On-Demand Learning

Past 12 Months

Corporate & Securities

Financial Products

Recorded on: Dec. 5, 2012

SPEAKER 1: I don't even know what we're [INAUDIBLE]. SPEAKER 2: I don't either, I don't know what it is either. It's just [INAUDIBLE] CURTIS L. MO: OK, we're in the home stretch. So I mean, exits are obviously a huge topic, and we can go on forever. And we kind of will, because this is the last two hours of the day. But I promise you it'll be packed with content, and you'll get a very good look into the big issues today. And there are more exits ...

From the program: Advanced Venture Capital 2012

Released on: Dec. 18, 2012

Understanding current market practice, deal terms and conditions, transaction documents and applicable securities, tax and ethical issues is critical in the venture capital business. Lecture Topics  [Total time 06:57:25] Segments with an asterisk (*) are available only with the purchase of the entire program. Introduction and Market Update [01:00:30] Kathleen Borie, Jay A. Hershey, Katie G. Taormino, Jack Wills Key Investment ...

From the program: Advanced Swaps & Other Derivatives 2012

Released on: Oct. 31, 2012

The Dodd-Frank Act establishes a novel, comprehensive framework for the regulation of over-the-counter (OTC) derivatives and the market participants who transact in these products. The far-reaching effect of the Dodd-Frank Act upon the OTC markets is only now becoming clear. The new regulatory regime touches the activities of all participants in the swaps markets, from end users to major swap participants to swap dealers. The new regulations will ...

Recorded on: Apr. 11, 2013

LAUREN E. NOCHTA: It is now my pleasure to introduce each of the chairs of today's program, Laird Simons and Deanna Kirkpatrick. Laird is a partner at Fenwick and West where he is a member of the securities group. He concentrates his practice in initial public offerings for both domestic and foreign corporations, follow on offerings for already public companies, and ongoing securities advice and counseling for public companies. Deanna is a partner ...

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

Released on: Apr. 24, 2013

Understanding the IPO process is an essential skill for both legal and business advisors.  With the improvement in the markets, IPOs are happening with increasing frequency.  In addition, last April, Congress enacted  IPO “on ramp” provisions in the JOBS Act that made becoming a public company even easier for “emerging growth companies,” which represent almost 90% of the IPO market.  If you have not worked on an IPO recently, now ...

Recorded on: Jun. 11, 2012

CLIFFORD E. KIRSCH: And we are ready to begin the first panel discussion. And what we plan to do in this next hour is to give you a historical perspective on the mutual fund industry and mutual fund regulation, and really look at how we got to where we are today. And to lead our discussion, I'm very pleased to introduce Mary Joan Hoene and George Martinez. Mary Joan is counsel at Carter, Ledyard, & Milburn in New York. And George is Executive ...

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 Background: Mutual Funds and Exchange-Traded Funds [01:02:11] History The different types of mutual funds The mutual fund as a retail product and as a retirement vehicle The emergence of ETFs The purchase price of this segment includes the following article(s) from the Course Handbook available online:  ...

Recorded on: Sep. 10, 2012

MICHAEL TREISMAN: But if you don't satisfy that exemption, you still have to register as a registered investment company. 7(d) is really what applies to just offshore entities, not onshore entities. On the Investment Advisers Act side, as Dan mentioned, obviously, there has been heightened requirements for purposes of managers needing to register. And generally speaking, if you have more than $100 million in assets under management with some clients ...

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

Released on: Sep. 19, 2012

In 2012, hedge funds and their managers face their first year of operations under new regulations enacted under Dodd-Frank.  The Dodd-Frank Act has triggered a massive change in the regulatory framework for the entire financial industry that significantly alters the registration and reporting requirements for hedge fund managers and many of their trading activities.  The hedge fund industry continues to grow, with a reported $2 trillion ...

From the program: Basics of Mutual Funds and Other Registered Investment Companies 2013

Released on: May. 8, 2013

This program is designed to provide you with a basic overview of the legal, regulatory and operational issues affecting “registered investment companies” – the universe of publicly offered pooled investment vehicles that include mutual funds, closed-end funds, exchange-traded funds (“ETFs”) and others. You will learn the fundamentals of the extensive regulatory framework that dictates the structure and operations of retail investment funds ...

From the program: Fundamentals of Swaps & Other Derivatives 2012

Released on: Oct. 29, 2012

Over-the-counter (OTC) derivatives are key elements in many of our financial markets. The Dodd-Frank Act is substantially changing how these important instruments are regulated and transacted. This program will introduce you to both the instruments and their new environment. A derivative is a financial instrument that allocates the risks and price exposures associated with a designated reference asset or entity between the parties thereto. Derivatives ...

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: 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 ...

From the program: Hedge Fund Compliance & Regulation 2013

Released on: Feb. 12, 2013

Nearly one-third of the investment advisers that registered with the Securities and Exchange Commission as a result of the Dodd-Frank Act manage private funds.  As a result, the SEC’s examination staff has developed new strategies and processes to address the risks presented by hedge funds and other private funds.  In this program, three distinguished panels of experts will discuss the regulatory and compliance challenges facing ...

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: Apr. 22, 2013

ANNA PINEDO: -unannounced offerings. So as we were discussing earlier this morning, there are lots of complex issues in terms of making certain that companies don't have to make premature disclosures when they're attempting to conduct an offering that they want to remain unannounced. And so to help walk through all of those issues, we have Andrew Fabens. And Andrew's a partner at Gibson-Dunn in the New York office, where he's the co-chair of the ...

Recorded on: Apr. 22, 2013

Taken from the Web Program Private Placements and Other Financing Alternatives 2013 NY Recorded April, 2013 in New YorkCommunications Issues and Unannounced Offerings [00:59:19] Regulation FD Communications safe harbors Material nonpublic information Confidentiality and Non-Disclosure Agreements Standstills and trading prohibitions Compliance concerns for placement agents and underwriters The purchase price of this segment includes the ...

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: Dec. 5, 2012

JASON DOREN: This next panel is on corporate governance for venture-backed companies. We're got a distinguished panel. To my immediate right here is Thomas Kellerman. Tom's the managing partner of Morgan Lewis's Palo Alto office, and co-chair of their emerging Business and Technology practice. He concentrates his practice on advising companies, VCs, investment banks, focused on corporate finance, mergers and acquisitions, and corporate governance ...

Recorded on: Dec. 5, 2012

CURTIS L. MO: Why don't we get started? So our first panel in the afternoon has to do with corporate investments. And there been a lot of companies that have done investments over the years. But we've noticed a significant ramp-up in the last several years. And I don't know if that's because companies have cash in our flush because of low interest rate environment, or just great operations, or if they're doing [INAUDIBLE] investments. But we're going ...

Recorded on: Feb. 22, 2013

CLIFFORD E. KIRSCH: Welcome back everyone. And we're ready with our next panel. As I said at the outset of the program, more and more people-- lawyers, compliance officers, [? at ?] broker dealers, and advisers-- are being asked to deal with cross border issues. I think it's a natural consequence from where the business is going. And I've asked a real expert in this area, Christopher Christian, who works very, very closely with these issues and counsels ...

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: Apr. 30, 2013

Taken from the Web Program First Annual Institute on Corporate & Securities Law in Hong Kong 2013 Recorded April, 2013 in Hong KongDebt Markets [01:00:51] Market overview: current trends and new products PRC corporate bond issues: risks and opportunities High yield in Asia - structural issues Capital structures and leveraged finance in Asia The purchase price of this segment includes the following article(s) from the Course Handbook available ...

Recorded on: Oct. 19, 2012

JOSHUA D. COHN: Welcome back from lunch. We're going to begin the afternoon with what is the most sought-after hour in the program. That is, this is the hour that brings you Ethics credits. But, of course, that's not the reason it's the most sought-after hour in the program. The reason is Michael Sackheim is our presenter. And Michael is an accomplished derivatives practitioner. But I think, he also has a role in the industry as Mr. Ethics and is ...

Recorded on: Jan. 14, 2013

ROBERT S. RISOLEO: Hello everyone. Welcome back from lunch. We're entering the home stretch. This afternoon, the next two hours-- well, with a break in-between-- we will spend talking about derivatives. There have been, as you've heard some information about, you'll hear a lot more. There have been a lot of changes to the regulation of derivatives in the past year. And our panel will ably discuss those issues, and some others, as well. Rebecca Simmons ...