List View Table View

Ethical Considerations for Trade Controls Lawyers 2014 (Audio-only)

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

Released on: Mar. 11, 2014

Taken from the briefing Ethical Considerations for Trade Controls Lawyers recorded February, 2014.Lawyers that advise on economic sanctions and export controls (“trade controls”) matters face unique ethical and compliance challenges. These laws can restrict not only commercial transactions, but also can create obligations for lawyers, or restrict their ability to provide advice in some circumstances. Lawyers that are active in these areas accordingly ...

False Claims Act: 2013 Year in Review (Audio-only)

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

Released on: Apr. 1, 2014

Taken from the briefing False Claims Act: 2013 Year in Review recorded February, 2014.The False Claims Act (“FCA”) continued to be a significant focus of government and whistleblower activity in 2013. The rate of FCA filings increased, resulting in a record number of private whistleblower suits filed in a single year – 752 qui tam suits in 2013 alone. The U.S. Department of Justice, moreover, reported more than $3.8 billion in settlements and judgments ...

FATCA Withholding and Reporting Rules: The IRS Issues the Latest (and Last?) Round of Substantial Guidance 2014 (Audio-only)

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

Released on: Mar. 31, 2014

Taken from the briefing FATCA Withholding and Reporting Rules: The IRS Issues the Latest (and Last?) Round of Substantial Guidance recorded March, 2014.Since the Foreign Account Tax Compliance Act ("FATCA") withholding and reporting rules were enacted in 2010, the Treasury Department has been issuing regulatory guidance, negotiating intergovernmental agreements, and creating the administrative infrastructure for the enforcement of FATCA. The latest ...

FCPA Compliance in Latin America 2013 (Audio-only)

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

Released on: Aug. 15, 2013

Taken from the briefing FCPA Compliance in Latin America recorded August, 2013.It is old news that the U.S. government is aggressively enforcing the Foreign Corrupt Practices Act, the U.S. law that prohibits bribery of foreign public officials. Particularly over the last decade, the U.S. Justice Department and Securities & Exchange Commission have been hitting wrongdoers with significant monetary penalties and, in the case of individuals, prison ...

Final Volcker Rule: Overview and Likely Implications 2014 (Audio-only)

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

Released on: Jan. 24, 2014

Taken from the briefing Final Volcker Rule: Overview and Likely Implications recorded January, 2014.The Dodd-Frank Act added a new section to the Bank Holding Company Act, commonly known as the “Volcker Rule,” that generally prohibits banking entities from engaging in proprietary trading or investing in, or having certain relationships with, a hedge fund or private equity fund. However, the Act provided only the broadest of brushstrokes, charging ...

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 ...

HIPAA Compliance: Law, Accounting and Other Professional Service Firms - Are You a Business Associate With Respect to Your Clients? (Audio-only)

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

Released on: Apr. 23, 2014

Taken from the briefing HIPAA Compliance: Law, Accounting and Other Professional Service Firms - Are You a Business Associate With Respect to Your Clients? recorded April, 2014.HIPAA privacy has been around since 2003, but the recent “HITECH” requirements have upped the ante: increased enforcement and specifically making HIPAA applicable to professional service firms, such as law firms and accounting firms, who assist their covered entity clients.The ...

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 ...

Inside the U.S. Black Box: CFIUS National Security Reviews of Foreign Acquisitions 2014 (Audio-only)

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

Released on: Jul. 2, 2014

Taken from the briefing Inside the U.S. Black Box: CFIUS National Security Reviews of Foreign Acquisitions recorded June, 2014.Global capital is on the move again, and United States businesses continue to attract foreign purchasers and investors. The pace of U.S. M&A has picked up substantially in recent months. Many of the deals involve companies with sensitive national-security issues and foreign buyers. Transactions are more complex. There ...

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 ...

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

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

Released on: Jun. 25, 2014

Taken from the briefing International Market and the JOBS Act Amendments Eliminating the Prohibition on General Solicitation and General Advertising Under New Rule 506(c) of Regulation D and Rule 144A recorded June, 2014.In a follow-up to the September 2013 discussion surrounding the SEC’s 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 Implementation Update 2014 (Audio-only)

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

Released on: May. 29, 2014

Taken from the briefing JOBS Act Implementation Update recorded May, 2014.The Securities & Exchange Commission has adopted or proposed rules implementing much of the JOBS Act. Also, the SEC’s staff has provided significant guidance on the JOBS Act and market practice continues to evolve.Lecture Topics  [Total Time: 01:02:27]During the session Martin P. Dunn and Anna T. Pinedo of Morrison & Foerster LLP will focus on: Trends affecting ...

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

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

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 ...

Legal Issues for Startups: What Non-Lawyer Entrepreneurs Need to Know 2014 (Free Audio-only)

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

Released on: May. 8, 2014

Taken from the briefing Legal Issues for Startups: What Non-Lawyer Entrepreneurs Need to Know recorded April, 2014.Early stage companies (startups) are critical to economic growth. But startups face unique legal issues because of their limited financial resources, the dynamic phase of product development, hiring requirements, and pursuit of investment. Put simply: startups always have legal questions and never have money; attorneys have answers, but ...

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 ...

Liability Arising Out of Third-Party Legal Opinions 2014 (Audio-only)

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

Released on: Jun. 13, 2014

Taken from the briefing Liability Arising Out of Third-Party Legal Opinions recorded May, 2014. Substantial business transactions often involve giving a legal opinion to the "other side" in the transaction, often a lender or purchaser. It is clear that giving such an opinion to a nonclient can result in liability for the opinion preparer (the drafting attorney) and the opinion giver (the law firm). The potential liability almost always exceeds the ...

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)

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

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 ...

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 ...

Performance-Based Executive Compensation: Governance and Litigation Considerations for Employers, Directors, Institutional Investors and Their Counsel 2014 (Audio-only)

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

Released on: Jul. 10, 2014

Taken from the briefing Performance-Based Executive Compensation: Governance and Litigation Considerations for Employers, Directors, Institutional Investors and Their Counsel recorded June, 2014.In recent years, activist shareholders and regulators have become increasingly vocal about linking executive pay to performance at the same time that finding executive talent has become more challenging. Without a clearly articulated policy about incentives ...

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 ...

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

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

Katie M. Lachter

Katie M. Lachter ~ Hinshaw & Culbertson LLP

Alex Hao

Alex Hao ~ Jun He Law Offices