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Advanced Compliance and Ethics Workshop 2013 -- Compliance and Ethics Programs

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From the program: Advanced Compliance and Ethics Workshop 2013

Recorded on: Nov. 19, 2013

Taken from the Web Program Advanced Compliance and Ethics Workshop 2013 recorded November, 2013 in San Francisco.Lecture Topic  [00:55:15]Compliance and Ethics Programs  [00:55:15]The Government’s PerspectiveThe purchase price of this segment includes the following article from the Course Handbook available online: Keynote Address-HighlightsJeff Benjamin Creating, Cultivating, and Sustaining a Speak-Up CultureJeff Benjamin Promoting ...

Advanced Patent Licensing 2013: How to Make Money Without Getting Sued -- Analysis of a Patent License Agreement

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From the program: Advanced Patent Licensing 2013: How to Make Money Without Getting Sued

Recorded on: Oct. 28, 2013

Taken from the Web Program Advanced Patent Licensing 2013: How To Make Money Without Getting Sued recorded October, 2013 in San Francisco.Lecture Topics  [02:00:10]Analysis of a Patent License Agreement  [02:00:10] Not all licenses are created equal: how to get the upper hand 50 page license agreement winds up in your email: where are the land mines? What are the hot legal buttons? Are patent owners becoming more willing to indemnify ...

Advanced Swaps & Other Derivatives 2013 -- Clearing and Trading; End-Users; Margin for Cleared and Uncleared Transactions; Client Money Segregation; Default Management

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From the program: Advanced Swaps & Other Derivatives 2013

Recorded on: Oct. 23, 2013

Taken from the Web Program Advanced Swaps & Other Derivatives 2013 recorded October, 2013 in New York.Lecture Topics  [01:30:04]Clearing and Trading; End-Users; Margin for Cleared and Uncleared Transactions; Client Money Segregation; Default Management  [01:30:04] Mandatory clearing and trading requirements SEFs and trading facilities, including definitions, exceptions, regulation and registration Margin, segregation, default ...

Advanced Venture Capital 2013 -- Advanced Exits - M&A, IPO, Secondary Sales

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From the program: Advanced Venture Capital 2013

Recorded on: Dec. 4, 2013

Taken from the Web Program Advanced Venture Capital 2013 recorded December, 2013 in San Francisco.Lecture Topics  [01:29:20]Advanced Exits - M&A, IPO, Secondary Sales  [01:29:20] M&A deal terms, including indemnity and waivers of claims Investor issues and protections Deal protective measures IPO developments, JOBS Act crowdfunding Secondary markets and liquidity programs The purchase price of this segment includes ...

Antitrust Counseling & Compliance 2013 -- Ethics and Compliance

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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  [00:57:39]Ethics and Compliance  [00:57:39] Using a fun, interactive method, learn how to avoid ethical problems that recur in the antitrust arena, including those that relate to document preservation obligations in investigations and litigation, duties to employees, conflicts of interest, and practice before the ...

Asset Based Financing Strategies 2013 -- Bankruptcy -- Hot Issues for Secured Creditors

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From the program: Asset Based Financing Strategies 2013

Recorded on: Mar. 18, 2013

Taken from the Web Program Asset Based Financing Strategies 2013 recorded March, 2013 in New York. Lecture Topics  [01:01:22] Bankruptcy -- Hot Issues for Secured Creditors  [01:01:22] Automatic stay Post-petition interest and attorneys’ fees Executory contracts Post-petition financing Bankruptcy trustee avoiding powers Credit bidding “Cram down” and “cram up” ...

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 ...

Broker/Dealer Regulation and Enforcement 2013 -- Compliance Officer Roundtable

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From the program: Broker/Dealer Regulation and Enforcement 2013

Recorded on: Oct. 24, 2013

Taken from the Web Program Broker/Dealer Regulation and Enforcement 2013 recorded October, 2013 in New York.Lecture Topics  [00:56:08]Compliance Officer Roundtable  [00:56:08]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 ...

Building a Law Department IP Licensing Program 2013: Driving Shareholder Value -- Building a Patent Licensing Program

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From the program: Building a Law Department IP Licensing Program 2013: Driving Shareholder Value

Recorded on: Sep. 23, 2013

Taken from the Web Program Building a Law Department IP Licensing Program 2013: Driving Shareholder Value recorded September, 2013 in San Francisco.Lecture Topics  [01:40:56]Building a Patent Licensing Program  [01:40:56] Defining strategy and objectives Determining value Getting executive and board alignment Corporate governance: role of shareholder activism on IP-adjusted enterprise value Direct versus indirect licensing Sustaining ...

Corporate Counsel Institute 2013 -- Anticipating Regulatory Risks

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From the program: Corporate Counsel Institute 2013

Recorded on: Oct. 4, 2013

Taken from the Web Program Corporate Counsel Institute 2013 recorded October, 2013 in New York.Lecture Topics  [01:00:15]Anticipating Regulatory Risks  [01:00:15] How to read the “tea leaves” Creating the culture that “sees around corners” Taking proactive steps – before your competitors do Future areas of focus of the SEC, FSA, DOJ, cybersecurity and others The purchase price of this segment includes the following article ...

Directors' Institute on Corporate Governance 2013 (Eleventh Annual) -- Director Independence - What Does It Mean?

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From the program: Directors' Institute on Corporate Governance 2013 (Eleventh Annual)

Recorded on: Sep. 12, 2013

Taken from the Web Program Directors' Institute on Corporate Governance (Eleventh Annual) recorded September, 2013 in New York.Lecture Topics  [01:03:14]Director Independence - What Does It Mean?  [01:03:14]Exploration of the various and sometimes conflicting and uncertain meanings of director independence and disinterestedness within the contexts of: Stock exchange rules for boards and committees Tax and other special rules for compensation ...

Financial Services Industry Regulatory Compliance & Ethics Forum 2013 -- Anti-Money Laundering (AML)

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From the program: Financial Services Industry Regulatory Compliance & Ethics Forum 2013

Recorded on: Nov. 1, 2013

Taken from the Web Program Financial Services Industry Regulatory Compliance & Ethics Forum 2013 recorded October, 2013 in New York.Lecture Topics  [01:01:41]Anti-Money Laundering (AML)  [01:01:41] One size does not fit all: Implementing an AML program appropriate for your business in today's economy Balancing a rigorous AML compliance program and customer/counterparty expectations Do's and don'ts of suspicious activity monitoring ...

Fundamentals of Broker-Dealer Regulation 2013 -- Financial Responsibility, Recordkeeping, and Exams

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From the program: Fundamentals of Broker-Dealer Regulation 2013

Recorded on: Jun. 28, 2013

Taken from the Web Program Fundamentals of Broker-Dealer Regulation 2013 recorded June, 2013 in New York.Lecture Topics  [01:13:11]Financial Responsibility, Recordkeeping, and Exams  [01:13:11] The Net Capital and Customer Protection Rules Recordkeeping The SEC and FINRA’s exam program The purchase price of this segment includes the following article from the Course Handbook available online: Record-Keeping (August 6, 2012)John ...

Fundamentals of Swaps & Other Derivatives 2013 -- Bilateral OTC Derivatives: Termination, Valuation, Netting, Closeout, Netting Opinions

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From the program: Fundamentals of Swaps & Other Derivatives 2013

Recorded on: Oct. 24, 2013

Taken from the Web Program Fundamental of Swaps & Other Derivatives 2013 recorded October, 2013 in New York.Lecture Topics  [00:58:50]Bilateral OTC Derivatives: Termination, Valuation, Netting, Closeout, Netting Opinions  [00:58:50] Netting opinions and jurisdictional considerations Valuation at termination: case law issues; regulated aspects Other issuesThe purchase price of this segment includes the following article from the ...

Hedge Fund and Private Equity Enforcement & Regulatory Developments 2013 -- Current Hedge Fund and Private Equity Fund Enforcement Priorities - The Enforcers' Perspective

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From the program: Hedge Fund and Private Equity Enforcement & Regulatory Developments 2013

Recorded on: Nov. 19, 2013

Taken from the Web Program Hedge Fund and Private Equity Enforcement & Regulatory Developments 2013 Recorded November 2013 in New YorkLecture TopicCurrent Hedge Fund and Private Equity Fund Enforcement Priorities - The Enforcers' Perspective [01:08:50] SEC enforcement priorities and trends CFTC enforcement concerns and casesThe New York Attorney General Office’s “Insider Trading 2.0” initiative The defense perspective -- strategies for ...

Hedge Fund Management 2013 -- Compliance and Operational Issues

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From the program: Hedge Fund Management 2013

Recorded on: Sep. 13, 2013

Taken from the Web Program Hedge Fund Management 2013 recorded September, 2013 in New York.Lecture Topics  [00:59:28]Compliance and Operational Issues  [00:59:28] Major operational and legal risks for hedge funds Information walls - when are they needed? Valuation issues Risks regarding expert networks Developing effective compliance programs The purchase price of this segment includes the following article from the Course Handbook ...

Hot Issues in Executive Compensation 2013 -- Compensation Litigation and Handling Attacks on the Annual Meeting

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From the program: Hot Issues in Executive Compensation 2013

Recorded on: Oct. 10, 2013

Taken from the Web Program Hot Issues in Executive Compensation 2013 recorded October, 2013 in New York.Lecture Topics  [01:00:02]Compensation Litigation and Handling Attacks on the Annual Meeting  [01:00:02] 2013 Compensation Litigation – New theories based on “Say on Pay” votes and determining the right approach to disclosure Staying out of the crosshairs of the plaintiffs’ bar Why it could make sense to have separate plans for ...

Hot Topics in Mergers & Acquisitions 2013 -- Current Landscape

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From the program: Hot Topics in Mergers & Acquisitions 2013

Recorded on: Oct. 16, 2013

Taken from the Web Program Hot Topics in Mergers & Acquisitions 2013 recorded October, 2013 in New York.Lecture Topics  [00:56:10]Current Landscape  [00:56:10] Overview of the M&A market What dealmakers are focused on Key drivers in the current environment The purchase price of this segment includes the following article from the Course Handbook available online: Overview of the Current M&A Landscape (July 2013)Antonio ...

New Jersey Basic CLE Marathon 2013 -- Civil Trial Practice - The Trial

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From the program: New Jersey Basic CLE Marathon 2013

Recorded on: May. 29, 2013

This program contains 4 NJ NA categories for 6.5 hours. They are 1.2 credits of New Jersey Basic Estate Planning (NA2) , 2.9 credits of Civil Trial Practice – The Trial  (NA3), 1.2 credits of New Jersey Real Estate Closing Procedures (NA5), and 1.2 credits of New Jersey Trust and Business Accounting (NA6).Taken from the Web Program New Jersey Basic CLE Marathon 2013 recorded May 28,2013 in New York.Lecture Topics  [01:25:44]Civil Trial Practice ...

Outsourcing 2013: Sourcing Critical Services -- Anatomy of a Master Services Agreement

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From the program: Outsourcing 2013: Sourcing Critical Services

Recorded on: Nov. 5, 2013

Taken from the Web Program Outsourcing 2013 (Fall): Sourcing Critical Services recorded October, 2013 in New York.Lecture Topics  [01:04:22]Anatomy of a Master Services Agreement  [01:04:22] Sweep clauses, change management and other key mechanisms Creative compromises regarding contentious contractual provisions Structuring and drafting tips Common mistakes to be avoided The purchase price of this segment includes the following ...

Pocket MBA Fall 2013: Finance for Lawyers -- A Detailed Look at Basic Financial Statements

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From the program: Pocket MBA Fall 2013: Finance for Lawyers

Recorded on: Oct. 18, 2013

Taken from the Web Program Pocket MBA Fall 2013: Finance for Lawyers recorded October, 2013 in New York.Lecture Topics  [01:31:17]A Detailed Look at Basic Financial Statements  [01:31:17] The purpose of financial statements- Reporting to stakeholders- Comparability Basic Financial Statements- Income Statement- Balance Sheet- Statement of Cash Flows- Statement of Shareholders’ Equity Accounting fundamentals and core concepts- Matching ...

Securities Arbitration 2013 -- Arbitration Practicum on Product Cases

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From the program: Securities Arbitration 2013

Recorded on: Aug. 2, 2013

Taken from the Web Program Securities Arbitration 2013 recorded August, 2013 in New York.Lecture Topics  [01:00:39]Arbitration Practicum on Product Cases  [01:00:39] Statements of Claim Answers List Selection Discovery (including Updates to Discovery Guide re: product cases) Opening and closing statements Brokers’ testimony/role of the Associated Person Experts’ testimony Exhibit books Use of technology The purchase price ...

Securities Filings 2013: Practical Guidance in a Changing Environment -- Current Issues in Securities Practice

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From the program: Securities Filings 2013: Practical Guidance in a Changing Environment

Recorded on: Oct. 2, 2013

Taken from the Web Program Securities Filings 2013: Practical Guidance in a Changing Environment recorded September, 2013 in New York.Lecture Topics  [01:13:56]Current Issues in Securities Practice  [01:13:56] Continuing implications of the Dodd-Frank and JOBS Acts Current and proposed SEC rulemaking Recent judicial developments Discussion among the panelists and the audience of current issues affecting securities practice in general ...

Securities Regulation Institute 2013 (45th Annual) -- Accounting and Auditing: Not Extra Credit, Mandatory for Lawyers

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From the program: Securities Regulation Institute 2013 (45th Annual)

Recorded on: Nov. 8, 2013

Taken from the Web Program Securities Regulation Institute 2013 (45th Annual) recorded November, 2013 in New York.Lecture Topics  [01:29:55]Accounting and Auditing: Not Extra Credit, Mandatory for Lawyers  [01:29:55] Tips for lawyers in interacting with auditors and audit committees What the SEC's Office of the Chief Accountant does and what Corp Fin’s Office of Chief Accountant does – where to go for what Key accounting and financial ...

Tax Strategies for Corporate Acquisitions, Dispositions, Spin-Offs, Joint Ventures, Financings, Reorganizations & Restructurings 2013 -- Selected Current Issues in M&A

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From the program: Tax Strategies for Corporate Acquisitions, Dispositions, Spin-Offs, Joint Ventures, Financings, Reorganizations & Restructurings 2013

Recorded on: Oct. 21, 2013

Taken from the Web Program Tax Strategies for Corporate Acquisitions, Dispositions, Spin-Offs, Joint Ventures, Financings, Reorganizations & Restructurings 2013 recorded October, 2013 in New York.Lecture Topics  [00:58:39]Selected Current Issues in M&A  [00:58:39]Stuart M. Finkelstein, Kevin M. Keyes, Isaac W. Zimbalist [Senior Technician Reviewer (Corporate, Branch 5), Internal Revenue Service] The purchase price of this segment ...

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