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Acquiring or Selling the Privately Held Company 2015 -- A. Indemnification B. Special Issues Involved in Acquiring Divisions or Subsidiaries of Larger Companies

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From the program: Acquiring or Selling the Privately Held Company 2015

Recorded on: Jun. 17, 2015

Taken from the Web Program Acquiring or Selling the Privately Held Company 2015 recorded June, 2015 in New York. A. Indemnification B. Special Issues Involved in Acquiring Divisions or Subsidiaries of Larger Companies [01:35:25] A. Indemnification [45 minutes] Techniques and issues in negotiating indemnification provisions: “Baskets” “Caps” Partial indemnification “Sandbagging” Survival ...

Advanced Compliance and Ethics Workshop 2014 -- Creating and Sustaining an Ethical Culture

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From the program: Advanced Compliance and Ethics Workshop 2014

Recorded on: Oct. 8, 2014

Please note that "ethics" in the program title refers to the “Compliance and Ethics Program” used in the Federal Sentencing Guidelines for Organizations. It does not specifically refer to legal ethics. Please check the credit calculator to the right for credit information for your jurisdiction. Taken from the Web Program Advanced Compliance and Ethics Workshop 2014 recorded October 2014 in New York. Creating and Sustaining an Ethical ...

Advanced Swaps & Other Derivatives 2014 -- Cleared and Uncleared Swaps, Swap Execution Methods, Give-up and Reporting

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From the program: Advanced Swaps & Other Derivatives 2014

Recorded on: Oct. 20, 2014

Taken from the Web Program Advanced Swaps & Other Derivatives 2014 recorded October, 2014 in New York. Cleared and Uncleared Swaps, Swap Execution Methods, Give-up and Reporting [01:04:53] Execution Give-up arrangements, futures agreement addenda and execution agreements PB and asset manager allocation issues SDR reporting Moderator: Joshua D. Cohn Daniel J. Bucsa, Frank N. Fisanich, Geoffrey B. Goldman, Nancy ...

Antitrust Counseling & Compliance 2013 -- Mergers & Acquisitions

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From the program: Antitrust Counseling & Compliance 2013

Recorded on: Nov. 4, 2013

Taken from the Web Program Antitrust Counseling & Compliance 2013 recorded November, 2013 in New York.Lecture Topics  [01:30:12]Mergers & Acquisitions  [01:30:12] The Merger Review Process When to file under HSR and what you can learn from recent civil penalty actions for failing to file Negotiating antitrust risk shifting provisions in merger agreements New FTC rules on “pulling and refiling” Coordinating global filings ...

Antitrust Counseling & Compliance 2014 -- Competition Law Compliance from an In-House Perspective

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From the program: Antitrust Counseling & Compliance 2014

Recorded on: Nov. 3, 2014

Taken from the Web Program Antitrust Counseling & Compliance 2014 recorded October, 2014 in New York. Competition Law Compliance from an In-House Perspective [00:48:30] Global competition law environment Goals and elements of a successful competition law compliance program Importance of a global program for global operations Potential risk areas Leniency programs Mark D. Whitener The purchase price of this segment ...

Antitrust Institute 2015: Developments & Hot Topics -- Acquisitions and Mergers

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From the program: Antitrust Institute 2015: Developments & Hot Topics

Recorded on: May. 13, 2015

Taken from the Web Program Antitrust Institute 2015: Developments & Hot Topics recorded May, 2015 in New York. Acquisitions and Mergers [01:06:57] Section 7 of the Clayton Act Revised Horizontal Merger Guidelines- what do you need to know? Critical H-S-R reporting updates What are the latest enforcement activities at federal and state levels? Recent decisions involving unilateral and coordinated competitive effects ...

Asset Based Financing Strategies 2015 -- Bankruptcy

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From the program: Asset Based Financing Strategies 2015

Recorded on: Mar. 2, 2015

Taken from the Web Program Asset Based Financing Strategies 2015 recorded February, 2015 in New York. Bankruptcy [00:59:41] Chapter 7 vs. Chapter 11 Automatic stay Adequate protection Financing the debtor - do secured creditors exert too much control over the process? Bankruptcy trustee’s avoiding powers - key concerns to asset-based lenders? Issues for asset-based lenders in Chapter 11 plans June ...

Bankruptcy & Reorganizations 2015: Current Developments -- Acquiring Assets from the Debtor Estate, Corporate Governance and D&O Duties and Liability

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From the program: Bankruptcy & Reorganizations 2015: Current Developments

Recorded on: Apr. 30, 2015

Taken from the Web Program Bankruptcy & Reorganizations 2015: Current Developments recorded April, 2015 in New York. Acquiring Assets from the Debtor Estate, Corporate Governance and D&O Duties and Liability [01:00:10] Process, procedures and litigation—scope and extent of break-up and topping fees Structuring and negotiating bids—Los Angeles Dodgers; Texas Rangers, and small and medium cases Assignments of ...

Basics of Mutual Funds and Other Registered Investment Companies 2013 -- Fund Marketing and Sale of Fund Shares

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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  [01:01:23]Fund Marketing and Sale of Fund Shares  [01:01:23] How are Fund Shares Distributed? “Funds are sold, not bought”: the role of sales charges and no-load funds, and the future of Rule 12b-1 (or (2)) (let’s do on the last panel) How funds are priced: the critical importance of fund ...

Basics of Mutual Funds and Other Registered Investment Companies 2015 -- Current Trends and Developments

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From the program: Basics of Mutual Funds and Other Registered Investment Companies 2015

Recorded on: May. 4, 2015

Taken from the Web Program Basics of Mutual Funds and Other Registered Investment Companies 2015 recorded April, 2015 in New York. Current Trends and Developments [01:00:06] What are the major trends in the design and distribution of mutual funds? Can ETFs continue to grow at a record pace?  Will ETFs ever overtake mutual funds as the dominant pooled investment vehicle for the retail investor? Where do hedge funds fit in ...

Broker-Dealer Advisory Services 2015: Current Legal and Compliance Issues Facing Dual Registrants -- Dual-Registrant Advice in the Retirement Marketplace

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From the program: Broker-Dealer Advisory Services 2015: Current Legal and Compliance Issues Facing Dual Registrants

Recorded on: Feb. 20, 2015

Taken from the Web Program Broker-Dealer Advisory Services 2015: Current Legal and Compliance Issues Facing Dual Registrants recorded February, 2015 in New York. Dual-Registrant Advice in the Retirement Marketplace [00:56:52] What it means to be an ERISA fiduciary ERISA fiduciary duty redefinition IRA rollovers DOL’s exam and enforcement trends Speaker: Jason C. Roberts The purchase price of this segment ...

Broker/Dealer Regulation and Enforcement 2014 -- Compliance Officer Roundtable

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From the program: Broker/Dealer Regulation and Enforcement 2014

Recorded on: Oct. 23, 2014

Taken from the Web Program Broker/Dealer Regulation and Enforcement 2014 recorded October, 2014 in New York. Compliance Officer Roundtable [00:59:55] This panel of Chief Compliance Officers will discuss the challenges they face managing their compliance programs in light of continued unprecedented changes in the broker dealer industry. They will discuss current regulatory issues and priorities and offer lessons learned from recent enforcement ...

Corporate Compliance and Ethics Institute 2014 -- Helplines, Investigation and Responding to Misconduct

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From the program: Corporate Compliance and Ethics Institute 2014

Recorded on: Jun. 3, 2014

Taken from the Web Program Corporate Compliance and Ethics Institute 2014 recorded May, 2014 in New York.Lecture Topics  [02:05:19]Helplines, Investigation and Responding to Misconduct  [02:05:19] Managing Helplines and Dealing with Whistleblowers How to Combat the Fear of Retaliation Best Practices and Guidelines for Handling Internal Investigations Maintaining the Attorney-Client (and Other) Privileges The purchase price of this segment ...

Corporate Compliance and Ethics Institute 2015 -- Codes, Training and Communications

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From the program: Corporate Compliance and Ethics Institute 2015

Recorded on: Jun. 3, 2015

Taken from the Web Program Corporate Compliance and Ethics Institute 2015 recorded June, 2015 in New York. Codes, Training and Communications [01:14:58] A. Codes and Policies Designing and Revising Codes of Conduct that work Policy development, dissemination and ownership B.Trainings and Communications Best Practices in Training and Communications How to Tell if Your Compliance Training Is Working Budget-Sensitive ...

Corporate Counsel Institute 2014 -- Dealing with Compliance and Regulatory Risks

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From the program: Corporate Counsel Institute 2014

Recorded on: Oct. 8, 2014

Taken from the Web Program Corporate Counsel Institute 2014 recorded October, 2014 in New York. Dealing with Compliance and Regulatory Risks  [01:02:28] Managing helplines and dealing with whistleblowers Best practices and guidelines for handling internal investigations How your program can better resonate around the world Good due diligence practices Best practices in training and communications Speakers: ...

Corporate Governance -- A Master Class 2015 -- Audit Committees and Delaware Law

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From the program: Corporate Governance -- A Master Class 2015

Recorded on: Feb. 18, 2015

Taken from the Web Program Corporate Governance -- A Master Class 2015 recorded February, 2015 in New York. Audit Committees and Delaware Law [01:46:18] Accounting Meets Governance — Further Evolution of Audit Committee Roles (CPE Field of Study: Auditing) What should be uppermost in the minds of Audit Committee members in 2015? The PCAOB inspection process and the impact on auditors — what Audit Committees should know ...

Crowdfunding and Online Direct Lending (Peer-to-Peer) 2014 -- Commercial and Real Estate Peer-to-Peer Lending

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From the program: Crowdfunding and Online Direct Lending (Peer-to-Peer) 2014

Recorded on: Sep. 25, 2014

Taken from the Web Program Crowdfunding and Online Direct Lending (Peer-to-Peer) 2014 recorded September, 2014 in New York.Lecture Topics  [00:46:17]Commercial and Real Estate Peer-to-Peer Lending  [00:46:17] Issues in commercial lending, including licensing, custody and servicing Real estate transactions and the online loan marketplace Starting your own platform and white label hosting considerations International considerations: ...

Cybersecurity 2014: Managing the Risk -- CISO Panel

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From the program: Cybersecurity 2014: Managing the Risk

Recorded on: Sep. 11, 2014

Taken from the Web Program Cybersecurity 2014: Managing the Risk recorded September, 2014 in New York.Lecture Topics  [00:58:23]CISO Panel  [00:58:23] Strategies for global companies facing persistent threats Lessons learned from previous cybersecurity incidents Industry standards and best practices Prevention strategies The purchase price of this segment includes the following article from the Course Handbook available online: Current ...

Delaware Law Developments 2012: What All Business Lawyers Need to Know -- Deal Lawyers Roundtable

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From the program: Delaware Law Developments 2012: What All Business Lawyers Need to Know

Recorded on: Jun. 18, 2012

Taken from the Web Program Delaware Law Developments 2012: What All Business Lawyers Need to Know Recorded June 2012 in New York City Lecture Topics Deal Lawyers Roundtable [00:57:15] - Top transactional lawyers discuss, in a roundtable format: - How they advise their clients with respect to pre-signing market checks, post-signing checks and deal protection - How the possibility of stockholder litigation affects they way in which they structure ...

Directors' Institute on Corporate Governance 2014 (Twelfth Annual) -- Disclosure - Does It Have to Be So Complicated?

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From the program: Directors' Institute on Corporate Governance 2014 (Twelfth Annual)

Recorded on: Nov. 26, 2014

Taken from the Web Program Directors' Institute on Corporate Governance 2014 (Twelfth Annual) recorded November, 2014 in New York. Disclosure - Does It Have to Be So Complicated? [01:17:00] New SEC disclosure requirements Drafting for different audiences – from retail investors to financial analysts to proxy advisory firms Challenges in diligence, in internal control and in disclosure controls Lessons to date and ...

Doing Deals 2015: The Art of M&A Transactional Practice -- Getting the Deal Started: Preliminary Agreements and the Role of Financial Advisors

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From the program: Doing Deals 2015: The Art of M&A Transactional Practice

Recorded on: Mar. 18, 2015

Taken from the Web Program Doing Deals 2015: The Art of M&A Transactional Practice recorded March, 2015 in New York. Getting the Deal Started: Preliminary Agreements and the Role of Financial Advisors [01:29:27] (Skills credit for NY attorneys) Confidentiality agreements Emerging issues in working with financial advisors Effective auction techniques – from bid instruction to closing Speakers: James Ben, Igor Kirman, ...

Drafting and Negotiating Corporate Agreements 2015 -- A. When the Deal Goes Wrong: Enforcing Corporate Agreements and the Importance of Boilerplate

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From the program: Drafting and Negotiating Corporate Agreements 2015

Recorded on: Jan. 15, 2015

Taken from the Web Program Drafting and Negotiating Corporate Agreements 2015 recorded January, 2015 in New York. A. When the Deal Goes Wrong: Enforcing Corporate Agreements and the Importance of Boilerplate [00:30:09] Anticipating disputes and breaches Litigation vs. ADR Choice of law and jurisdiction Enforcement in foreign jurisdictions Merger clauses Notice provisions Jacqueline P. Rubin The purchase ...

Drafting Securities Filings 2012 -- The Disclosure Cycle and Related Filings

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From the program: Drafting Securities Filings 2012

Recorded on: Oct. 5, 2012

Taken from the Web Program Drafting Securities Filings 2012 recorded September, 2012 in New York. Lecture Topics  [01:00:18] The Disclosure Cycle and Related Filings  [01:00:18] A. The Duty to Disclose Disclosure beyond the line items: the sources of the duty to disclose Duty to update and duty to correct Missing guidance - breaking the bad news B. Quarterly Earnings Cycle  Earnings announcements and related ...

Enforcement 2015: Perspectives from Government Agencies -- Enforcement Priorities

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From the program: Enforcement 2015: Perspectives from Government Agencies

Recorded on: Apr. 27, 2015

Taken from the Web Program Enforcement 2015: Perspectives from Government Agencies recorded April, 2015 in New York. Enforcement Priorities [01:38:08] Overview of agency missions and current priorities Hot issues in federal law enforcement Admissions Cases against individuals Remedies New trends in enforcement and what they signify What is the next big enforcement area post-crisis ...

Fashion and Retail Law 2015: Trends and Developments -- Key Issues in Governance and Compliance

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From the program: Fashion and Retail Law 2015: Trends and Developments

Recorded on: May. 27, 2015

Taken from the Web Program Fashion and Retail Law 2015: Trends and Developments recorded May, 2015 in New York. Key Issues in Governance and Compliance [01:00:58] Recent trends in governmental and regulatory oversight Practical strategies for designing compliance programs Lessons learned from past experience Kathleen Carney (Moderator), Yen D. Chu, Alice G. Givens  The purchase price of this segment includes the following ...

Featured Faculty/Authors
Clifford E. Kirsch

Clifford E. Kirsch ~ Sutherland Asbill & Brennan LLP

Tanya E. M. Wong

Tanya E. M. Wong ~ Director of Government Benefits, Legal Services NYC - Legal Support Unit

Kenneth N. Nigon

Kenneth N. Nigon ~ RatnerPrestia