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Showing 1 - 25 of 44 Results

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49th Annual Immigration and Naturalization Institute -- Asylum Update and Mock Trial

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From the program: 49th Annual Immigration and Naturalization Institute

Recorded on: Dec. 9, 2016

Taken from the Web Program 49th Annual Immigration and Naturalization Institute recorded December, 2016 in New York. Asylum Update and Mock Trial [01:31:23] Effects of recent worldwide refugee crises on U.S. asylum programs Recent developments in asylum law, with focus on particular social group analysis Bars to asylum, including the one-year filing deadline Practical tips for preparing for immigration court proceedings ...

Acquiring or Selling the Privately Held Company 2017 -- Dealing with Financial Sponsors of Privately Held Companies

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From the program: Acquiring or Selling the Privately Held Company 2017

Recorded on: Jun. 27, 2017

Taken from the Web Program Acquiring or Selling the Privately Held Company 2017 recorded June, 2017 in New York. Dealing with Financial Sponsors of Privately Held Companies [00:45:54] A review of the key issues that arise when a private equity firm, hedge fund, sovereign wealth fund or other financial sponsor is the buyer or seller of the privately held company, including: Financing commitments Capital structure Management equity ...

Advising Nonprofit Organizations 2017 -- Crisis Management for Charities

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From the program: Advising Nonprofit Organizations 2017

Recorded on: May. 18, 2017

Taken from the Web Program Advising Nonprofit Organizations 2017 recorded May, 2017 in New York. Crisis Management for Charities [01:01:19] Responding to government investigations or inquiries Dealing with financial problems including difficulty meeting payroll Consideration of options of dissolution (state court) or bankruptcy (federal court) Consideration of alternatives to going out of business such as merger or affiliation ...

Antitrust Counseling & Compliance 2016 -- Antitrust Issues in Mergers and Acquisitions

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From the program: Antitrust Counseling & Compliance 2016

Recorded on: Sep. 29, 2016

Taken from the Web Program Antitrust Counseling & Compliance 2016 recorded September, 2016 in New York. Antitrust Issues in Mergers and Acquisitions [01:02:22] The Merger Review Process Negotiating antitrust risk shifting provisions in merger agreements HSR and coordinating global filings Avoiding “gun jumping” while preparing to integrate Merger Guidelines and Enforcement Trends Horizontal and vertical ...

Antitrust Institute 2017: Developments & Hot Topics -- Antitrust Considerations in Acquisitions and Mergers

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From the program: Antitrust Institute 2017: Developments & Hot Topics

Recorded on: Apr. 18, 2017

Taken from the Web Program Antitrust Institute 2017: Developments & Hot Topics recorded April, 2017 in New York. Antitrust Considerations in Acquisitions and Mergers [01:21:56] 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 ...

Asset Based Financing Strategies 2017 -- Bankruptcy

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From the program: Asset Based Financing Strategies 2017

Recorded on: Feb. 7, 2017

Taken from the Web Program Asset Based Financing Strategies 2017 recorded February, 2017 in New York. Bankruptcy [01:00:50] The automatic stay Adequate protection issues Trustee’s avidance powers Cram down Speakers: Rachel Jaffe Mauceri, Peter Montoni, Edwin E. Smith The purchase price of this segment includes the following article from the Course Handbook available online: An Overview of the ...

Basics of Accounting for Lawyers: What Every Practicing Lawyer Needs to Know 2017 -- Regulatory and Enforcement Trends and Update

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From the program: Basics of Accounting for Lawyers: What Every Practicing Lawyer Needs to Know 2017

Recorded on: May. 23, 2017

Taken from the Web Program Basics of Accounting for Lawyers 2017: What Every Practicing Lawyer Needs to Know recorded May, 2017 in New York. Regulatory and Enforcement Trends and Update [00:59:04] Current accounting-related regulatory enforcement actions Review of major cases and legal developments in accounting-related regulation and enforcement Additional regulatory or accounting issues that should be on your radar screen Speaker: ...

Basics of Mutual Funds and Other Registered Investment Companies 2017 -- Current Trends and Developments Related to Funds

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From the program: Basics of Mutual Funds and Other Registered Investment Companies 2017

Recorded on: Apr. 21, 2017

Taken from the Web Program Basics of Mutual Funds and Other Registered Investment Companies 2017 recorded April , 2017 in New York. Current Trends and Developments Related to Funds [01:00:37] What are the major trends in the design and distribution of mutual funds? Will ETFs ever overtake mutual funds as the dominant pooled investment vehicle for the retail investor? Where do hedge funds fit in the investment fund landscape?  ...

Bridge-the-Gap: Professional Practice for Newly Admitted Attorneys 2016 -- Faces, Paces and Cases in Financial Reform 2016: Past, Present and Future Developments

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From the program: Bridge-the-Gap: Professional Practice for Newly Admitted Attorneys 2016

Recorded on: Nov. 30, 2016

Taken from the Web Program Bridge-the-Gap: Professional Practice for Newly Admitted Attorneys 2016 recorded August, 2016 in New York. Faces, Paces and Cases in Financial Reform 2016: Past, Present and Future Developments [01:34:17] The roots of the financial crisis: fundamentals of subprime securities and related derivatives Dodd-Frank Act: what you need to know Recent financial reform developments by the administration, congress, ...

Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants -- Broker-Dealer Retail Wealth Management: The Regulatory Framework

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From the program: Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants

Recorded on: Feb. 10, 2017

Taken from the Web Program Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants recorded February, 2017 in New York. Broker-Dealer Retail Wealth Management: The Regulatory Framework [01:36:42] Financial planning; Discretionary Advisory Services v. Non- Discretionary Advisory Services; Wrap Programs v. Non-Wrap Programs The Various Platforms: Corporate RIAs; RIA/RR Independent Business ...

Cloud Computing 2017: Key Issues and Practical Guidance -- Contract Issues in Cloud Computing Deals

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From the program: Cloud Computing 2017: Key Issues and Practical Guidance

Recorded on: May. 23, 2017

Taken from the Web Program Cloud Computing 2017: Key Issues and Practical Guidance recorded May, 2017 in San Francisco. Contract Issues in Cloud Computing Deals [01:13:55] What are the most significant issues for RFPs, due diligence and negotiations? What is the range of reasonable outcomes on key provisions in cloud deals?:  Data security and confidentiality     Indemnity and liability  ...

Doing Business in and with Emerging Markets 2017 -- Anti-Corruption Issues in Emerging Markets

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From the program: Doing Business in and with Emerging Markets 2017

Recorded on: Jun. 29, 2017

Taken from the Web Program Doing Business in and with Emerging Markets 2017 recorded June, 2017 in New York. Anti-Corruption Issues in Emerging Markets [01:00:08] Corruption related threats facing businesses in emerging markets  How do companies confront corruption in emerging markets? How to tackle compliance issues in the due diligence process A review of developments in anti-corruption regulations and ...

Doing Deals 2017: 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 2017: The Art of M&A Transactional Practice

Recorded on: Mar. 9, 2017

Taken from the Web Program Doing Deals 2017: The Art of M&A Transactional Practice recorded March, 2017 in New York. Getting the Deal Started: Preliminary Agreements and the Role of Financial Advisors [01:27:10] Confidentiality agreements Emerging issues in working with financial advisors Effective auction techniques – from bid instruction to closing Kevin Costantino, Igor Kirman, Kevin Miller The purchase price ...

Drafting and Negotiating Corporate Agreements 2017 -- Acquisition Agreements

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From the program: Drafting and Negotiating Corporate Agreements 2017

Recorded on: Jan. 9, 2017

Taken from the Web Program Drafting and Negotiating Corporate Agreements 2017 recorded January, 2017 in New York. Acquisition Agreements [01:45:54] Purchase price determinations and adjustments Allocating liabilities Representations, warranties and indemnification Public and private deals Auction contexts Mergers-of-equals Specific provisions; what is “market”? “MAC”/“MAE” ...

Enforcement 2017: Perspectives from Government Agencies -- Enforcement Priorities

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From the program: Enforcement 2017: Perspectives from Government Agencies

Recorded on: May. 16, 2017

Taken from the Web Program Enforcement 2017: Perspectives from Government Agencies recorded May, 2017 in New York. Enforcement Priorities [01:21:18] Overview of agency missions and current priorities Impact of new administration and changes in personnel Hot issues in federal law enforcement Cases against individuals Remedies Waivers Significance of the Financial CHOICE Act   ...

Fashion and Retail Law 2017: Trends and Developments -- International Trade Developments

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From the program: Fashion and Retail Law 2017: Trends and Developments

Recorded on: May. 4, 2017

Taken from the Web Program Fashion and Retail Law 2017: Trends and Developments recorded May, 2017 in New York. International Trade Developments [00:59:13] Responsibilities for importing for fashion and retail Current issues for exporters Country of origin rules and marking How the evolving trade policy environment is likely to affect fashion and retail Speakers: Frances P. Hadfield, Stephen Lamar, Hun Quach The ...

Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze -- Identifying and Dealing with Conflicts: The Regulatory Perspective

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From the program: Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze

Recorded on: Apr. 27, 2017

Taken from the Web Program Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze recorded April, 2017 in New York. Identifying and Dealing with Conflicts: The Regulatory Perspective [00:57:02] • DOL exam program with respect to broker-dealers and advisers • Regulatory scrutiny of conflicts • Identifying conflicts • Lessons learned from recent ...

Financial Services Industry Regulatory Compliance & Ethics Forum 2016 -- Compliance and Legal Challenges Regarding Fintech

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From the program: Financial Services Industry Regulatory Compliance & Ethics Forum 2016

Recorded on: Nov. 15, 2016

Taken from the Web Program Financial Services Industry Regulatory Compliance & Ethics Forum 2016 recorded November, 2016 in New York. Compliance and Legal Challenges Regarding Fintech [00:59:38] Regulatory Guidance FINRA’s Digital Advice Release Collaborating with IT Peter Santori, Kimberly Saunders The purchase price of this segment includes the following article from the Course Handbook available online:  ...

Fundamentals of Broker-Dealer Regulation 2016 -- An Overview of the Broker-Dealer Regulatory Framework

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From the program: Fundamentals of Broker-Dealer Regulation 2016

Recorded on: Jul. 27, 2016

Taken from the Web Program Fundamentals of Broker-Dealer Regulation 2016 recorded July, 2016 in New York. An Overview of the Broker-Dealer Regulatory Framework [01:14:33] State regulation SRO regulation FINRA membership The interplay between the SEC, the SROs and the states Current initiatives (CFE Field of Study: Non-Fraud) David F. Freeman, Jr., G. Philip Rutledge The purchase price of this segment ...

Fundamentals of Investment Adviser Regulation 2017 -- Attracting Clients and Establishing the Investment Adviser-Client Relationship

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From the program: Fundamentals of Investment Adviser Regulation 2017

Recorded on: Jun. 28, 2017

Taken from the Web Program Fundamentals of Investment Adviser Regulation 2017 recorded June, 2017 in New York. Attracting Clients and Establishing the Investment Adviser-Client Relationship [01:05:54] Referral arrangements: solicitor programs Pay-to-Play Investment restrictions Advertising Custody Maureen Baker Fialcowitz, Heather L. Traeger The purchase price of this segment includes the following article ...

Fundamentals of Swaps & Other Derivatives 2016 -- Bilateral OTC Derivatives: Termination, Valuation, Netting, Closeout, Netting Opinions

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From the program: Fundamentals of Swaps & Other Derivatives 2016

Recorded on: Oct. 25, 2016

Taken from the Web Program Fundamentals of Swaps & Other Derivatives 2016 recorded October, 2016 in New York. Bilateral OTC Derivatives: Termination, Valuation, Netting, Closeout, Netting Opinions [01:01:00] Netting opinions and jurisdictional considerations Valuation at termination: case law issues; regulated aspects Other issues Moderators: Gary Barnett, Joshua D. Cohn Eleanor Webb, RC Whitehead The purchase price ...

How to Prepare an Initial Public Offering 2017 -- Liability, Due Diligence and the Underwriting Agreement

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From the program: How to Prepare an Initial Public Offering 2017

Recorded on: Apr. 6, 2017

Taken from the Web Program How to Prepare an Initial Public Offering 2017 recorded April, 2017 in New York. Liability, Due Diligence and the Underwriting Agreement [01:00:43] The statutory framework for claims arising from a securities offering Potential liabilities for the issuer and underwriters Establishing a due diligence defense Drafting and negotiating an underwriting agreement Sophia Hudson, Eileen J. Shin The ...

How to Read Financial Statements 2017 -- Balance Sheet Analysis and Application

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From the program: How to Read Financial Statements 2017

Recorded on: Apr. 3, 2017

Taken from the Web Program How to Read Financial Statements 2017 recorded March, 2017 in New York. Balance Sheet Analysis and Application [01:11:25] The structure of the balance sheet:  assets, liabilities and equity Current and long term assets and liabilities Book equity Debits and Credits – two-column journal entry Balance sheet ratio analysis Understand and measure liquidity and leverage risk Speakers: ...

Internal Investigations 2017 -- Commencing the Internal Investigation: Considerations at the Outset

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From the program: Internal Investigations 2017

Recorded on: Jun. 20, 2017

Taken from the Web Program Internal Investigations 2017 recorded June, 2017 in New York. Commencing the Internal Investigation: Considerations at the Outset [01:37:17] How do you deal with allegations by a whistleblower? What are the labor and employment issues? When is an investigation warranted? Who should oversee the investigation? Who should conduct the investigation? In-house vs. outside counsel What is ...

Marketplace Lending and Crowdfunding 2016 -- Equity Crowdfunding Platforms and State Crowdfunding Laws

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From the program: Marketplace Lending and Crowdfunding 2016

Recorded on: Sep. 12, 2016

Taken from the Web Program Marketplace Lending and Crowdfunding 2016 recorded September, 2016 in New York. Equity Crowdfunding Platforms and State Crowdfunding Laws [01:30:52] Legal Issues for Equity Crowdfunding Platforms Crowdfunding under Title II – Solicitation vs. Non-Solicitation “Reasonable Steps to Verify” The preexisting relationship and CitizenVC: Myth vs. Facts Working with broker-dealers and ...


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