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Financial Firms as ERISA Plan Sponsors - The When, What and How of the QPAM Audit Requirement 2013 (Audio-only)

Audio Only On-Demand Web  Audio Only On-Demand Web    

Released on: May. 6, 2013

Taken from the briefing Financial Firms as ERISA Plan Sponsors - The When, What and How of the QPAM Audit Requirement recorded April, 2013.Starting in 2012 when a Department of Labor amendment of the Qualified Professional Asset Manager (“QPAM”) prohibited transaction class exemption became effective, a new requirement was imposed on financial firms when managing assets of ERISA plans they maintain for their own employees. These firms now must undergo ...

FINRA - Essentials for Deal Lawyers 2014 (Audio-only)

Audio Only On-Demand Web  Audio Only On-Demand Web    

Released on: Jan. 22, 2014

Taken from the briefing FINRA - Essentials for Deal Lawyers recorded January, 2014.This Briefing will provide a review of the FINRA rules applicable to public offerings, including FINRA’s new review process. Nilene R. Evans and Anna T. Pinedo will discuss the compensation review process, conflicts of interest and QIUs, direct participation programs, and Regulation M notice requirements.Lecture Topics  [Total Time: 01:02:10] Address FINRA’s ...

Heading for the Exit: Best Practices for Successful PE-Backed IPOs 2014 (Audio-only)

Audio Only On-Demand Web  Audio Only On-Demand Web    

Released on: Feb. 6, 2014

Taken from the briefing Heading for the Exit: Best Practices for Successful PE-Backed IPOs recorded January, 2014.Private equity firms frequently utilize the initial public offering as a pathway to monetizing and exiting their portfolio investments.  IPO exits require careful planning and focus to ensure successful execution. This program will serve as a refresher on private equity-backed IPOs in light of current market conditions and recent ...

Hedge Fund Activism: Post-Crisis Reemergence 2013 (Audio-only)

Audio Only On-Demand Web  Audio Only On-Demand Web    

Released on: Jul. 2, 2013

Taken from the briefing Hedge Fund Activism: Post-Crisis Reemergence recorded June, 2013.After a relative lull during the financial crisis, hedge fund activism has reemerged as a common phenomenon in the corporate landscape. With a view to driving short-term gains, hedge funds use a variety of approaches to prompt transactions or force other changes in their investee companies. As a result of the increased prevalence of hedge fund activity, preparedness ...

Insider Transactions: Guardrails for Your Officers and Directors 2014 (Audio-only)

Audio Only On-Demand Web  Audio Only On-Demand Web    

Released on: Feb. 4, 2014

Taken from the briefing Insider Transactions: Guardrails for Your Officers and Directors recorded January, 2014.In 2013, more than 10 years after the adoption of Exchange Act Rule 10b5-1, there was a renewed attention by The Wall Street Journal, the institutional investor community and the SEC on the use of Rule 10b5-1 plans. In May 2013, the Council of Institutional Investors submitted a letter to the SEC Chair asking the SEC to address “the variety ...

International Implications of the JOBS Act Amendments Eliminating the Prohibition on General Solicitation and General Advertising Under Rule 506(c) of Regulation D and Rule 144A (Audio-only)

Audio Only On-Demand Web  Audio Only On-Demand Web    

Released on: Oct. 3, 2013

Taken from the briefing International Implications of the JOBS Act Amendments Eliminating the Prohibition on General Solicitation and General Advertising Under Rule 506(c) of Regulation D and Rule 144A recorded September, 2013. Experts will lead a panel and discuss the SEC’s newly-adopted and amended rules under the Jumpstart Our Business Startups Act (the “JOBS Act”) that allow “general solicitation” and “general advertising” in private placements ...

Is a REIT Right for Your Company? A Discussion of Their Current Use and Future Outlook 2014 (Audio-only)

Audio Only On-Demand Web  Audio Only On-Demand Web    

Released on: Apr. 25, 2014

Taken from the briefing Is a REIT Right for Your Company? A Discussion of Their Current Use and Future Outlook recorded April, 2014.Interest in REIT formations, conversions and spin-offs has been accelerating as companies continue to explore options to maximize asset value. Listen to Michael Beinus, Meryl K. Chae and Jonathan L. Friedman, partners from Skadden, Arps, Slate, Meagher & Flom LLP’s Los Angeles office for a discussion of REITs - ...

JOBS Act: SEC's New Regime for Private Placements 2013 (Audio-only)

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Released on: Jul. 26, 2013

Taken from the briefing JOBS Act: SEC's New Regime for Private Placements recorded July, 2013.On Wednesday, July 10 the Securities and Exchange Commission adopted amendments to its rules governing private placements of securities. Section 201(a) of the JOBS Act directed the Commission to act by July 2012 to liberalize restrictions on publicity in private placements, but controversy surrounding the Commission’s August 2012 proposal resulted in ...

Labor, Employment and Benefits Legal Issues When Buying and Selling Companies 2014 (Audio-only)

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Released on: Mar. 27, 2014

Taken from the briefing Labor, Employment and Benefits Legal Issues When Buying and Selling Companies recorded March, 2014.Buying and selling companies, especially in New York City, raises a number of difficult legal and practical issues that transactional, compensation and employment lawyers – both in-house and outside counsel – must navigate successfully for their clients.Listen to Samuel Estreicher, Laurence M. Moss and Ronald E. Richman of the ...

Leveraged Buyouts: A Discussion with the Pension Benefit Guaranty Corporation 2013 (Audio-only)

Audio Only On-Demand Web  Audio Only On-Demand Web    

Released on: Aug. 14, 2013

Taken from the briefing Leveraged Buyouts: A Discussion with the Pension Benefit Guaranty Corporation recorded July, 2013.The Pension Benefit Guaranty Corporation recently announced that it will become more aggressive in leverage buyout transactions involving underfunded pension plans.  In a similar vein, in April, the PBGC initiated proceedings to terminate a pension plan in connection with Compagnie de Saint-Gobain’s sale of its U.S. metal ...

Life Sciences M&A: You are Not Buying Widgets - Special Considerations that You Need to Know to Buy and Sell Life Sciences Companies or Assets 2013 (Audio-only)

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Released on: Mar. 27, 2013

Taken from the briefing Life Sciences M&A: You are Not Buying Widgets - Special Considerations that You Need to Know to Buy and Sell Life Sciences Companies or Assets recorded March, 2013. Handling an acquisition or divestiture deal involving pharmaceutical products, biologics, medical devices, diagnostics or the like can be challenging. These deals often involve critical intellectual property and complex regulatory assets and/or third party ...

Making a Successful Transition into a Compliance and Ethics Career - What Lawyers, In-House Counsel and Others in Transition Need to Know 2014 (Audio-only)

Audio Only On-Demand Web  Audio Only On-Demand Web    

Released on: Jan. 31, 2014

Please note: NO CLE CREDIT will be offered for this briefing.Taken from the briefing Making a Successful Transition into a Compliance and Ethics Career - What Lawyers, In-House Counsel and Others in Transition Need to Know recorded January, 2014.Because the compliance and ethics profession is still relatively new, many compliance professionals are coming to the role from other functional and business areas in the organization, and finding ...

M&A Non-Disclosure Agreements: Drafting and Key Issues that Can Affect the Course of a Deal 2013 (Audio-only)

Audio Only On-Demand Web  Audio Only On-Demand Web    

Released on: Jun. 24, 2013

Taken from the briefing M&A Non-Disclosure Agreements: Drafting and Key Issues that Can Affect the Course of a Deal recorded June, 2013.Entry into a confidentiality agreement is often the first major milestone on the path towards a potential M&A transaction. But while NDAs are certainly ubiquitous, their negotiation and execution is anything but a perfunctory exercise. Indeed, recent case-law has underscored the fact that NDA language can ...

Muni Bonds, Pensions and Financial Disclosures: Compliance, Litigation and Regulatory Trends 2014 (Audio-only)

Audio Only On-Demand Web  Audio Only On-Demand Web    

Released on: Mar. 5, 2014

Taken from the briefing Muni Bonds, Pensions and Financial Disclosures: Compliance, Litigation and Regulatory Trends recorded February, 2014.At a time when unfunded pension and health care obligations are accelerating the budgetary crisis for some municipalities, experts fear that current problems are the tip of the iceberg. A new focus on accounting rules, the quality of disclosure to muni bond investors and the due diligence practices of underwriters, ...

New York Not-for-Profit Revitalization Act: Compliance Challenges and Open Questions 2014 (Audio-only)

Audio Only On-Demand Web  Audio Only On-Demand Web    

Released on: Mar. 18, 2014

Taken from the briefing New York Not-for-Profit Revitalization Act: Compliance Challenges and Open Questions recorded March, 2014.The New York Non-Profit Revitalization Act of 2013 was enacted into law on December 18, 2013 and will generally take effect as of July 1, 2014.Listen to Simpson Thacher & Bartlett LLP partner David A. Shevlin as he focuses on the governance and procedural mandates imposed by the Act, which may require changes to an ...

Parental Controls for Subsidiaries and Joint Ventures: Compliance and Ethics Program Governance 2014 (Audio-only)

Audio Only On-Demand Web  Audio Only On-Demand Web    

Released on: Feb. 21, 2014

Taken from the briefing Parental Controls for Subsidiaries and Joint Ventures: Compliance and Ethics Program Governance recorded February, 2014.Some of the greatest compliance and ethics (“C&E”) program challenges faced by large and complex corporations concern the governance of programs at subsidiaries and joint ventures.  In this Briefing, two of the nation’s most experienced C&E lawyers will discuss potential legal and reputational ...

Private Fund Sales and Marketing: A Conversation with Senior Staff from the SEC Division of Trading and Markets 2013 (Audio-only)

Audio Only On-Demand Web  Audio Only On-Demand Web    

Released on: Oct. 10, 2013

Taken from the briefing Private Fund Sales and Marketing: A Conversation with Senior Staff from the SEC Division of Trading and Markets recorded September, 2013. David Blass, Chief Counsel of the SEC’s Division of Trading and Markets at the SEC, gave a speech in April 2013 before a group of lawyers at the American Bar Association about potential broker-dealer issues that may arise when private funds use internal marketing and sales teams or external ...

Regulation A+ (Section 3(b)(2)) Offerings: Stepping Stone to IPO, or IPO Alternative? (Audio-only)

Audio Only On-Demand Web  Audio Only On-Demand Web    

Released on: Jan. 29, 2014

Taken from the briefing Regulation A+ (Section 3(b)(2)) Offerings: Stepping Stone to IPO, or IPO Alternative? recorded January, 2014.On December 18, 2013, the SEC proposed rules to implement the mandate of Title IV of the JOBS Act by creating a framework for Section 3(b)(2) offerings. The JOBS Act permits non-reporting companies to conduct "mini" public offerings, or Regulation A+ exempt offerings to raise up to $50 million in proceeds. A Regulation ...

Return of Structured Finance and Residential MBS 2013 (Audio-only)

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Released on: Jul. 12, 2013

Taken from the briefing Return of Structured Finance and Residential MBS recorded June, 2013.As the U.S. capital markets continue to gain relative strength and longstanding regulatory uncertainties are resolved, ABS, MBS and covered bond issuers are increasingly inquiring about the prospects for entering these markets once again. The years since the financial crisis have brought sweeping changes in the rules affecting structured finance in the U.S., ...

Risk Management for In-House Counsel 2013 (Audio-only)

Audio Only On-Demand Web  Audio Only On-Demand Web    

Released on: Nov. 19, 2013

Taken from the briefing Risk Management for In-House Counsel recorded November, 2013.In recent years, in-house counsel simultaneously have assumed greater responsibility for corporate risk management even as law enforcement agencies have focused increasingly on holding in-house counsel responsible for corporate risk management failures. This Briefing explores the challenges faced by in-house legal departments in managing these new responsibilities ...

Role of the Federal Energy Regulatory Commission in Cybersecurity Law and Policy 2014 (Audio-only)

Audio Only On-Demand Web  Audio Only On-Demand Web    

Released on: Apr. 8, 2014

Taken from the briefing Role of the Federal Energy Regulatory Commission in Cybersecurity Law and Policy recorded March, 2014.The Federal Energy Regulatory Commission (FERC or Commission) is the only Federal agency that sets standards governing cybersecurity for the electric utility industry, including investor owned and publicly owned utilities, and enforces those standards by fining entities, even Federal power administrations, which violate ...

Role of the Real Estate Lawyer in M&A Transactions 2014 (Audio-only)

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Released on: Apr. 17, 2014

Taken from the briefing Role of the Real Estate Lawyer in M&A Transactions recorded April, 2014.Often the most challenging deal for a real estate lawyer is one where the real estate is not the primary focus of the transaction. Many complex M&A deals involve real estate either as part of the assets of a company being transferred or as collateral for the acquisition financing. The real estate specialist must integrate seamlessly into the deal ...

SEC's Extension of Exemptions for Security-Based Swaps 2013 (Audio-only)

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Released on: May. 15, 2013

Taken from the briefing SEC's Extension of Exemptions for Security-Based Swaps 2013 recorded April, 2013.Among its many important changes to the legal landscape, The Dodd-Frank Act defined the term “security” to include security-based swaps. The SEC has taken a deliberative approach in relation to the effects of this change, and recently extended until February, 2014 the expiration date of certain temporary exemptions and interim final rules that ...

SEC's New Conflict Minerals Rules: Current Status and Compliance Guidance 2014 (Audio-only)

Audio Only On-Demand Web  Audio Only On-Demand Web    

Released on: Feb. 28, 2014

Taken from the briefing SEC's New Conflict Minerals Rules: Current Status and Compliance Guidance recorded February, 2014. Under a mandate of the Dodd-Frank Act, the Securities and Exchange Commission (SEC) adopted rules requiring issuers to determine whether they use, and then disclose their use of, tantalum, tin, gold or tungsten (“3TG”) from the Democratic Republic of the Congo (DRC) and adjoining countries (“covered countries”), defined as conflict ...

SEC Forecasts an Increase in Whistleblower Cases and Awards - How Do You Ensure the Effectiveness of Your Compliance Program? (Audio-only)

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Released on: Oct. 16, 2013

Taken from the briefing SEC Forecasts an Increase in Whistleblower Cases and Awards - How Do You Ensure the Effectiveness of Your Compliance Program? recorded October, 2013.The SEC recently announced the second-ever Dodd-Frank whistleblower award. Based on data released by the SEC after the first full year of the new Dodd-Frank whistleblower program, as well as recent remarks by an SEC official, an increasing number of awards are expected ...

Featured Faculty/Authors
George M. Wilson, MBA, CPA

George M. Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI

Mina Park

Mina Park ~ Director, Banking and Capital Markets Origination Legal, Asia Pacific, Citi

Harvey I. Saferstein

Harvey I. Saferstein ~ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.