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

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

Recorded on: Jul. 24, 2017

Taken from the Web Program Basics of Accounting for Lawyers 2017: What Every Practicing Lawyer Needs to Know San Francisco recorded July 2017 in San Francisco. Regulatory and Enforcement Trends and Update [01:30:55] 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 ...

Eighteenth Annual Private Equity Forum -- Conflicts of Interest and Ethics Issues for Funds

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From the program: Eighteenth Annual Private Equity Forum

Recorded on: Jul. 12, 2017

Taken from the Web Program Eighteenth Annual Private Equity Forum recorded July, 2017 in New York. Conflicts of Interest and Ethics Issues for Funds [01:00:27] Conflicts of interest between the fund and the manager Ethics issues arising among funds with the same adviser Ethics issues arising within the adviser L. Friedrich, B. Lieb The purchase price of this segment includes the following article from the Course Handbook ...

Fundamentals of Broker-Dealer Regulation 2017 -- An Overview of the Broker-Dealer Regulatory Framework

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From the program: Fundamentals of Broker-Dealer Regulation 2017

Recorded on: Jul. 18, 2017

Taken from the briefing Fundamentals of Broker-Dealer Regulation 2017 recorded July, 2017 in New York. An Overview of the Broker-Dealer Regulatory Framework [01:15:21] State regulation SRO regulation FINRA membership The interplay between the SEC, the SROs and the states Current initiatives (CFE Field of Study: Fraud) David F. Freeman, Jr., G. Philip Rutledge The purchase price of this segment includes ...

Understanding the Securities Laws 2017 -- Disgorgements by Corporate Executives Under the Federal Securities Laws

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From the program: Understanding the Securities Laws 2017

Recorded on: Jul. 18, 2017

Taken from the Web Program Understanding the Securities Laws 2017 recorded July, 2017 in New York. Disgorgements by Corporate Executives Under the Federal Securities Laws [00:59:30] Section 16 reporting and liability – “short-swing” profit rules Implications of delinquent filings Sarbanes-Oxley and Dodd-Frank “clawback” provisions—where do things stand today? Regulation BTR Litigation ...


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