On-Demand Learning

Corporate & Securities

Financial Products

Recorded on: Apr. 22, 2013

ANNA PINEDO: So joining us for the integration discussion today are Cathy Dixon. And Cathy's a partner in Weil Gotshal's Washington DC office in the securities area. And before joining Weil, Cathy was the chief counsel of the Division of Corporation Finance at the SEC. And also joining us is Stan Keller, a partner at Edwards Wildman Palmer in Boston. And Stan, of course, has extensive experience in securities offerings and has been very actively ...

Recorded on: Apr. 17, 2012

ANNA T. PINEDO: We're going to go ahead and get started again with our next two sessions. And first up we have offerings occurring in close proximity to one another. And with us this morning, we have Stan Keller, a partner in the Boston office of Edwards Wildman Palmer. And Stan has, for years, been writhing an outline on integration issues, a copy of which is in the book for today's session. And that has been an extremely valuable resource for practitioners ...

Recorded on: Jan. 27, 2011

RICHARD A. GOLDBERG: OK, we're going to get started again. Pleased to introduce our next speaker, Jonathan Knee. Jonathan is a Senior Manning Director at Evercore. He's also Adjunct Professor at Columbia Business School and has written a couple of books, which he may shamelessly promote during this segment. He's going to be talking to us about the financing of a transaction from the investment banking perspective. JONATHAN A. KNEE: Great. Richard ...

Recorded on: Mar. 8, 2012

CLIFFORD KIRSCH: All right. We are back, and we are here for our next session, which is hot topics in supervision. And this next panel I'm going to put into the good hands of Stephanie Nicholas. Stephanie's a partner at WilmerHale in DC, where she's a member of the broker-dealer compliance and regulation practice group. Stephanie, thanks for being here, I'm going to turn it over to you to introduce the panelists and tee things up for us. STEPHANIE ...

Recorded on: Jan. 14, 2013

MALE SPEAKER: Good morning to everyone in the room here, and on the web. Welcome back for day two of our program. This morning, for the first segment, we're going to talk about more financial products, a different type. And then we're going to have a pause to hear from a tax practitioner about some of the tax issues that arise in this area of practice. We can never cover everything, so each year, we choose topics that seem to be topical and interesting. I ...

Recorded on: Apr. 19, 2012

JOHN W. WHITE: OK. Thank you. And you're welcome back to our program. I hope we're going to get our slides here soon on the screen. But if you want to go to the slides, I would take you to slide 20 of the tab 5 or the-- ah, here we go. Hold on. It's going to take me-- I gotta do a lot of scrolling through to get there to slide 20. I don't walk and chew gum at the same time. ROBERT EVANS: Stuff we're skipping will be on the final, in case you're wondering. JOHN ...

From the program: Fundamentals of Broker-Dealer Regulation 2012

Released on: Jul. 9, 2012

Major changes in broker-dealer regulation and the industry have come about as a result of the financial services crisis and the resulting regulatory reform.  At the same time, FINRA continues to overhaul its rulebook as part of its Rulebook Consolidation process.  This program will provide you with a solid foundation in the regulatory regime applying to broker-dealers, including what to expect next regarding broker-dealer regulation.  Learn ...

From the program: Fundamentals of Investment Adviser Regulation 2012

Released on: Aug. 1, 2012

In the aftermath of the financial crisis and the resulting regulatory reform, the SEC has advanced significant rulemaking to impose a greater degree of controls on investment advisers’ operations.  In fact, the SEC has put the regulation of investment advisers under the microscope.  At the same time, Congress is considering financial regulatory reform that could impose a new self-regulatory organization in charge of adviser regulation.  In ...

Recorded on: Jul. 14, 2011

YUKAKO KAWATA: OK, welcome back, everybody. So we are about to start the first of the two MNA panels for this afternoon. So let me introduce the panel. To my right is my partner John Bick. He is the head of Davis Polk's corporate department and a member of the firm's three-person management committee. He has an extensive practice in private equity, representing a number of private equity funds. To John's right is Sean Murphy, who is a managing director ...

Recorded on: Apr. 30, 2013

CLIFFORD E. KIRSCH: I'd like to get started again. And in this next panel, we begin taking a dive into the regulation of investment companies, as it exists today and, again, taking a pretty in-depth look into the Investment Company Act. And in this panel, Fund Anatomy, we take an inside look at the mutual fund. And what we're going to look at is the mutual fund regulations, with respect to the board of directors, portfolio management, and also how ...

Recorded on: Apr. 30, 2013

LAURIN BLUMENTHAL KLEIMAN: Welcome back. This next panel is always a real crowd-pleaser. Fund litigation-- we just got finished talking about the regulatory oversight and what the SEC can do to make a fund's life challenging. Now we're going to talk about the adventures that funds have gone through in the courts. My two panelists have been with this program for several years, and it's always really interesting to hear what they have to say. To my ...

Recorded on: Apr. 30, 2013

CLIFFORD E. KIRSCH: Alrighty, welcome back. We're going to start. I know others will be joining us as we begin chatting. And welcome back to the folks on the web as well. Thanks for joining us. On this panel, we're going to go for an hour, looking at how a mutual fund markets itself and sells fund shares. And I'm delighted to be able to welcome two folks who are new to this program but not new at all to investment management regulation. To my far ...

From the program: Global Capital Markets & the U.S. Securities Laws 2012: Raising Capital in an Evolving Regulatory Environment

Released on: May. 23, 2012

Audio CD's from the program Global Capital Markets & the U.S. Securities Laws 2012: Raising Capital in an Evolving Regulatory Environment, held April, 2012.

From the program: Hedge Fund Registration and Compliance 2012

Released on: Mar. 13, 2012

DVD's from the program Hedge Fund Registration adn Compliance 2012, held January, 2012.

Recorded on: Dec. 5, 2012

JASON DOREN: You will be in excellent hands with Brian. Brian's a partner with Gunderson Dettmer, and focuses on representing private and publicly held emerging growth companies and venture capital funds that invest in those companies. He has significant international venture capital experience, particularly in Latin America. He represents over 20 venture-backed technology companies in Brazil and cross-border venture financings in acquisitions and ...

Recorded on: Apr. 20, 2011

LISABETHANN R. EISEN: We're going to wrap up today talking about some current trends and offering some new regulations, new disclosure items that have come to pass, new corporate governance, and we are going to spend the hour talking about current events, so to speak. Things that you probably have read about in the newspaper. And with that, I'll turn it over to John. JOHN W. WHITE: I feel like you've already stolen my line. But, welcome to the final ...

Recorded on: Mar. 25, 2013

SPEAKER 1: Thanks, everybody. LIZABETHANN EISEN: So now it is or our last panel of the day. And this is the hot topics panel. We're going to talk about a number of things. Joining me on the panel are Rob Evans, Will Fogg, and Joe Kaufman, who you've met at various points throughout the day. And we are going to cover comp committee issues, some new cyber security issues, SEC conflict minerals rules, which, for the first time this year, will be applicable, ...

From the program: How to Prepare an Initial Public Offering 2012

Released on: Apr. 12, 2012

DVD's from the program How to Prepare an Initial Public Offering 2012, held March, 2012.

Recorded on: Mar. 25, 2013

LIZABETHANN R. EISEN: I think we'll go ahead and get started. As a reminder, my name is Liz Ann Eisen. To my right is Joe Kaufman, from Simpson Thatcher. And to his right is Debbie O'Connell, a new panelist. Debbie joins us from PricewaterhouseCoopers, where she is a partner in the SEC services group within PwC's National Professional Services Group. Debbie stands out as a seasoned expert in the technology industry that people rely on for insight ...

Recorded on: Apr. 19, 2012

ANDREW J. PITTS: Let's get started. This afternoon's first panel relates to financial disclosure and related accounting disclosures. I'm Andy Pitts from Cravath. You already met Joe Kaufman from Simpson Thatcher. And we're happy to introduce a new face and voice to this afternoon's session. In the center here is Debbie O'Connell. Debbie is a partner in the formally-called SEC Services Group. I think many of us more typically refer to that as "the ...

Recorded on: Dec. 17, 2012

ADELE HOGAN: OK. Good morning, everyone. Thank you again for being back, and since yesterday was 12/12/12, I wanted to commend you that, since that's the only date this century that will be like that, that you used your time well to upgrade your skills and help your clients. So that's really commendable. Two quick things. First of all, that you may have seen in the Wall Street Journal this morning, there's two articles on crowd funding, both of which ...

Recorded on: Jul. 18, 2011

CLIFFORD E. KIRSCH: And for this next session I'm going to hand it off, to moderate this, to my colleague, Mark Smith. Mark is a partner in Sutherland's D.C. office. So Mark, thanks very much. It's all yours. W. MARK SMITH: Thank you, Cliff. Good afternoon, everyone. We commend you for coming back after the afternoon break, resisting the temptation to go back to the office and return those emails and phone calls. We think you should be very well ...

Recorded on: Jan. 14, 2013

CLIFFORD E KIRSCH: All right. Welcome back for our final panel of the day. We're going to be looking at insurance products, a new panel for this program. And I'm pleased to welcome back Gary Brown, who's doing double duty on this panel. Thanks for rejoining us again, Gary. And I'm also pleased to introduce Dodie Kent. Dodie is the Vice President and Associate General Counsel at AXA Equitable, here in New York. And among Dodie's responsibilities, ...

Recorded on: Dec. 5, 2012

SPEAKER 1: Now it's my pleasure to introduce the co-chairs of today's program. Curtis L. Mo is a partner in DLA Piper's Corporate and Securities group, based in Silicon Valley. Formerly, he was the partner in charge of Wilmer Hale's Palo Alto office. He is recognized as a leading corporate and securities lawyer in Silicon Valley. He's represented emerging growth companies, major public companies, investment banks, venture capital funds, and private ...

Recorded on: Dec. 17, 2012

KENNETH L. JOSSELYN: I apologize in advance. I am losing my voice. Hopefully an hour and half of this will, I'll still have a voice. Otherwise Adele will be doing the program, and I will be doing the color commentary as we go along. I'm going to start with a general overview. It's aimed at the basics, because some people have more advanced knowledge, and some people have little. So we want to get the basic grounding in here. As Adele said, feel free ...