On-Demand Learning

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Corporate & Securities

Investment Fund Management

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 ...

Recorded on: Apr. 12, 2013

Taken from the Web Program How to Prepare an Initial Public Offering 2013 Recorded April, 2013 in New YorkAn Overview of the IPO Registration Process [01:11:21] Current state of the IPO market Considerations at the planning stage of an IPO Drafting of the registration statement and reduced disclosure requirements for emerging growth companies The purchase price of this segment includes the following article(s) from the Course Handbook available ...

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

Recorded on: Apr. 30, 2013

Taken from the Web Program Basics of Mutual Funds and Other Registered Investment Companies 2013 recorded April, 2013 in New York.Lecture Topics  [01:03:27]Current Trends and Developments  [01:03:27] 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 ...

Recorded on: Apr. 11, 2013

DEANNA L. KIRKPATRICK: Well, I think we'll get started again and try and stay on schedule. So I think in our next segment, Laird is going to talk about comfort letters, which as you heard-- or I'm sorry, financial statement requirements, which we didn't cover in the initial registration process part. LAIRD H. SIMONS III: So for a good probably 45 minutes or so, we're going to delve into the accounting piece of the registration statement. Some years ...

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 ...

From the program: First Annual Institute on Corporate & Securities Law in Hong Kong 2013

Recorded on: Apr. 22, 2013

Taken from the Web Program First Annual Institute on Corporate & Securities Law in Hong Kong 2013 recorded April, 2013 in Hong Kong.Lecture Topics  [01:04:42]Market Overview  [01:04:42] What are investors looking for when investing in Asian markets? Issues Hong Kong companies face when listing in the U.S. and China Challenges U.S. issuers face when listing in Hong Kong and China Differences in listing regimes and treatment ...

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 ...

Recorded on: Apr. 30, 2013

ANDREW J DONOHUE: Before I start my prepared remarks, just an observation. Many of the folks that are going to be talking to you today about investment company matters are the people I call when I don't know the answer. So fabulous faculty I think that you've together here, and it looks like a really good program. I wish I could stay for it all. I asked Lauren to stay up here, because I actually like her to interrupt me as I speak. If there's issues ...

From the program: Pension Plan Investments 2013: Current Perspectives

Released on: Apr. 16, 2013

Experienced practitioners in the area of pension investment law, together with senior representatives of the Department of Labor, will give their perspectives and illuminate issues on current topics and recent developments. Continued statutory, regulatory, and market changes ensure a full agenda of new developments to be debated and analyzed by the panelists. The Dodd-Frank financial reform legislation brought a new regulatory structure for pension ...

Recorded on: Apr. 11, 2013

DEANNA KIRKPATRICK: Welcome back everybody. We're now at our final segment of the day. And I'm happy to have my partner, Maurice Blanco with me. He's a partner in our Latin American group and essentially splits his time between our Brazil office and our New York office. Maurice is going to be talking about special considerations affecting foreign private issuers. MAURICE BLANCO: Thanks Deanna. So as Deanna mentioned, much of what I do on a day-to-day ...

Recorded on: Apr. 11, 2013

DEANNA L. KIRKPATRICK: I guess we'll move on to our next presentation of the day. Unfortunately, Eric Wooley had a conflict, so wasn't able to join us today. But we're lucky enough to have Adam Rosenbluth, his colleague from Citi, join us in his stead. So I'll ask Adam to come up and talk about IPOs from the underwriter's perspective. Thank you so much. Bye, thank you. SPEAKER 1: To present [INAUDIBLE] sitting down, whatever you prefer. You can ...

Recorded on: Apr. 11, 2013

JOHN J. CLARKE, JR.: Thanks, Deanna. I'm John Clarke. Jonathan Clark is a much more distinguished former colleague of ours. And I'm going to go quickly through sort of the basics about the potential liabilities that you could face in an IPO because it's nice to have that grounding as you do your work in getting an IPO ready, since, really, the preparation of a registration, statement, and prospectus serves the important function of describing a company. ...