On-Demand Learning

Transcripts

Corporate & Securities

Enforcement

Recorded on: Jan. 20, 2011

SPEAKER 1: OK, welcome back from your break. On our next topic, we're going to cover Purchase Money Security Interest and Consignments. And for this presentation, I'm proud to introduce Ken Karl from Sheppard Mullin in Los Angeles and I thank him for flying out here. And as you may remember this morning, I introduced one of the speakers and told you that he'd given me my first job out of law school. Well, Ken has done something slightly even more ...

Recorded on: Jun. 9, 2011

LAURIN BLUMENTHAL KLEIMAN: That was really a great introduction to a lot of the fundamental principles we're going to be talking about throughout the day. And if you don't appreciate that now, I think as you listen to the speakers talk about some of these issues that Karrie laid out, you will truly appreciate how comprehensive an overview of the principles Karrie outlined. But to truly understand the operation and regulation of investment companies, ...

Recorded on: Feb. 22, 2013

CLIFFORD KIRSCH: Great. All righty, welcome back. And Anna gave the lead-in for this session. Our next panel is going to look at advertising developments. And as I said at the outset, we wanted to spend an hour working through the material here, because there really are very, very significant changes both on the broker-dealer side and the adviser side. And I have a great panel to walk us through, Stephanie Nicolas and Jesse Kanach. Stephanie is a ...

Recorded on: Nov. 26, 2012

AUSTIN T. FRAGOMEN JR: So our next topic deals with family immigration. And obviously, this is an area we've more than touched on, when it comes to all the different aspects of representing children in every context imaginable, right? So we've already been through children in great detail, but now, we're going to talk about family immigration. And we'll talk about children in the more traditional sense of media relative petitions and things of that ...

Recorded on: Nov. 26, 2012

CYNTHIA J. LANGE: Well, welcome back. We'll be rounding off the afternoon here with a couple of excellent panels. Right now, we'll be having Bernie Wolfsdorf and Stephen Yale-Loehr will talk to us about challenges to entrepreneurs coming to the United States. There's so much happening in this area, and we really appreciate the work that they've put into this. Robert Divine had planned on being here, and I think help work on the material but due to ...

Recorded on: Oct. 19, 2012

GARY BARNETT: OK, welcome back. We're going to move into our next session now, clearing and trading, grandfathering, end users, margin posting for cleared and uncleared transactions, client money segregation, loss mutualization. And our moderator is Kathryn, or Katie, Trkla. I'm going to introduce her, and then let her introduce the rest of the panel. Katie's a partner with Foley & Lardner. She's a member of Foley's securities, commodities, and ...

Recorded on: Feb. 22, 2013

ANNA T. PINEDO: So as Cliff mentioned, we're going to spend this hour talking about complex products and, indeed, complex products have become the most important issue for FINRA from a prudential and an enforcement perspective and have been for some time. And largely that's been as a result of concerns that emerged during the financial crisis, that investors who purchased particular products didn't necessarily understand all of the risks associated ...

Recorded on: Nov. 2, 2012

CARMEN J. LAWRENCE: OK, so the next panel, Compliance Officer Roundtable. And the moderator is Alan Cohen. Alan joined Goldman Sachs in 2004. He's a partner and Goldman's head of global compliance. Alan serves on a number of Goldman's committees, including the management committee. Prior to joining Goldman, Alan was co-head of the White Collar Regulatory Defense Practice and New York Litigation group at O'Melveny & Myers. And prior to joining ...

Recorded on: Apr. 26, 2012

DAVID M. LYNN: OK. We're back at the Global Capital Markets Conference. And at the topic now we're turning to is corporate governance. And I would reminder those who are watching us on the web cast that you can ask a question if you press the Ask Question button, and we'll actually receive it here by the magic of the internet and we'll be able to answer it. The top, again, for this panel is to really survey a number of important corporate governance ...

Recorded on: Apr. 30, 2013

LAURIN BLUMENTHAL KLEIMAN: --our last panel of the day, and here's the point in the program where we talk not only about the more traditional registered investment companies, but also new and different and alternative ways of pulling assets and selling securities publicly, like exchange traded funds and other things like that. I see Ed and I see Bob, and there's Jim. How are you? EDWARD BAER: Good to see you. The right hand of power. LAURIN BLUMENTHAL ...

Recorded on: Dec. 6, 2012

PATRICK T. QUINN: OK, welcome back. We're ready to start our second panel. As I mentioned this morning, in a year where regulatory activity across the securitization markets was a little lighter than expected-- the derivatives markets are certainly an exception. There's been quite a bit of regulatory activity, and that's going to be the subject of this upcoming panel. Let me introduce to my right, Jeff Robins. Jeff is my partner at Cadwalader. To ...

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 ...

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: 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: 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 ...

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: 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 ...