorded October, 2012 in New York Derivatives Documentation -- Overview of the ISDA Architecture; Masters, Schedules, Confirms, CSAs and collateralization; Execution and Account Agreements [01:25:55] Master and schedule Confirms and CSAs Bridges and protocols Clearing documentation The purchase price of this segment includes the following article(s) ...

Recorded on: Dec. 7, 2012

Taken from the Web Program New Developments in Securitization Recorded November, 2012 in New York Derivatives Regulation and its Impact on Securitization [01:05:32] 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(s) from the Course Handbook available online:  ...

Recorded on: Feb. 12, 2013

Taken from the Web Program Twelfth Annual Institute on Securities Regulation in Europe: Overcoming Deal-Making Challenges in the Current Markets Recorded February, 2013 in London Developments in Capital Markets [01:11:54] Budding renaissance for foreign private issuer IPOs in the U.S.? JOBS Act - impact on registered and unregistered offerings in Europe - has it made a difference in how we do deals? Key trends in emerging markets  ...

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 Difficult and Unresolved Questions Under the FCPA [01:16:42] Who is a foreign official? Jurisdictional limits on the FCPA’s reach? What does “knowledge” really mean? What exactly is an "instrumentality"; Is it different from a “public enterprise”  ...

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: Apr. 30, 2013

Taken from the Web Program First Annual Institute on Corporate & Securities Law in Hong Kong 2013 Recorded April, 2013 in Hong KongEnforcement Issues Today [01:03:37] 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. and Hong Kong The purchase price of this ...

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 44th Annual Institute on Securities Regulation Recorded November, 2012 in New York Enforcement Roundtable [01:33:43] 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 are joined by international regulators, the courts ...

Recorded on: Aug. 8, 2012

Taken from the Web Program Prison Law 2012 Recorded August, 2012 in New York Ethical Issues in Prison Actions [01:00:55]   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 Web segment includes the following article(s) from the Course Handbook ...

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 Exchange-Traded Funds [01:00:26] Overview of market Different types of exchange-traded products Investment Company Act: Regulatory issues The purchase price of this segment includes the following article(s) from the Course Handbook available online: Introduction to Exchange-Traded Funds James C. ...

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: May. 6, 2013

Taken from the Web Program The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2013 Recorded May, 2013 in New YorkFCPA Guidance [01:15:00] Background Overview Key issues Lessons and guidance for companies Comparison with the UK Bribery Act Guidance Moderator: Mark F. MendelsohnSpeakers: Greg D. Andres, Peter B. Clark, Jason A. Jones, Cheryl J. ScarboroThe purchase price of this segment includes the following ...

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 YorkHot Topics [01:00:07]The purchase price of this Web segment includes the following article(s) from the Course Handbook available online: Jumpstart Our Business Startups Act Frequently Asked Questions: Generally Applicable Questions on Title I of the JOBS ActLizabethAnn R. Eisen SEC Proposes Rule on General Solicitation in Certain ...

Recorded on: Jul. 17, 2012

Taken from the Web Program Thirteenth Annual Private Equity Forum Recorded July, 2012 in New York Investment Advisers Act Registration [01:15:52] 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 price of this segment includes the following ...

Recorded on: Jul. 24, 2012

Taken from the Web Program Fundamentals of Investment Adviser Regulation Recorded July, 2012 in New York Laying the Foundation [01:17:39] 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(s) from the Course Handbook available online: Introduction to the Investment Advisers Act of 1940 Clifford E. Kirsch  ...

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 Litigation and Ethical Traps in the JOBS Act [01:00:13] SEC enforcement and private litigation concern Ethical considerations for practitioners The purchase price of this segment includes the following article(s) from the Course Handbook available online: Presentation Material JOBS Act – Overview and Observations (May ...