On-Demand Learning

Corporate & Securities

Recorded on: Dec. 6, 2012

MARY J. MULLANY: OK, we're going to get started again. One thing I wanted to highlight because I thought I saw folks looking for their copy of the slides from compensation advisory partners and the hard copy, which there was a little bit of a miscommunication between our panelists, so it's not in hard copy. PLI says you can download it from your PLI's site once you get back and print it out, so it is available to all attendees. There are instructions ...

Recorded on: Apr. 11, 2013

LAUREN E. NOCHTA: It is now my pleasure to introduce each of the chairs of today's program, Laird Simons and Deanna Kirkpatrick. Laird is a partner at Fenwick and West where he is a member of the securities group. He concentrates his practice in initial public offerings for both domestic and foreign corporations, follow on offerings for already public companies, and ongoing securities advice and counseling for public companies. Deanna is a partner ...

Recorded on: Mar. 7, 2012

LAUREN ESPOSITO: Program attorney with the Practicing Law Institute. It's my pleasure to welcome you to how to prepare an initial public offering 2012. A welcome to our webcast attendees as well. Before we begin today's program, I'm excited to announce that PLI has installed iPad tablets at each attendee seat in the conference room. This electronic tablet has been designed to supplement and enhance our programs. You'll be able to access various program ...

From the program: How to Prepare an Initial Public Offering 2013

Released on: Apr. 24, 2013

Understanding the IPO process is an essential skill for both legal and business advisors.  With the improvement in the markets, IPOs are happening with increasing frequency.  In addition, last April, Congress enacted  IPO “on ramp” provisions in the JOBS Act that made becoming a public company even easier for “emerging growth companies,” which represent almost 90% of the IPO market.  If you have not worked on an IPO recently, now ...

Recorded on: Feb. 8, 2012

AMY TAUB: Thank you. Greetings. My name is Amy Taub, and I am a program attorney with PLI. I would like to welcome you to today's briefing, Anti-Corruption Compliance Programs-- Legal Expectations and Good Practices. Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to materials for this briefing ...

Recorded on: Apr. 4, 2012

AMY TAUB: Greetings, my name is Amy Taub and I'm a program attorney with PLI. I would like to welcome you to today's briefing, Anti-Money Laundering Program, New Challenges for Non-bank Mortgage Lenders and Originators. Before I begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to materials for this briefing ...

Recorded on: Feb. 22, 2012

in. AMY TAUB: Greetings. My name is Amy Taub. And I am a Program Attorney with PLI. I would like to welcome you to today's briefing, "Anti-Money Laundering Rules for Investment Advisers, Be Prepared." Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to materials for this briefing via the course ...

From the program: Corporate Counsel Institute 2013

Released on: Oct. 16, 2013

The role of the corporate counsel continues to transform to meet new challenges in relation to an increasingly global economy, recent financial turmoil and continually changing new technologies. It is essential for all corporate counsel to be informed of the latest issues and trends and possess effective, budget-conscious strategies for managing the legal and practical business matters of corporate law departments and adding value to the enterprise.Lecture ...

Recorded on: Jul. 12, 2013

JOHN DU: All right, thank you. We are going to move to the next panel, which is antitrust. We have talked about how to do due diligence in the emerging markets as well as on negotiations. And antitrust is one of the primary concerns in structuring a deal. So today, we have three panelists here. And all of them are M&A lawyers with a focus, for Janet and Mariana, in antitrust. So today, I'm going to introduce the speakers first. And then we'll ...

From the program: Doing Deals in and with Emerging Markets: BRICs and Beyond 2013

Released on: Jul. 25, 2013

With emerging markets players, like those of the BRIC (Brazil, Russia, India and China) countries, playing an ever greater role in the global economy, attorneys and other professionals facilitating cross-border transactions need to familiarize themselves with their perspective on inbound and outbound investments. According to a recent Office for Economic Co-operation and Development study, emerging markets will account for over 60% of global economic ...

From the program: Securities Arbitration 2013

Released on: Aug. 15, 2013

The continuing national discussion regarding the fairness of arbitration has influenced the forums management of the process. FINRA has focused not only on the compositions of arbitration panels but the definition of who is a “customer” and what is “suitable” in securities cases. In 2013 FINRA will continue its focus on employment disputes and expungement applications.This year’s Securities Arbitration program will feature FINRA Dispute Resolution’s ...

Recorded on: Jan. 23, 2013

Taken from the briefing Art of the Deal 2.0 - Web 2.0 Issues in Technology Acquisitions recorded January, 2013. Web 2.0 has introduced a new breed of assets to the 21st century.  M&A lawyers who once sold plant and equipment, then trademarks, copyrights, and patents, now need to be expert in the acquisition of these elusive assets.  Yet practice in this area has yet to adapt to Friends, Channels, and App Ratings.  This ...

Recorded on: Feb. 6, 2013

AMY TAUB: Hello. My name is Amy Taub and I'm a program attorney with PLI. I would like to welcome you to today's briefing, "Art of the Deal, Web 2.0 Issues in Technology Acquisitions." Before I begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to materials for this briefing via the course handbook ...

From the program: First Annual Institute on Corporate & Securities Law in Hong Kong 2013

Released on: May. 2, 2013

PLI has offered the most comprehensive continuing legal education seminars in the United States for more than eighty years, primarily in New York City, San Francisco, Chicago and Washington, D.C.  Based on our success in the U.S., PLI expanded to London and have been offering our Institute on Securities Regulation for more than twelve years.  We are excited about our expansion into Asia.Our First Annual Institute on Corporate & Securities ...

From the program: Asset Based Financing Strategies 2013

Released on: Mar. 25, 2013

Asset-based financing is a key source of credit for small and medium-size companies and for some larger, publicly traded companies as well. In contrast to equity financing where ownership in the company is diluted, asset-based financing allows companies to use their own assets to generate cash flow. In structuring these loans, lenders and their counsel must consider all senior interests in the collateral, as well as the practical difficulties in ...

Recorded on: Apr. 14, 2010

SPEAKER 1: Good morning, everyone. I hope we're all ready for our second day of Asset Based Financing in Today's Economy. Today we're going to be talking about a number of different transactional issues in the morning. And in the early afternoon, we're going to be talking about assignments, participations, guarantees, multi-lender, multi-borrower issues. That's going to be followed by-- Christine is going to lead us through that. And Scott it's going ...

Recorded on: Jun. 4, 2012

REBECCA WALKER: We're nearing the finish line for the day. Last two topics of the day. This one's a really tough one. This is an area where we as ethics and compliance professionals continue to struggle. We've talked about this a little throughout the day to day, and that is how do we measure the effectiveness of what we're doing. How do we test our programs to ensure both that they are running appropriately and that legal violations are not occurring? ...

From the program: Corporate Compliance and Ethics Institute 2013

Released on: Jun. 14, 2013

Compliance and ethics programs should no longer be considered optional. They are an important aspect of legal risk management, and government standards on compliance programs have become increasingly specific. No matter how large or small the company, paying careful attention to corporate compliance and ethics is critical. No area is safe - prosecutors all over the world aggressively attack corporate crime, as countries now pursue subjects ...

Recorded on: Sep. 13, 2012

MICHAEL R. YOUNG: OK, everyone. Can hear me? We're going to get started again. And the good news is that your long wait is over. I know that you have been all sitting here patiently for everyone's favorite panels. And that is the panel on Audit Committees. And then the panels on Enforcement. And your patience is now to be rewarded. We're going to do first the audit committees. And then at four o'clock we're going to do enforcement. And with audit ...

Recorded on: Mar. 1, 2012

ALAN BELLER: We're going to slide very appropriately from Lew Ferguson's speech to audit committees. I'm not sure we planned that, but we're happy we have it. Joining us for this panel, in order from my right, my immediate right, Debra Perry, who had a long career at Moody's, I think culminating as Chief Administrative Officer after several years in various senior positions there. She has more recently been involved on the boards of directors of ...

From the program: Audit Committees and Financial Reporting 2013: Recent Developments and Current Issues

Released on: Jul. 5, 2013

As we continue to see many new regulations from the SEC, PCAOB and financial institution regulators, we also continue to see numerous challenges emerge for the audit committee. If you are a director or member of an audit committee, or if you advise audit committees, this program will help you understand what is required of the audit committee, and those who advise them, in this rapidly changing environment. You will hear from an expert faculty of ...

Recorded on: Feb. 5, 2010

PANEL INTRODUCER: Ok, folks. We're going to finish up with our ethics panel and I'm delighted to introduce this very distinguished panel that will be giving you their insights. It's a very accomplished group and I think we have a lot to listen and learn about today. Introducing from right to left on the panel. Si Lorne Si is the current Vice Chairman and Chief Legal Officer of Millenium Management. It's a hedge fund manager with over $11 billion ...

Recorded on: Nov. 4, 2011

SPEAKER 1: Multi-country Sourcing. I turn it over to Mike and Ross. ROSS E. McKEAN: Well, thank you everyone. I'll make a start for this session. And in terms of what we're trying to cover at the part two, we're going to do a deeper dive into what non-US laws that can derail sourcing, process and deadlines. And there are lots of laws that can derail sourcing, process, and deadlines. So I'm going to pick two which tend to be the more problematic, ...

Recorded on: Nov. 4, 2011

JOHN F. DELANEY: OK. Welcome to day two of the PLI Outsourcing Conference. And we're going to kick it off this morning with a presentation on avoiding missteps in multi-country outsourcing. And we're very fortunate to have two of the leading experts in this area to speak to us on this subject. It's going to be a co-presentation. Sitting immediately to Bill's right is Michael Mensik. Michael is one of the co-chairs of this program. He's also a partner ...

Recorded on: Apr. 17, 2012

ANNA PINEDO: Thanks for a wonderful panel. And we're going to move right along and continue into our next session. So we invite our speakers to join us. Our next session covers communications issues arising in connection with private placements and hybrid offerings. And with us this morning we have three panelists. Marty Dunn, and Marty is a partner at O'Melveny's Washington, D.C., office and a member of the corporate finance and capital markets ...