On-Demand Learning

Corporate & Securities

Enforcement

Recorded on: Feb. 7, 2013

CECIL D. QUILLEN III: Great. Thanks, everybody. I think people are still reassembling. But while they come back in, I wanted to kick off the next panel. We're going to talk about the-- if I do that right-- I seem to have done that right. Anyway, what we would like to do is to try to give a brief overview of both market trends, market prospects, some of the more interesting aspects that surround the thinking of some of the business and execution professionals ...

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

Released on: Feb. 15, 2013

We are proud to present Practising Law Institute’s Twelfth Annual Institute on Securities Regulation in Europe: Overcoming Deal-Making Challenges in the Current Markets, the most comprehensive securities programme available in Europe. Once again, the Institute will feature leading practitioners active in U.S. and European corporate law, as well as government regulators, investment bankers and in-house counsel. This year’s programme ...

Recorded on: May. 8, 2012

MARK F. MENDELSOHN: OK, well, welcome back everybody. Our next panel is addressing difficult and unresolved questions under the FCPA. And we've got another great group of experts here to discuss quite a long list of really interesting issues. I'll start on the opposite end with Tim Dickinson, who is a partner at Paul Hastings. I'm not sure where you say you're a resident these days, but-- TIMOTHY L. DICKINSON: Washington. MARK F. MENDELSOHN: --Resident ...

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. 17, 2012

N. ADELE HOGAN: OK, and then we're going to move right in-- Robert Evans from Shearman & Sterling is going to come up, and he's going to talk about disclosure basics. Now, he will go through-- this again applies both to the 33 and the 34 Act. So it's a very helpful background review of this area. And thank you again. That was excellent. Thank you. Great slides. And that Latham chart that is on the Latham website is actually excellent. And basically, ...

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: Jan. 17, 2012

SPEAKER 1: Okay, we don't have a break schedule, so we're going to go directly to the next speaker. Hopefully you're still awake enough to hear what will hopefully be an interesting presentation by Eliza Swann. This is Eliza's first time with the program, but she's an international corporate law specialist and she's got significant transactional experience. I think you'll find her perspective to be quite interesting. ELIZA SWANN: Thanks everyone ...

Recorded on: Jun. 9, 2011

CLIFFORD E. KIRSCH: In fact, let me set this up and introduce the panelists while we're getting ready. Allan Oster and Lori Bostrom are both veterans of this program, and it's a pleasure to welcome them back. Alan Oster is the Associate General Counsel at Nationwide Funds and Lori Bostrom is the Senior Vice President and Deputy General counsel at OppenheimerFunds . Here in New york And they're going to walk us through the distribution panel of today's ...

Recorded on: Feb. 4, 2011

AMY TAUB: Thank you. Greetings. My name is Amy Taub and I'm a program attorney with PLI, and I would like to welcome you to today's briefing, "Dodd-Frank Act, Impact on Broker-Dealers." 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 handbook ...

Recorded on: Mar. 2, 2011

SPEAKER 1: Now it's my pleasure to turn this briefing over to Jessie Liu. JESSIE LIU: Hi. Thank you so much, Amy. As you know, we're talking today about the Dodd-Frank Whistleblower Provisions, and their affect on FCPA compliance and compliance generally. I just want to outline very quickly, we're going to talk a little bit about background, about the Dodd-Frank Act itself. We're going to talk more specifically about the Whistleblower Provisions ...

From the program: Enforcement 2012: Multi-Agency Enforcement Efforts

Released on: May. 16, 2012

Audio CD's from the program Enforcement 2012: Multi-Agency Enforcement Efforts, held April, 2012.

From the program: Enforcement 2013: Perspectives from Government Agencies

Released on: May. 10, 2013

We continue to see unprecedented changes in our economic, business and regulatory regimes in general, and in enforcement efforts in particular. This unique program brings together panels of senior staff from the various enforcement and regulatory agencies, including the U.S. Commodity Futures Trading Commission, FINRA, U.S. Securities and Exchange Commission, U.S. Attorney’s Office, U.S. Department of the Treasury, U.S. Department of Justice, Federal ...

Recorded on: Apr. 26, 2012

DAVID M. LYNN: We're back. And now we're going to talk a little bit about enforcement developments. And we have a highly esteemed panel of folks here to talk about that. We're joined by Paul Berger, who's a partner at Debevoise and Plimpton, Michael Mann, a partner at Richards Kibbe and Orbe, and Linda Chatman Thompson, who is a partner at Davis Polk and Wardwell. And I'm going to turn it over to Linda first. LINDA CHATMAN THOMPSON: Thanks. Hello, ...

Recorded on: Mar. 2, 2011

CARMEN J. LAWRENCE: Quite interesting. DAVID BECKER: OK, thank you, Carmen. George, rumor has it that the commission has brought a few insider trading cases recently. Could you tell us about that and how perhaps it may intersect with other matters? GEORGE S. CANELLOS: Well, I guess since our stated general topic is Corporate Governance, I think it might be interesting to think of some of the recent spade of insider trading cases for their implications ...

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: 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 ...

From the program: Prison Law 2012

Released on: Aug. 17, 2012

Whether representing prisoners while in private practice, public interest practice or as a policy advocate, the issues and the environment in which advocates operate is increasingly challenging and complex.  This year, PLI’s third annual program on Prison Law will address the legal framework for civil litigation filed on behalf of prisoners in federal and state courts, from a national perspective. Lecture Topics  [Total time 06:27:32] Segments ...

Recorded on: Dec. 17, 2012

N. ADELE HOGAN: Hi. It's 11:30, and I want to make sure that we start on time so that we get the full hour of CLE credit. To my right, I have Iris Chiu. She is at Morgan Stanley, particularly focusing on M&A transactions. Obviously, we have two people here that are highly substantive, so although they are kindly going to speak on ethics today, they're going to bring a lot of their business and legal judgments and practical experience here as well. And ...

Recorded on: Nov. 26, 2012

AUSTIN FRAGOMEN: And one of the most important and vexsome areas we're confronted with in the practice of immigration law is legal ethics. And we have an inherent problem because of the dual representation in very difficult circumstances in which to apply dual representation in a really traditional way. At the same time, we have clients who are sometimes known to accuse us of not thinking outside the box, not being innovative enough, or perhaps, how ...

Recorded on: Nov. 26, 2012

CYNTHIA LANGE: I hope you had a good lunch. We're ready to proceed with the afternoon sessions, and we want to talk about evolving trends at FDNS and related government audits. And to do so, we have two illustrious members of the immigration bar, Eileen Scofield and Mary Pivec. Eileen is head of Alston and Bird's immigration practice and focuses on employer compliance issues. And Mary Pivec is a partner at Williams Mullen in DC, and has extensive ...

Recorded on: Jun. 11, 2012

LAURIN BLUMENTHAL KLEIMAN: So we've save the Exchange-Traded Fund panel for last. Although, I know several of you really came here to learn more about alternatives to mutual funds. And we have two panelists here who are very steeped in all kinds of investment company, and other types of Securities Law issues, but particularly focused also on ETFs. To my right is Jim Munsell, he is my partner. We practice together across the street, in the Investment ...

Recorded on: Jun. 9, 2011

SPEAKER 1: Thank you so much, Laurie and Mark. I guess if there's one thing that's clear from that presentation, it's how much Laurie and Mark love what they do. It is a very interesting and highly developed area of the law. And I would say-- since we have a couple of minutes-- I would say there is a dearth of experienced '40 Act lawyers in the millennial generation. And so this is an area that I hope by now you've realized is really fascinating and ...

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. ...

From the program: Whistleblowers and the False Claims Act 2012: What You Need to Know

Released on: Nov. 28, 2012

Companies doing business with all levels of government face increasing exposure under federal and state False Claims Acts (FCAs).  Company whistleblowers are filing record numbers of new FCA cases, and the U.S. Department of Justice and state Attorney Generals are ramping-up fraud investigations and prosecutions nationwide.  Taught by a panel of experienced FCA practitioners including prosecutors, whistleblowers' counsel, defense counsel ...

From the program: The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2013

Released on: May. 17, 2013

Enforcement under the Foreign Corrupt Practices Act (“FCPA”) continues as a critical priority for both the DOJ and the SEC. Recent FCPA enforcement actions and disclosures demonstrate that no industry is immune from FCPA scrutiny, and FCPA sweep investigations across industry sectors are becoming more common and challenging. Beyond the FCPA, an increasing number of countries, as well as international organizations, are ramping up anti-corruption enforcement ...