On-Demand   On-Demand Web Programs

Financial Services Industry Regulatory Compliance & Ethics Forum 2013

Released on: Nov. 13, 2013
Running Time: 06:43:08

Running Time Segment Title Faculty Format
[01:10:42] Laying the Foundation Peter Feeley ~ Corporate Chief Compliance Officer, Law Department, The Guardian Life Insurance Company of America
Clifford E. Kirsch ~ Sutherland Asbill & Brennan LLP
Kathryn S. Reimann ~ Managing DirectorGlobal Consumer/Citibank Chief Compliance Officer, Citigroup
On-Demand MP3 MP4
[01:00:02] Safeguarding Customer Information and Privacy Tanya L. Forsheit ~ InfoLawGroup LLP
On-Demand MP3 MP4
[01:01:41] Anti-Money Laundering (AML) Brian C. Loutrel ~ Vice President & Chief Privacy Officer, New York Life Insurance Co. / NYLIFE Securities LLC
Sung-Hee Suh ~ Schulte Roth & Zabel LLP
Lisa M. Belle ~ Managing Director, JPMChase
On-Demand MP3 MP4
[01:00:16] Corporate Political Activities; Pay-to-Play Patricia M. Zweibel ~ Skadden Arps Slate Meagher & Flom LLP
On-Demand MP3 MP4
[00:57:59] The SEC's Whistleblower Rules Allegra J. Lawrence-Hardy ~ Sutherland Asbill & Brennan LLP
On-Demand MP3 MP4
[01:00:03] Foreign Corrupt Practices Act Sharie A. Brown ~ Troutman Sanders LLP
On-Demand MP3 MP4

In the aftermath of the financial crisis and recent scandals, and targeted examination and enforcement scrutiny, financial services firms’ corporate compliance and ethics programs are under intense observation. In this program, you will get a solid foundation in the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators will review the major regulations and current examination and enforcement actions to give you a multifaceted perspective on requirements and best practices in this area.

Lecture Topics 
[Total time 06:43:08]

Segments with an asterisk (*) are available only with the purchase of the entire program.

  • Keynote Address [00:32:25]
    Andrew M. Calamari
  • Laying the Foundation [01:10:42]
    Peter Feeley, Clifford E. Kirsch, Kathryn S. Reimann
  • Safeguarding Customer Information and Privacy [01:00:02]
    Tanya L. Forsheit
  • Anti-Money Laundering (AML) [01:01:41]
    Brian C. Loutrel, Sung-Hee Suh, Lisa M. Belle
  • Corporate Political Activities; Pay-to-Play [01:00:16]
    Patricia M. Zweibel
  • The SEC's Whistleblower Rules [00:57:59]
    Allegra J. Lawrence-Hardy
  • Foreign Corrupt Practices Act [01:00:03]
    Sharie A. Brown

The purchase price of this Web Program includes the following articles from the Course Handbook available online:

  • Broker-Dealer and Adviser Compliance Programs
    Clifford E. Kirsch
  • National Exam Program: Examination Priorities for 2013, Sec Office of Compliance Inspections and Examinations (February 21, 2013)
    Clifford E. Kirsch
  • Speech: Conflicts of Interest and Risk Governance, At the National Society of Compliance Professionals, By Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission (October 22, 2012)
    Clifford E. Kirsch
  • Speech by Sec Staff: Remarks at the Compliance Outreach Program, At Sec Headquarters, Washington, D.C., By Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission (January 31, 2012)
    Clifford E. Kirsch
  • In the Matter of Feltl & Company, Inc., Sec Admin. Proc. File No. 3-14645 (Nov. 28, 2011)
    Clifford E. Kirsch
  • In the Matter of Asset Advisors, LLC, Sec Admin. Proc. File No. 3-14644 (Nov. 28, 2011)
    Clifford E. Kirsch
  • In the Matter of Omni Investment Advisors Inc. and Gary R. Beynon, Sec Admin. Proc. File No. 3-14643 (Nov. 28, 2011)
    Clifford E. Kirsch
  • In the Matter of Axa Rosenberg Group LLC, Axa Rosenberg Investment Management LLC, And Barr Rosenberg Research Center LLC, Sec Admin. Proc. File No. 3-14224 (Feb. 3, 2011)
    Clifford E. Kirsch
  • Safeguarding Customer Information and Privacy (August 23, 2013)
    Tanya L. Forsheit
  • Money Laundering: A Primer (October 30, 2013)
    Sung-Hee Suh
  • Corporate Political Activities: Pay-To-Play, Campaign Finance, Lobbying, And Gift Laws (July 2013)
    Kenneth A. Gross, Ki P. Hong, Patricia M. Zweibel
  • The Uncertain Scope of Protection for Internal Whistleblowers Under Dodd-Frank (August 23, 2013)
    Allegra J. Lawrence-Hardy
  • Ten Reasons Why Companies Should Value Their Chief Compliance Officer
    Sharie A. Brown
  • Merger and Acquisition Due Diligence: Why It is not Enough to Prevent an FCPA Violation
    Sharie A. Brown

Presentation Material

  • Laying the Foundation
    Peter Feeley, Clifford E. Kirsch, Kathryn S. Reimann
  • Safeguarding Customer Information and Privacy
    Tanya L. Forsheit
  • Anti-Money Laundering (AML)
    Sung-Hee Suh
  • Corporate Political Activities; Pay-to-Play
    Patricia M. Zweibel
  • The SEC’s Whistleblower Rules:Compliance and Litigation Perspectives for Employers After Dodd-Frank
    Allegra J. Lawrence-Hardy
  • Foreign Corrupt Practices Act
    Sharie A. Brown
Chairperson(s)
Clifford E. Kirsch ~ Sutherland Asbill & Brennan LLP
Speaker(s)
Lisa M. Belle ~ Managing Director, JPMChase
Sharie A. Brown ~ Troutman Sanders LLP
Andrew M. Calamari ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Peter Feeley ~ Corporate Chief Compliance Officer, Law Department, The Guardian Life Insurance Company of America
Tanya L. Forsheit ~ InfoLawGroup LLP
Allegra J. Lawrence-Hardy ~ Sutherland Asbill & Brennan LLP
Brian C. Loutrel ~ Vice President & Chief Privacy Officer, New York Life Insurance Co. / NYLIFE Securities LLC
Kathryn S. Reimann ~ Managing DirectorGlobal Consumer/Citibank Chief Compliance Officer, Citigroup
Sung-Hee Suh ~ Schulte Roth & Zabel LLP
Patricia M. Zweibel ~ Skadden Arps Slate Meagher & Flom LLP

PLI makes every effort to accredit its On-Demand Web Programs and Segments.  Please check the CLE Calculator above for CLE information specific to your state.

On-Demand Web Programs and Segments are approved in:

Alabama1, Alaska, California, Colorado, Delaware, Florida, Georgia, Hawaii, Idaho*, Illinois , Iowa2*, Kansas, Kentucky*, Louisiana, Maine*, Mississippi, Missouri3, Montana, Nebraska, Nevada, New Hampshire4, New Jersey, New Mexico5, New York6,  North Carolina7, North Dakota, Ohio8, Oklahoma9, Oregon*, Pennsylvania10, Rhode Island11, South Carolina, Tennessee12, Texas, Utah, Vermont, Virginia13, Washington, West Virginia, Wisconsin14 and Wyoming*.

Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.

Minnesota 
approves live webcasts ONLY

Please Note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. PLI programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.

*PLI will apply for credit upon request. Louisiana and New Hampshire: PLI will apply for credit upon request for audio-only on-demand web programs.


1Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.

 

2Iowa:  The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.

3Missouri:  On-demand web programs are restricted to six hours of self-study credit per year.  Self-study may not be used to satisfy the ethics requirements.  Self-study can not be used for carryover credit.

 

4New Hamphsire:  The approval is for three years from recorded date.

5New Mexico:  On-Demand web programs are restricted to 4.0 self-study credits per year. 


6New York:  Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats. 

7North Carolina:  A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs. 


8Ohio:  To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us.  Online programs are considered self-study.  Ohio attorneys have a 6 credit self-study limit per compliance period.  The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.

9Oklahoma:  Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.


10Pennsylvania:  PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.
 

11Rhode Island:  Audio Only On-Demand Web Programs are not approved for credit.  On-Demand Web Programs must have an audio and video component.

12Tennessee:  The approval is for the calendar year in which the live program was presented.

13Virginia: All distance learning courses are to be done in an educational setting, free from distractions.

14Wisconsin: Ethics credit is not allowed.  The ethics portion of the program will be approved for general credit.  There is a 10 credit limit for on-demand web programs during every 2-year reporting period.  Does not approve of Audio-only On-Demand Webcasts.


Running time and CLE credit hours are not necessarily the same. Please be aware that many states do not permit credit for luncheon and keynote speakers.


If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.


Note that some states limit the number of credit hours attorneys may claim for online CLE activities, and state rules vary with regard to whether online CLE activities qualify for participatory or self-study credits. For more information, call Customer Service (800) 260-4PLI (4754) or e-mail info@pli.edu.

 
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