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Showing 1 - 25 of 44 Results

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47th Annual Institute on Securities Regulation -- Activism in 2016: Understanding the Dynamics of the Changing Landscape and Changing Roles

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From the program: 47th Annual Institute on Securities Regulation

Recorded on: Nov. 1, 2015

Taken from the Web Program 47th Annual Institute on Securities Regulation recorded October, 2015 in New York. Activism in 2016: Understanding the Dynamics of the Changing Landscape and Changing Roles [01:37:39] How has activism changed the roles of the general counsel and outside advisors to corporations? How should the specter of activism change what goes on in the board room? How can management and incumbent directors leverage ...

48th Annual Immigration and Naturalization Institute -- Asylum, Removal and Relief

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From the program: 48th Annual Immigration and Naturalization Institute

Recorded on: Dec. 7, 2015

Taken from the Web Program 48th Annual Immigration and Naturalization Institute recorded December, 2015 in New York. Asylum, Removal and Relief [01:03:35] Legal implications of Deferred Action for Childhood Arrivals (DACA) Deferred action and other remedies outside of DACA – Should you ever have your client placed in removal proceedings? Relief under the Violence Against Women Act (VAWA) Emerging developments in asylum ...

Advanced Compliance and Ethics Workshop 2015 -- Codes, Training and Communication

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From the program: Advanced Compliance and Ethics Workshop 2015

Recorded on: Nov. 20, 2015

Taken from the Web Program Advanced Compliance and Ethics Workshop 2015 recorded November, 2015 in San Francisco. Codes, Training and Communication [00:58:20] Designing, revising and disseminating effective codes of conduct Training approaches that are effective and stay fresh over time Training managers, senior leadership and the C&E team Measuring the impact of training Planning for and disseminating effective ...

Advanced Swaps & Other Derivatives 2015 -- Clearing; Margin for Cleared and Uncleared Transactions; Client Money Segregation; Default Management; End-User Perspectives

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From the program: Advanced Swaps & Other Derivatives 2015

Recorded on: Oct. 23, 2015

Taken from the Web Program Advanced Swaps & Other Derivatives 2015 recorded October, 2015 in New York. Clearing; Margin for Cleared and Uncleared Transactions; Client Money Segregation; Default Management; End-User Perspectives [01:35:26] Mandatory clearing requirements Default management and focus on CCP default funds: current state of play of models Margin and segregation Moderator: Gary Barnett Michael D. Bopp, Wenchi ...

Advanced Venture Capital 2015 -- Advanced Exits

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From the program: Advanced Venture Capital 2015

Recorded on: Dec. 3, 2015

Taken from the Web Program Advanced Venture Capital 2015 recorded December, 2015 in San Francisco. Advanced Exits [01:26:05] 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  Speakers:  Peter M. Astiz, Steven J. Tonsfeldt, Mark B. Vogel The purchase ...

Annual Disclosure Documents 2015 -- Accounting and Financial Reporting Developments and Priorities

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From the program: Annual Disclosure Documents 2015

Recorded on: Dec. 14, 2015

Taken from the Web Program Annual Disclosure Documents 2015 recorded December, 2015 in New York. Accounting and Financial Reporting Developments and Priorities [01:02:00] Key accounting pronouncements and initiatives affecting/driving disclosures outside of the financial statements Revenue recognition PCAOB developments What to look for in the coming year  Era Anagnosti, Amy J. Dorfmeister, Todd J. Russo The ...

Antitrust Counseling & Compliance 2015 -- Mergers and Acquisitions

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From the program: Antitrust Counseling & Compliance 2015

Recorded on: Nov. 3, 2015

Taken from the Web Program Antitrust Counseling & Compliance 2015 recorded November, 2015 in New York. Mergers and Acquisitions [01:01:05] 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 merger analysis ...

Audit Committees and Financial Reporting 2015: Recent Developments and Current Issues -- Evolving Expectations for Audit Committees, including Audit Committee and Company Communications

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From the program: Audit Committees and Financial Reporting 2015: Recent Developments and Current Issues

Recorded on: Jun. 24, 2015

CPE credit (NASBA QAS Self-Study) is available by completing and passing the program’s CPE Review & Exam. Evolving Expectations for Audit Committees, including Audit Committee and Company Communications [01:02:56] This program examines a range of issues related to expanding audit committee reporting, including SEC Concept Release; reacting to shareholder focus on areas like audit firm tenure and engagement partner selection; and Internal ...

Banking Law Institute 2015 -- Current Enforcement Issues

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From the program: Banking Law Institute 2015

Recorded on: Dec. 18, 2015

Taken from the Web Program recorded Banking Law Institute 2015 December, 2015 in New York. Current Enforcement Issues [01:24:54] Part I - Criminal and Civil Enforcement The shift to criminal pleas Managing collateral consequences Dealing with post-settlement monitors Managing consultants under privilege and the NYSDFS Current enforcement priorities Simultaneously Dealing with Multiple Regulators and Prosecutors  ...

Basics of Accounting for Lawyers 2015: What Every Practicing Lawyer Needs to Know -- Anatomy of the Balance Sheet

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From the program: Basics of Accounting for Lawyers 2015: What Every Practicing Lawyer Needs to Know

Recorded on: Jul. 17, 2015

Taken from the Web Program Basics of Accounting for Lawyers 2015: What Every Practicing Lawyer Needs to Know recorded July, 2015 in San Francisco. Anatomy of the Balance Sheet [02:01:55] The elements of a balance sheet—assets, liabilities and stockholders’ equity and their significance What to look for when reading a balance sheet Current assets, such as cash, receivables, inventories, investments in debt and equity ...

Broker/Dealer Regulation and Enforcement 2015 -- Compliance Officer Roundtable

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From the program: Broker/Dealer Regulation and Enforcement 2015

Recorded on: Nov. 12, 2015

Taken from the Web Program Broker/Dealer Regulation and Enforcement 2015 recorded November, 2015 in New York. Compliance Officer Roundtable [00:57:14] 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 Counsel Institute 2015 -- Cybersecurity – Before Incident Response

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From the program: Corporate Counsel Institute 2015

Recorded on: Oct. 7, 2015

Taken from the Web Program Corporate Counsel Institute 2015 recorded October, 2015 in New York. Cybersecurity – Before Incident Response [00:59:49] Cybersecurity governance The “internal sale” – cybersecurity around the entire organization The role of in-house counsel Preparing for a response The purchase price of this segment includes the following article from the Course Handbook available ...

Crowdfunding and Online Direct Lending (Peer-to-Peer) 2015 -- Commercial and Real Estate Peer-to-Peer Lending

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From the program: Crowdfunding and Online Direct Lending (Peer-to-Peer) 2015

Recorded on: Sep. 23, 2015

Taken from the Web Program Crowdfunding and Online Direct Lending (Peer-to-Peer) 2015 recorded September, 2015 in New York. Commercial and Real Estate Peer-to-Peer Lending [00:59:59] Issues in commercial lending, including licensing, custody and servicing The personal guaranty- what’s it really worth and is it enforceable? Commercial and Residential real estate transactions and the online loan marketplace International ...

Cybersecurity 2015: Managing the Risk -- A Hacker’s Perspective

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From the program: Cybersecurity 2015: Managing the Risk

Recorded on: Sep. 29, 2015

Taken from the Web Program Cybersecurity 2015: Managing the Risk recorded September, 2015 in New York. A Hacker’s Perspective [00:58:56] New school security Insights into bug bounty, social engineering and emerging technologies Make the most of your assessments Defending against auditors or hackers? The archetypes of security professionals Ask us anything The purchase price of this segment includes ...

Directors' Institute on Corporate Governance (Thirteenth Annual) -- Audit Committee Responsibility Overload – How Much More Can the Audit Committee Take On?

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

Recorded on: Nov. 24, 2015

Taken from the Web Program Directors Institute on Corporate Governance (Thirteenth Annual) recorded November, 2015 in New York. Audit Committee Responsibility Overload – How Much More Can the Audit Committee Take On? [00:59:28] Making sense of these new developments: Renewed focus on financial reporting SEC concept release on audit committee disclosures PCAOB release on auditor transparency and on audit quality indicators ...

Doing Business in and with Emerging Markets 2015 -- Anti-Corruption Considerations in International Deals

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From the program: Doing Business in and with Emerging Markets 2015

Recorded on: Jul. 10, 2015

Taken from the Web Program Doing Business in and with Emerging Markets 2015 recorded July, 2015 in New York. Anti-Corruption Considerations in International Deals [00:59:22] Varying corporate cultures, and avoiding impropriety Recent developments in Foreign Corrupt Practices Act enforcements involving emerging markets Recent developments in local anti-corruption regimes and enforcement Moderator: Alex Hao Panelists: John ...

ERISA 2015: The Evolving World -- 401(k) Plan Fundamentals

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From the program: ERISA 2015: The Evolving World

Recorded on: Aug. 6, 2015

Taken from the Web Program ERISA 2015: The Evolving World recorded August, 2015 in New York. 401(k) Plan Fundamentals [01:34:32] A. 401(k) Fundamentals Basic design features Special nondiscrimination rules Special distribution rules Allen Erreich, Leonard S. Hirsh B. Title IV - Defined Benefit Plans: Design Funding, the PBGC, Plan Terminations and Multiemployer Plans Basics of defined benefit plans Integration ...

Financial Services Industry Regulatory Compliance & Ethics Forum 2015 -- CCO/CLO Roundtable

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From the program: Financial Services Industry Regulatory Compliance & Ethics Forum 2015

Recorded on: Oct. 13, 2015

Taken from the Web Program Financial Services Industry Regulatory Compliance & Ethics Forum 2015 recorded October, 2015 in New York. CCO/CLO Roundtable [01:02:27] Dealing with cybersecurity risks AML developments Regulatory exams – Hot topics Catherine Gordon, Anthony Masella, Brian L. Rubin The purchase price of this segment includes the following article from the Course Handbook available online:  ...

Fundamental Concepts in Drafting Contracts: What Most Attorneys Fail to Consider 2015 -- Basic Concepts

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From the program: Fundamental Concepts in Drafting Contracts: What Most Attorneys Fail to Consider 2015

Recorded on: Mar. 19, 2015

Taken from the Web Program Fundamental Concepts in Drafting Contracts: What Most Attorneys Fail to Consider 2015 recorded March, 2015 in New York. Basic Concepts [01:22:48] Legal Drafting vs. Conversation/Prose Writing The Importance of Language Preferences in Contract Drafting Practical Considerations The Framework of a Contract The purchase price of this segment includes the following article from the Course ...

Fundamentals of Broker-Dealer Regulation 2015 -- Broker-Dealer Registration and FINRA Membership

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From the program: Fundamentals of Broker-Dealer Regulation 2015

Recorded on: Jun. 25, 2015

Taken from the Web Program Fundamentals of Broker-Dealer Regulation 2015 recorded June, 2015 in New York. Broker-Dealer Registration and FINRA Membership [00:56:43] Registration as a broker-dealer: The Form BD FINRA’s membership process The membership agreement Registration of Associated Persons Clifford E. Kirsch, Orit Weinstein The purchase price of this segment includes the following article from the Course ...

Fundamentals of Investment Adviser Regulation 2015 -- Adviser Registration; Regulatory Jurisdiction

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From the program: Fundamentals of Investment Adviser Regulation 2015

Recorded on: Jul. 17, 2015

Taken from the Web Program Fundamentals of Investment Adviser Regulation 2015 recorded July, 2015 in New York. Adviser Registration; Regulatory Jurisdiction [01:03:29] State regulation The interplay between the SEC and the states Registration as an Adviser: The Form ADV Registration of Associated Persons The role played by the DOL Clifford E. Kirsch, G. Philip Rutledge The purchase price of this segment ...

Fundamentals of Swaps & Other Derivatives 2015 -- Bilateral OTC Derivatives: Termination, Valuation, Netting, Closeout, Netting Opinions

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From the program: Fundamentals of Swaps & Other Derivatives 2015

Recorded on: Oct. 20, 2015

Taken from the Web Program Fundamentals of Swaps & Other Derivatives 2015 recorded October, 2015 in New York. Bilateral OTC Derivatives: Termination, Valuation, Netting, Closeout, Netting Opinions [00:59:50] 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 ...

Hedge and Private Fund Enforcement and Regulatory Developments 2015 -- Current Hedge and Private Fund Enforcement Priorities –The Enforcers’ Perspective

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From the program: Hedge and Private Fund Enforcement and Regulatory Developments 2015

Recorded on: Nov. 24, 2015

Taken from the Web Program Hedge Fund and Private Equity Enforcement & Regulatory Developments 2015 recorded November, 2015 in New York. Current Hedge and Private Fund Enforcement Priorities –The Enforcers’ Perspective [01:07:41] SEC Asset Management Unit - enforcement priorities and trends Criminal enforcement in the private fund space The New York State Attorney General – high frequency trading and other ...

Hedge Fund Management 2015 -- Ethical Compliance Considerations

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From the program: Hedge Fund Management 2015

Recorded on: Sep. 18, 2015

Taken from the Web Program Hedge Fund Management 2015 recorded September, 2015 in New York. Ethical Compliance Considerations [00:59:27] Identifying the Client (Fund vs. Investor vs. Advisor): The Rules of Professional Responsibility Negotiation Ethics: Little White Lies/What are the Ethical Duties? Ethical resolution of conflicts Privilege/Work Product Doctrine:  Disclosures to Auditors/Regulators Speakers: Savaria ...

Hot Issues in Executive Compensation 2015 -- Ethical Considerations When Counseling Boards, Compensation Committees, Companies and Executives

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From the program: Hot Issues in Executive Compensation 2015

Recorded on: Sep. 18, 2015

Taken from the Web Program Hot Issues in Executive Compensation 2015 recorded September, 2015 in New York. Ethical Considerations When Counseling Boards, Compensation Committees, Companies and Executives [00:56:53] Who is the client and related dilemmas Adviser independence  Privilege Delaware law developments Robert W. Rachal, Charmaine L. Slack, Martha N. Steinman The purchase price of this segment includes ...


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