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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 ...

Annual Disclosure Documents 2014 -- Considerations for Getting Equity-Related Plans Approved by Shareholders

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From the program: Annual Disclosure Documents 2014

Recorded on: Dec. 8, 2014

Taken from the Web Program Annual Disclosure Documents 2014 recorded December, 2014 in New York. Considerations for Getting Equity-Related Plans Approved by Shareholders [01:01:20] Disclosure requirements and best practices Shareholder engagement Shareholder litigation Keir D. Gumbs, Doreen E. Lilienfeld, Deborah C. Lofton The purchase price of this segment includes the following article from the Course Handbook available ...

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 ...

Bolstering Your Company’s Fraud Defenses 2014: Proactive Prevention and Responses -- Prevention

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From the program: Bolstering Your Company’s Fraud Defenses 2014: Proactive Prevention and Responses

Recorded on: Nov. 14, 2014

Taken from the Web Program Bolstering Your Company’s Fraud Defenses 2014: Proactive Prevention and Responses recorded November, 2014 in San Francisco. Prevention [01:02:35] Common Weaknesses: How your business runs and where you are vulnerable. Implementing a Successful Prevention Program Anti-Fraud Policies Preventions Controls Detection Policies Moderator: Kristina Azlin Panelists: ...

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 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: ...

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 ...

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 ...

Financial Services Industry Regulatory Compliance & Ethics Forum 2014 -- Broker-Dealer, Adviser and Mutual Fund Compliance Program

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From the program: Financial Services Industry Regulatory Compliance & Ethics Forum 2014

Recorded on: Oct. 30, 2014

Taken from the Web Program Financial Services Industry Regulatory Compliance & Ethics Forum 2014 recorded October, 2014 in New York. Broker-Dealer, Adviser and Mutual Fund Compliance Program [01:00:49] The regulatory framework SEC regulatory scrutiny regarding defective compliance programs The Annual Review Paula A. Bosco, Ronald A. Holinsky, Clifford E. Kirsch The purchase price of this segment includes the following ...

Fundamentals of Swaps & Other Derivatives 2014 -- Bilateral OTC Derivatives: Termination, Valuation, Netting, Closeout, Netting Opinions

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From the program: Fundamentals of Swaps & Other Derivatives 2014

Recorded on: Oct. 16, 2014

Taken from the Web Program Fundamentals of Swaps & Other Derivatives 2014 recorded October, 2014 in New York. Bilateral OTC Derivatives: Termination, Valuation, Netting, Closeout, Netting Opinions [01:01:27] Netting opinions and jurisdictional considerations Valuation at termination: case law issues; regulated aspects Other issues Moderators: Gary Barnett, Joshua D. Cohn Scott L. Flood, Cristina Pérez The purchase ...

Hedge and Private Fund Enforcement & Regulatory Developments 2014 -- Current Hedge and Private Fund Enforcement Priorities-The Enforcers' Perspectives

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From the program: Hedge and Private Fund Enforcement & Regulatory Developments 2014

Recorded on: Nov. 19, 2014

Taken from the Web Program Hedge and Private Fund Enforcement & Regulatory Developments 2014 recorded November, 2014 in New York. Current Hedge and Private Fund Enforcement Priorities-The Enforcers' Perspectives [01:01:57] SEC Asset Management Unit - enforcement priorities and trends CFTC enforcement concerns, cases and processes The New York State Attorney General – High frequency trading and other initiatives ...

Hedge Fund Management 2014 -- Featured Speaker

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From the program: Hedge Fund Management 2014

Recorded on: Sep. 12, 2014

Taken from the Web Program Hedge Fund Management 2014 recorded September, 2014 in New York.Lecture Topics  [00:36:57]Featured Speaker  [00:36:57] SEC examinations of hedge fund managers Compliance issues for hedge fund managers, including conflicts, fees, risk management and disclosure Trading issues for hedge fund managers The purchase price of this segment includes the following article from the Course Handbook available online: U.S. ...

Hot Issues in Executive Compensation 2014 -- Corporate Governance & Compensation

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From the program: Hot Issues in Executive Compensation 2014

Recorded on: Sep. 16, 2014

Taken from the Web Program Hot Issues in Executive Compensation 2014 recorded September, 2014 in New York.Lecture Topics  [01:01:17]Corporate Governance & Compensation  [01:01:17] Implementation of the remaining Dodd Frank rulemaking Pay ratios and hedging Implementing clawbacks in the absence of rulemaking Movement in Delaware law The director’s role in the shareholder engagement process The interplay of risk oversight ...

Hot Topics in Mergers & Acquisitions 2014 -- Dealing with Activists and Proxy Advisors

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From the program: Hot Topics in Mergers & Acquisitions 2014

Recorded on: Oct. 3, 2014

Taken from the Web Program Hot Topics in Mergers & Acquisitions 2014 recorded October, 2014 in New York.Lecture Topics  [00:58:47]Dealing with Activists and Proxy Advisors  [00:58:47] The current techniques deployed by activists Interacting with activists and ISS Preparing for activist designees on your board The purchase price of this segment includes the following article from the Course Handbook available online: Recent ...

Navigating the U.S. Criminal Law Maze in the Corporate Deal -- Navigating the U.S. Criminal Law Maze in the Corporate Deal

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From the program: Navigating the U.S. Criminal Law Maze in the Corporate Deal

Recorded on: Oct. 15, 2014

Taken from the Web Program Recorded October 15, 2014 in New YorkNavigating the U.S. Criminal Law Maze in the Corporate Deal []Presentation MaterialNavigating the U.S. Criminal Law Maze in the Corporate DealJohn D. Buretta

New Developments in Securitization 2014 -- Developments in Risk Based Capital Rules

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From the program: New Developments in Securitization 2014

Recorded on: Dec. 10, 2014

Taken from the Web Program New Developments in Securitization 2014 recorded December, 2014 in New York. Developments in Risk Based Capital Rules [00:59:36] What is having the biggest impact on lenders today? LCR, SLR, capital requirements? How are institutions embracing the new standards? How are the markets reacting to varying stages of adoption? Phil Capling, Som-Lok Leung, Dan Tsacoumangos The purchase price of this segment ...

Patent Licensing Today 2014: Making Money Without Getting Sued -- Analysis of a Patent License Agreement

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From the program: Patent Licensing Today 2014: Making Money Without Getting Sued

Recorded on: Nov. 4, 2014

Taken from the Web Program Patent Licensing Today 2014: Making Money Without Getting Sued recorded November, 2014 in San Francisco. Analysis of a Patent License Agreement [02:00:30] Learn from experienced licensing attorneys using clauses taken from actual agreements Are you a deal killer? When to kill the deal What makes a patent license fair for both sides? Using fields of use and territorial restrictions to maximize ...

Pocket MBA Fall 2014: Finance for Lawyers and Other Professionals -- A Detailed Look at Financial Statements

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From the program: Pocket MBA Fall 2014: Finance for Lawyers and Other Professionals

Recorded on: Oct. 16, 2014

Taken from the Web Program Pocket MBA Fall 2014: Finance for Lawyers and Other Professionals recorded October, 2014 in New York. A Detailed Look at Financial Statements [01:30:00] 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 ...

Prison Law 2014 -- Ethical Issues in Prison Actions

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From the program: Prison Law 2014

Recorded on: Nov. 3, 2014

Taken from the Web Program Prison Law 2014 recorded October, 2014 in New York. Ethical Issues in Prison Actions [00:59:24] Ethical issues that arise in the context of prisoners’ rights actions A discussion of ethical issues including conflicts of interest, issues that arise with retainer agreements, and other recurring subjects Perspectives on addressing these ethical issues Prof. Betsy Ginsberg, Prof. Ellen C. Yaroshefsky The ...

Securities Filings 2014: Practical Guidance in a Changing Environment -- Current Issues in Securities Practice

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From the program: Securities Filings 2014: Practical Guidance in a Changing Environment

Recorded on: Sep. 9, 2014

Taken from the Web Program Securities Filings 2014: Practical Guidance in a Changing Environment recorded September, 2014 in New York.Lecture Topics  [01:13:55]Current Issues in Securities Practice  [01:13:55] Continuing implications of the Dodd-Frank and JOBS Acts Current and proposed SEC rulemaking Recent judicial developments The purchase price of this segment includes the following article from the Course Handbook available ...

Securities Law and Practice 2014: How the SEC Works -- Inside the SEC

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From the program: Securities Law and Practice 2014: How the SEC Works

Recorded on: Oct. 1, 2014

Taken from the Web Program Securities Law and Practice 2014: How the SEC Works recorded September, 2014 in New York.Lecture Topics  [00:59:30]Inside the SEC  [00:59:30] What are the different roles and responsibilities of the SEC’s operating divisions? What work is done in the SEC’s regional offices versus the SEC’s headquarters? Who reviews corporate disclosures? How is the SEC’s enforcement program structured? The purchase price ...

Securities Regulation Institute 2014 (46th Annual) -- Communications to Investors in the Era of Social Media and Activist Investors

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From the program: Securities Regulation Institute 2014 (46th Annual)

Recorded on: Nov. 10, 2014

Taken from the Web Program 46th Annual Institute on Securities Regulation recorded November, 2014 in New York. Communications to Investors in the Era of Social Media and Activist Investors [01:13:10] Identifying and integrating all elements of your communications strategy – investor presentations, earnings releases, analyst calls, SEC filings, websites, press releases, social media, etc. How the SEC is looking at the range of ...

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