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Concluding the Investigation

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Recorded on: Jun. 27, 2014

RICHARD MORVILLO: Good afternoon and welcome back. Hope you enjoyed lunch. We're going to move into a third section of our presentation today, and this will be about concluding the investigation. Just for context, we'll follow along with the hypothetical, and then I will introduce the moderator of the next panel. So you'll remember from before lunch, our friends the CEO is off on the beach somewhere. In mid March, the audit committee counsel met ...

Aiding and Abetting Claims in M&A Litigation

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Recorded on: Jun. 27, 2014

GARY A. BORNSTEIN: All right. Welcome back everybody for our last panel of the afternoon. Our panelists to discuss aiding and abetting liability include this time me, where I'm allowed to speak. I'm Gary Bornstein. I already got introduced. To my left is Anne Foster who is a partner at the Richards Layton firm in Wilmington. To Anne's left is the former Vice Chancellor Steve Lamb of the Chancery Court in Delaware who is now a partner in the Wilmington ...

Commencing the Investigation: Considerations at the Outset

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Recorded on: Jun. 27, 2014

STEVEN R. PEIKIN: Great. Thanks, Rich. Let me just take a moment before we dive in to introduce a very distinguished group of panelists we have here today. Sitting to my immediate left is Martine Beamon, who's a partner in the litigation department of Davis Polk. Martine has successfully represented in institutions in a wide variety of white collar and regulatory enforcement matters. Martine spent six years as an assistant US attorney in the Southern ...

Conducting the Investigation

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Recorded on: Jun. 27, 2014

RICHARD J. MORVILLO: Welcome back. Thank you. We're going to move into our next panel, which will be focused a bit more on how to conduct the investigation. And we're fortunate to have another outstanding panel. And I'm going to go from my left. I hope I'm going that way. Seated next to me is Steve Fagell who's a partner at Covington & Burling's Washington office. He has a good bit of experience in government service. He was the former deputy ...

What's Hot in Design Build?

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Recorded on: Jun. 26, 2014

SPEAKER: Are We good to go? All right. Welcome back, everybody. This is our last presentation before the lunch time break at 12:45. And Suzanne Harness will be our speaker to talk about what's happening in the field design build. We did a bit of a deep dive this morning into the various standard form documents. Now, we're going to step back, take a broader look at some of the stuff that's happening in the field of design built. Suzanne, I think as ...

Latest Trends in Ethics Issues in Arbitration

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Recorded on: Jun. 26, 2014

TIMOTHY R. TWOMEY: Thanks, Megan. Folks, we have Josh Leavitt, who will address the issue of ethics with us. As I mentioned earlier this morning, Larry Harris, due to a family emergency was unable to attend, but Josh will cover both his and Larry's segments. Josh is a frequent contributor to these programs over the years, and I think you'll enjoy him. Josh, thanks very much. JOSH M. LEAVITT: Hi. Thanks, Tim. I think this is my 10th year-- TIMOTHY ...

Contract Considerations in International (Transnational) Contracting

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Recorded on: Jun. 26, 2014

TIMOTHY R. TWOMEY: OK. Welcome back, everybody. This program goes from 1:45 to 2:45, and it's on globalization and a whole bunch of different considerations, particularly in terms of contract drafting, that one often encounters when you're dealing with projects in many different parts of world. And our speaker is Robyn Miller, who is general counsel at AECOM, a 45,000-person firm, worldwide-- huge, huge operation. As I mentioned earlier this morning, ...

Insurance and Risk Allocation

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Recorded on: Jun. 26, 2014

TIM: OK. Thank you. All right, I just want to briefly introduce David Hatem right here. He'll stand at the podium, Sal Perrucci, are going to talk about issues regarding insurance and risk allocation, and how they interrelate with professional liability insurance, and also the particular types of project delivery systems that are involved, and then maybe peek into the future about where some of this is all going. So thanks, David. DAVID J HATEM: ...

Deconstructing the Standard Design/Build Contract Forms

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Recorded on: Jun. 26, 2014

MEGHAN CARNEY: And now it is with great pleasure that I introduce to you the chairs of today's program-- Patrick J. O'Connor and Tim Twomey. Pat is a partner-- and Pat is a junior, actually. So sorry. PATRICK J. O'CONNOR: That's true. MEGHAN CARNEY: I don't want to forget that. Pat is a partner with the international law firm of Faegre and Benson LLP. Mr. O'Connor's practice focuses on construction, suretyship, and insurance. He also acts as a mediator, ...

International Market and the JOBS Act Amendments Eliminating the Prohibition on General Solicitation and General Advertising Under New Rule 506(c) of Regulation D and Rule 144A (Audio-only)

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Recorded on: Jun. 25, 2014

PRESENTER: It is now my pleasure to turn this briefing over to Daniel Winterfeldt. DANIEL K. WINTERFELDT: Hi. Welcome, everyone. And thank you for dialing in. And thanks to Edward and Laura for being here with us. The purpose of today's call IS we wanted to kind of check it with the market and talk about the changes that have gone on under the JOBS Act around general solicitation and general advertising, and visit how those rules are impacting or ...

Supervision and Compliance Programs (Legal Ethics)

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Recorded on: Jun. 24, 2014

MARK HAPPE: All right. We are back. Two more panels to go. One, this panel on supervision and compliance programs, and also a wrap-up panel on financial responsibility, record-keeping, and exams. On this session, this panel, we want to focus on a broker-dealer's infrastructure and the requirement that a broker-dealer supervise and also have established and administered a compliance program, what this means from a practical perspective. And very, ...

Financial Responsibility, Recordkeeping, and Exams

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Recorded on: Jun. 24, 2014

JOHN R. HEWITT: OK. Thank you, Lauren. I appreciate it. And today we're going to talk about record keeping, examinations. And I'm going to throw it over to you, Jack. And he's going to go through net capital and customer protection. And one of our biggest challenges at the latter part of a day like this is to keep you enthused. And one of the ways I find doing that is to mention $10 million. And from the standpoint of what I'm about to talk about, ...

The Customer Relationship

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Recorded on: Jun. 24, 2014

CLIFFORD E. KIRSCH: We are ready to continue. Hope you had a nice lunch. This next session we're going to look at the rules, the framework when broker-dealers deal with customers. Where we are. We've talked about requirements to register as a broker-dealer, how do you register, how do you become a FINRA member. Then we talked about how the SEC, FINRA, state rules fit together and how you navigate the different rules. On this session, we want to work ...

Regulatory Jurisdiction

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Recorded on: Jun. 24, 2014

CLIFFORD E. KIRSCH: Welcome back, everyone. And this next panel is going to look at SEC, FINRA and state jurisdiction. And what we want to do on this panel is give you a better sense of how the regulatory bodies of the SEC, FINRA and the states overlap, speak to one another, deal with one another, to better enable you to sort of regulate the various regulations. And we have a great panel to be able to do that. To my extreme left is David Freeman. ...

Ethical Challenges for Audit Committees and Their Adviors: Look Out the SEC and DOJ are Watching

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Recorded on: Jun. 23, 2014

MICHAEL R YOUNG: Ready. JOHN F OLSON: OK. We're now at the final hour. I'm John Olson. I'm back again. We have some of the panelists we've had before. I think you've met all them except for Peter Beshar, who's on the far end. Peter is the executive vice president and general counsel and various other things at Marsh Incorporated, which is the parent of a lot of things, including the Marsh & McLennan and various other entities, including compensation ...

Risk Management & Compliance: What Audit Committees Need to Know

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Recorded on: Jun. 23, 2014

JOHN F OLSON: Good afternoon. I'm John Olson one of your co-chairs. It's my pleasure to introduce the first of the afternoon panels. I was advised over the lunch break-- a little while ago actually before the last panel. This is actually the second year afternoon panels, I just wasn't here for the first one, sorry-- that we had about 200 people online for this program. So for those of you who are not in the room, greetings once again. This panel ...

Financial Reporting Developments: What Audit Committees Need to Know

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Recorded on: Jun. 23, 2014

CATHERINE L. BROMILOW: Well good afternoon, everyone. And welcome back. I'm Catherine Bromilow, the third co-chair. And it's a pleasure to welcome my financial reporting panel. One of the benefits of getting later in the day is I have fewer people to introduce, because you've already met Don Nicolaisen. You really well know Linda. But I will introduce the new member that you haven't met before, Daghan Or. Daghan is a practice fellow with the Financial ...

"Stayin' Alive": Ethical Aspects of Employment Discrimination Litigation

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Recorded on: Jun. 19, 2014

SPEAKER 1: We are now about to start the ethics program. It's called. "Stayin' Alive," and it's going to be a fun ethics program, which may be unusual. Sitting to my immediate left is Anne Clark, who is a partner at Vladeck, Waldman. She concentrates on employment discrimination and other employment-related matters. She graduated from NYU, and NYU Law School. Prior to joining the firm, she was a law clerk to the Honorable Raymond Pettine ...

"Stairway to Heaven": Religious Accommodation and Discrimination

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Recorded on: Jun. 19, 2014

THEODORE ROGERS: All right, we're ready to begin again. Thank you so much for being seated and being ready to roll. Our next panel, "Stairway to Heaven"-- there's one I remember-- religious accommodation and discrimination. We're fortunate to have with us first on Ann's left, Joyce Dubensky, who's the CEO of Tanenbaum, a nonsectarian, nonprofit organization that promotes mutual respect through practical programs, addressing religious and ...

The Concept of Old 102(e) Recast as New 102 (a)(2) as Implemented by New 102(d): Effects of Priority Under 119, 120, 121, 365

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Recorded on: Jun. 18, 2014

JOHN M. WHITE: Welcome back. John White here for our wrap-up session this afternoon. A couple of housekeeping things, and then I will go ahead and introduce our material and our next speaker. The housekeeping thing is first for those in the room, please use your iPad to evaluate the course that you've just seen. The evaluations are on there. But also please don't forget to sign out. Your signing out on that enables us to know that you've actually ...

Post AIA Section 102: The Complete Breakdown of 102 (a)-(d)

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Recorded on: Jun. 18, 2014

JOHN WHITE: So let me introduce both of those. Len has been practicing patent law for, I guess, 30, 35 years, something like that. He started out with a bachelor's degree in biochemistry, followed by a Juris Doctor, one from Maryland, one from a school in Virginia. He became a partner in Birch, Stewart and has been running their San Diego office all these years, down in Southern California. So he came up for this program. But Len has extensive experience ...

35 USC 103 and the CAFC

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Recorded on: Jun. 18, 2014

JOHN M. WHITE: Now on to Rebecca and 103. REBECCA GOLDMAN RUDICH: OK. Now as we've talked about, I've been doing this piece for John for quite a while. My original piece with prior art was I did 102 (c) and (d), and then eventually graduated into doing some of the obviousness stuff. But I want to refer you on my 102(c), which no longer exists. If you really want an interesting read about adverse statements-- self-serving statements by inventors, ...

Old 102: Is It Really Gone? And, Which Definitions and Practices Carry Over to New 102?

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Recorded on: Jun. 18, 2014

JOHN WHITE: OK. John White here. Welcome back to all those of you out there on the web and all those of you here in the room. Welcome back. I hope you're caffeinated and ready to go. We have more terrific programming ready for you. And I will once again, I have the privilege of introducing our first two speakers of the afternoon and giving you just a little bit of the layout of the afternoon. But fundamentally, we go from now until 3:30, which is ...

Section 103: Inside the PTO - Obviousness Rejection

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Recorded on: Jun. 18, 2014

JOHN M. WHITE: OK. Welcome back. It's 11:15 and I realize that day you're still taking your seats and so forth. And we will encourage you to come and go as long as you don't bother your neighbor kind of a thing. But we're obliged to maintain tight control of our time for CLE requirements, especially for the online component of this. So I apologize it seems like I'm not very courteous when you arrive and depart. I apologize. It's all for CLE requirements. And ...

Disloyalty: Steps to Prevent Breaches of Fiduciary Duties by Employees, Officers, and Directors and What to do When They Occur 2014 (Audio-only)

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Recorded on: Jun. 18, 2014

AMY TAUB: Hello. My name is Amy Taub, and I am a Program Attorney with PLI. I would like to welcome you to today's briefing, Disloyalty: Steps to Prevent Breaches of Fiduciary Duties by Employees, Officers, and Directors, and What to do When They Occur. 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 ...

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