Seminar  Seminar

Global Capital Markets & the U.S. Securities Laws 2013: Raising Capital in an Evolving Regulatory Environment


Select a Location:

Co-Sponsored by Pennsylvania Bar Institute

Attendees in Pennsylvania will be viewing the live broadcast at the Pennsylvania Bar Institute's CLE Conference Center, Wanamaker Building, 10th floor, Philadelphia (Juniper St. entrance, between 13th & Broad Sts., opposite City Hall). You will have the opportunity to submit questions and will receive the printed Course Handbook.


Why you should attend

Capital markets are adjusting to a wide range of evolving regulatory standards which affect the way in which offerings are conducted around the world. At the same time, issuers around the world are subject to changing accounting and corporate governance standards, while market participants navigate new ground in derivative product regulation. Issuers and market participants also face an increasingly active global enforcement environment targeting activities taking place around the world. This program will keep securities lawyers up-to-date on domestic and international regulatory and market developments, bringing together an engaging group of expert practitioners and senior regulators for an in-depth look at how the U.S. securities laws work in the context of a rapidly evolving global regulatory environment.

What you will learn

Some of the areas this year’s program will cover are:
  • The latest developments with global regulatory efforts
  • Evolving accounting, disclosure and governance standards for issuers
  • Current developments with private and public offering practices
  • Changes to the global regulation of alternative investment vehicles and derivatives
  • Securities enforcement in an increasingly global regulatory environment

Who should attend

This program is aimed at the lawyer with practices involving securities regulation and capital markets. It will be valuable to lawyers in law firms, financial institutions or multinational companies. The material is advanced, so it is suitable for an experienced practitioner who needs to keep current with developments in international securities regulation.

PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Morning Session: 9:00 a.m. - 12:30 p.m.

9:00 Introduction and Opening Remarks

Paul M. Dudek, David M. Lynn

9:15 Global Capital Markets Perspectives in 2013
  • The state of capital markets in a global environment
  • Role of the G20 and FSB in financial regulation
  • The SEC’s international regulatory agenda
Alan L. Beller, Robert M. Fisher

10:15 Hot Topics in Capital Markets
  • Disclosure developments
  • The latest developments with Rule 144A and Regulation S offerings
  • The impact of the JOBS Act
  • Global offering techniques
Anna T. Pinedo, Antonia E. Stolper, Thomas W. Yang

11:15 Networking Break

11:30 IFRS and Other Accounting Matters
  • Prospects for the use of IFRS by U.S. issuers
  • The SEC’s work plan for IFRS
  • Practical advice for foreign private issuers using IFRS
  • The regulatory and institutional framework of IFRS
Wayne E. Carnall, Alexander F. Cohen, Jonathan Guthart

12:30 Lunch

Afternoon Session: 1:45 p.m. - 5:00 p.m.

1:45 Corporate Governance
  • Investor responses to governance concerns
  • Regulatory measures to strengthen corporate governance
  • A global perspective on governance reforms
Keir D. Gumbs, Dan Konigsburg, Lopa Patel Zielinski

2:45 Alternative Investment Vehicles and Derivatives Regulation
  • Private equity and hedge fund regulation
  • Investment Company Act and broker-dealer issues in global practice
  • EU and SEC approaches to alternative investment funds
  • Developments with global derivatives regulation
Matthew A. Chambers, Susan C. Ervin, Barbara A. Stettner

3:45 Networking Break

4:00 Enforcement Developments
  • Liability risk in global offerings
  • International convergence and enforcement
  • Global FCPA practices
Paul R. Berger, Michael D. Mann, Linda Chatman Thomsen

5:00 Program Adjourns
Co-Chair(s)
Paul M. Dudek ~ Chief, Office of International Corporate Finance, Division of Corporation Finance, U.S. Securities and Exchange Commission
David M. Lynn ~ Morrison & Foerster LLP
Speaker(s)
Alan L. Beller ~ Cleary Gottlieb Steen & Hamilton LLP
Paul R. Berger ~ Debevoise & Plimpton LLP
Wayne E. Carnall ~ PricewaterhouseCoopers LLP
Matthew A. Chambers ~ Wilmer Cutler Pickering Hale and Dorr LLP
Alexander F. Cohen ~ Latham & Watkins LLP
Susan C. Ervin ~ Davis Polk & Wardwell LLP
Dr. Robert Fisher ~ Deputy Director, Office of International Affairs, U.S. Securities and Exchange Commission
Keir D. Gumbs ~ Covington & Burling LLP
Jonathan R. Guthart ~ KPMG US Capital Markets Group
Dan Konigsburg ~ Deloitte Touche Tohmatsu Limited
Michael D. Mann ~ Richards Kibbe & Orbe LLP
Anna T. Pinedo ~ Morrison & Foerster LLP
Barbara A. Stettner ~ Partner, Allen & Overy LLP
Antonia E. Stolper ~ Shearman & Sterling LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Thomas W. Yang ~ Managing Director & Associate General Counsel, Bank of America Merrill Lynch
Lopa Patel Zielinski ~ Director and Senior Counsel, Corporate Governance, TIAA-CREF
Program Attorney(s)
Lauren E. Nochta ~ Program Attorney, Practising Law Institute

Philadelphia Groupcast Location

Pennsylvania Bar Institute, The CLE Conference Center, Wanamaker Building, 10th floor, Suite 1010, Center City Philadelphia (Juniper St. entrance, between 13th & Broad Sts., opposite City Hall). (800) 932-4637.  Click here for directions.

Philadelphia Groupcast Hotel Accommodations

Below is a list of hotel accommodations suggested by the Pennsylvania Bar Institute:

Marriott Residence Inn

Ritz Carlton

Loews Philadelphia  

Philadelphia Marriott Downtown
Hilton Garden Inn

PLI's live programs are approved in all states that require mandatory continuing legal education for attorneys, except Arizona. Please be sure to check with your state for details.


Please check the CLE Calculator above each product description for CLE information specific to your state.


Special Note: In New York, newly admitted attorneys may receive CLE credit only for attendance at "transitional" programs during their first two years of admission to the Bar. Non-traditional course formats such as on-demand web programs or recorded items, are not acceptable for CLE credit. Experienced attorneys may choose to attend and receive CLE credit for either a transitional course or for one geared to experienced attorneys.  All product types, including on-demand web programs and recorded items, are approved for experienced attorneys.

Please note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement.

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.

Credit will be granted only to the individual on record as the purchaser unless alternative arrangements (prearranged groupcast) are made in advance.

Why you should attend

Capital markets are adjusting to a wide range of evolving regulatory standards which affect the way in which offerings are conducted around the world. At the same time, issuers around the world are subject to changing accounting and corporate governance standards, while market participants navigate new ground in derivative product regulation. Issuers and market participants also face an increasingly active global enforcement environment targeting activities taking place around the world. This program will keep securities lawyers up-to-date on domestic and international regulatory and market developments, bringing together an engaging group of expert practitioners and senior regulators for an in-depth look at how the U.S. securities laws work in the context of a rapidly evolving global regulatory environment.

What you will learn

Some of the areas this year’s program will cover are:
  • The latest developments with global regulatory efforts
  • Evolving accounting, disclosure and governance standards for issuers
  • Current developments with private and public offering practices
  • Changes to the global regulation of alternative investment vehicles and derivatives
  • Securities enforcement in an increasingly global regulatory environment

Who should attend

This program is aimed at the lawyer with practices involving securities regulation and capital markets. It will be valuable to lawyers in law firms, financial institutions or multinational companies. The material is advanced, so it is suitable for an experienced practitioner who needs to keep current with developments in international securities regulation.

PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Morning Session: 9:00 a.m. - 12:30 p.m.

9:00 Introduction and Opening Remarks

Paul M. Dudek, David M. Lynn

9:15 Global Capital Markets Perspectives in 2013
  • The state of capital markets in a global environment
  • Role of the G20 and FSB in financial regulation
  • The SEC’s international regulatory agenda
Alan L. Beller, Robert M. Fisher

10:15 Hot Topics in Capital Markets
  • Disclosure developments 
  • The latest developments with Rule 144A and Regulation S offerings
  • The impact of the JOBS Act
  • Global offering techniques
Anna T. Pinedo, Antonia E. Stolper, Thomas W. Yang

11:15 Networking Break

11:30 IFRS and Other Accounting Matters
  • Prospects for the use of IFRS by U.S. issuers
  • The SEC’s work plan for IFRS
  • Practical advice for foreign private issuers using IFRS
  • The regulatory and institutional framework of IFRS
Wayne E. Carnall, Alexander F. Cohen, Jonathan Guthart

12:30 Lunch

Afternoon Session: 1:45 p.m. - 5:00 p.m.

1:45 Corporate Governance
  • Investor responses to governance concerns
  • Regulatory measures to strengthen corporate governance
  • A global perspective on governance reforms
Keir D. Gumbs, Dan Konigsburg, Lopa Patel Zielinski

2:45 Alternative Investment Vehicles and Derivatives Regulation
  • Private equity and hedge fund regulation
  • Investment Company Act and broker-dealer issues in global practice
  • EU and SEC approaches to alternative investment funds
  • Developments with global derivatives regulation
Matthew A. Chambers, Susan C. Ervin, Barbara A. Stettner

3:45 Networking Break

4:00 Enforcement Developments
  • Liability risk in global offerings
  • International convergence and enforcement
  • Global FCPA practices
Paul R. Berger, Michael D. Mann, Linda Chatman Thomsen

5:00 Program Adjourns
Co-Chair(s)
Paul M. Dudek ~ Chief, Office of International Corporate Finance, Division of Corporation Finance, U.S. Securities and Exchange Commission
David M. Lynn ~ Morrison & Foerster LLP
Speaker(s)
Alan L. Beller ~ Cleary Gottlieb Steen & Hamilton LLP
Paul R. Berger ~ Debevoise & Plimpton LLP
Wayne E. Carnall ~ PricewaterhouseCoopers LLP
Matthew A. Chambers ~ Wilmer Cutler Pickering Hale and Dorr LLP
Alexander F. Cohen ~ Latham & Watkins LLP
Susan C. Ervin ~ Davis Polk & Wardwell LLP
Dr. Robert Fisher ~ Deputy Director, Office of International Affairs, U.S. Securities and Exchange Commission
Keir D. Gumbs ~ Covington & Burling LLP
Jonathan R. Guthart ~ KPMG US Capital Markets Group
Dan Konigsburg ~ Deloitte Touche Tohmatsu Limited
Michael D. Mann ~ Richards Kibbe & Orbe LLP
Anna T. Pinedo ~ Morrison & Foerster LLP
Barbara A. Stettner ~ Partner, Allen & Overy LLP
Antonia E. Stolper ~ Shearman & Sterling LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Thomas W. Yang ~ Managing Director & Associate General Counsel, Bank of America Merrill Lynch
Lopa Patel Zielinski ~ Director and Senior Counsel, Corporate Governance, TIAA-CREF
Program Attorney(s)
Lauren E. Nochta ~ Program Attorney, Practising Law Institute
New York City Seminar Location

PLI New York Center, 810 Seventh Avenue at 53rd Street (21st floor), New York, New York 10019. Message Center, program days only: (212) 824-5733.

New York City Hotel Accommodations

The New York Hilton & Towers1335 Avenue of the Americas, New York, NY 10019. 1 block from PLI Center. Reservations 1-800-HILTONS or, 1-877-NYC-HILT. Please mention that you are booking a room under the Practising Law Institute Corporate rate and the Client File # is 0495741. You can also make reservations online to access Practising Law Institute rates.

The Warwick New York Hotel, 65 West 54th Street New York, NY 10019. 1 block from PLI Center. Reservations 800-223-4099 or, hotel direct 212-247-2700. Please mention that you are booking a room under the Practising Law Institute Corporate rate. Reservations on line at www.warwickhotelny.com Click reservations in menu bar on left. Select desired dates. In 'Special Rates' drop down window select Corporate Rate. In 'Rate Code' enter PLIN. Click search and select desired room type and rate plan. Or, you may email reservation requests to: res.ny@warwickhotels.com

Sheraton New York Hotel & Towers, 811 7th Avenue, New York, NY 10019, 1-800-325-3535 or (212) 581-1000. When calling, please mention Practising Law Institute and mention SET#311155. You may also book online.

PLI's live programs are approved in all states that require mandatory continuing legal education for attorneys, except Arizona. Please be sure to check with your state for details.


Please check the CLE Calculator above each product description for CLE information specific to your state.


Special Note: In New York, newly admitted attorneys may receive CLE credit only for attendance at "transitional" programs during their first two years of admission to the Bar. Non-traditional course formats such as on-demand web programs or recorded items, are not acceptable for CLE credit. Experienced attorneys may choose to attend and receive CLE credit for either a transitional course or for one geared to experienced attorneys.  All product types, including on-demand web programs and recorded items, are approved for experienced attorneys.

Please note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement.

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.

Credit will be granted only to the individual on record as the purchaser unless alternative arrangements (prearranged groupcast) are made in advance.

This is a webcast of the live New York session.

Why you should attend

Capital markets are adjusting to a wide range of evolving regulatory standards which affect the way in which offerings are conducted around the world. At the same time, issuers around the world are subject to changing accounting and corporate governance standards, while market participants navigate new ground in derivative product regulation. Issuers and market participants also face an increasingly active global enforcement environment targeting activities taking place around the world. This program will keep securities lawyers up-to-date on domestic and international regulatory and market developments, bringing together an engaging group of expert practitioners and senior regulators for an in-depth look at how the U.S. securities laws work in the context of a rapidly evolving global regulatory environment.

What you will learn

Some of the areas this year’s program will cover are:
  • The latest developments with global regulatory efforts
  • Evolving accounting, disclosure and governance standards for issuers
  • Current developments with private and public offering practices
  • Changes to the global regulation of alternative investment vehicles and derivatives
  • Securities enforcement in an increasingly global regulatory environment

Who should attend

This program is aimed at the lawyer with practices involving securities regulation and capital markets. It will be valuable to lawyers in law firms, financial institutions or multinational companies. The material is advanced, so it is suitable for an experienced practitioner who needs to keep current with developments in international securities regulation.

PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

All times are E.D.T.

Morning Session: 9:00 a.m. - 12:30 p.m.  (E.D.T.)

9:00 Introduction and Opening Remarks

Paul M. Dudek, David M. Lynn

9:15 Global Capital Markets Perspectives in 2013
  • The state of capital markets in a global environment
  • Role of the G20 and FSB in financial regulation
  • The SEC’s international regulatory agenda
Alan L. Beller, Robert M. Fisher

10:15 Hot Topics in Capital Markets
  • Disclosure developments
  • The latest developments with Rule 144A and Regulation S offerings
  • The impact of the JOBS Act
  • Global offering techniques
Anna T. Pinedo, Antonia E. Stolper, Thomas W. Yang

11:15 Networking Break

11:30 IFRS and Other Accounting Matters
  • Prospects for the use of IFRS by U.S. issuers
  • The SEC’s work plan for IFRS
  • Practical advice for foreign private issuers using IFRS
  • The regulatory and institutional framework of IFRS
Wayne E. Carnall, Alexander F. Cohen, Jonathan Guthart

12:30 Lunch

Afternoon Session: 1:45 p.m. - 5:00 p.m.  (E.D.T.)

1:45 Corporate Governance
  • Investor responses to governance concerns
  • Regulatory measures to strengthen corporate governance
  • A global perspective on governance reforms
Keir D. Gumbs, Dan Konigsburg, Lopa Patel Zielinski

2:45 Alternative Investment Vehicles and Derivatives Regulation
  • Private equity and hedge fund regulation
  • Investment Company Act and broker-dealer issues in global practice
  • EU and SEC approaches to alternative investment funds
  • Developments with global derivatives regulation
Matthew A. Chambers, Susan C. Ervin, Barbara A. Stettner

3:45 Networking Break

4:00 Enforcement Developments
  • Liability risk in global offerings
  • International convergence and enforcement
  • Global FCPA practices
Paul R. Berger, Michael D. Mann, Linda Chatman Thomsen

5:00 Program Adjourns
Co-Chair(s)
Paul M. Dudek ~ Chief, Office of International Corporate Finance, Division of Corporation Finance, U.S. Securities and Exchange Commission
David M. Lynn ~ Morrison & Foerster LLP
Speaker(s)
Alan L. Beller ~ Cleary Gottlieb Steen & Hamilton LLP
Paul R. Berger ~ Debevoise & Plimpton LLP
Wayne E. Carnall ~ PricewaterhouseCoopers LLP
Matthew A. Chambers ~ Wilmer Cutler Pickering Hale and Dorr LLP
Alexander F. Cohen ~ Latham & Watkins LLP
Susan C. Ervin ~ Davis Polk & Wardwell LLP
Dr. Robert Fisher ~ Deputy Director, Office of International Affairs, U.S. Securities and Exchange Commission
Keir D. Gumbs ~ Covington & Burling LLP
Jonathan R. Guthart ~ KPMG US Capital Markets Group
Dan Konigsburg ~ Deloitte Touche Tohmatsu Limited
Michael D. Mann ~ Richards Kibbe & Orbe LLP
Anna T. Pinedo ~ Morrison & Foerster LLP
Barbara A. Stettner ~ Partner, Allen & Overy LLP
Antonia E. Stolper ~ Shearman & Sterling LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Thomas W. Yang ~ Managing Director & Associate General Counsel, Bank of America Merrill Lynch
Lopa Patel Zielinski ~ Director and Senior Counsel, Corporate Governance, TIAA-CREF
Program Attorney(s)
Lauren E. Nochta ~ Program Attorney, Practising Law Institute
PLI makes every effort to accredit its Live Webcasts. Please check the CLE Calculator above for CLE information specific to your state.

PLI's Live Webcasts are approved for MCLE credit (unless otherwise noted in the product description) in the following states/territories:  Alabama, Alaska, Arkansas, California, Colorado, Delaware, Florida, Georgia, Hawaii, Idaho*, Illinois, Indiana1, Iowa*, Kansas*, Kentucky*, Louisiana, Maine*, Minnesota, Mississippi, Missouri, Montana, Nebraska, North Carolina, North Dakota, New Hampshire*, New Jersey, New Mexico, Nevada, New York2, Ohio3, Oklahoma, Oregon*, Pennsylvania4, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia5, Virgin Islands, Washington, West Virginia, Wisconsin, and Wyoming*.

*PLI will apply for credit upon request.

Arizona: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement.

Arkansas and Oklahoma: Audio-only live webcasts are not approved for credit.

 

1Indiana: Considered a distance education course. There is a 6 credit limit per year.

2New York: Newly admitted attorneys may not take non-transitional course formats such as on-demand audio or video 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.

3Ohio: To confirm that the live webcast 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 biennial 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.

4 Pennsylvania: A live webcast may be viewed individually or in a group setting. Credit may be granted to an attorney who views a live webcast individually. There is a 4.0 credit limit per year for this type of viewing. A live webcast viewed in a group setting receives live participatory credit if the program is open to the public and advertised at least 30 days prior to the program. Live webcasts viewed in a group setting that do not advertise at least 30 days prior the program will be considered "in-house", and therefore denied credit.

5Virginia: All distance learning courses are to be done in an educational setting, free from distractions.


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.

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, refer to your state CLE website or call Customer Service at (800) 260-4PLI (4754) or email: info@pli.edu.

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.

Co-Sponsored by Pennsylvania Bar Institute

Attendees in Pennsylvania will be viewing the live broadcast at the the Pennsylvania Bar Institute's Professional Development Conference Center, Heinz 57 Center, 339 Sixth Avenue, 7th Floor, Pittsburgh, Pennsylvania 15222-2517. You will have the opportunity to submit questions and will receive the printed Course Handbook.

Why you should attend

Capital markets are adjusting to a wide range of evolving regulatory standards which affect the way in which offerings are conducted around the world. At the same time, issuers around the world are subject to changing accounting and corporate governance standards, while market participants navigate new ground in derivative product regulation. Issuers and market participants also face an increasingly active global enforcement environment targeting activities taking place around the world. This program will keep securities lawyers up-to-date on domestic and international regulatory and market developments, bringing together an engaging group of expert practitioners and senior regulators for an in-depth look at how the U.S. securities laws work in the context of a rapidly evolving global regulatory environment.

What you will learn

Some of the areas this year’s program will cover are:
  • The latest developments with global regulatory efforts
  • Evolving accounting, disclosure and governance standards for issuers
  • Current developments with private and public offering practices
  • Changes to the global regulation of alternative investment vehicles and derivatives
  • Securities enforcement in an increasingly global regulatory environment

Who should attend

This program is aimed at the lawyer with practices involving securities regulation and capital markets. It will be valuable to lawyers in law firms, financial institutions or multinational companies. The material is advanced, so it is suitable for an experienced practitioner who needs to keep current with developments in international securities regulation.

PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Morning Session: 9:00 a.m. - 12:30 p.m.

9:00 Introduction and Opening Remarks

Paul M. Dudek, David M. Lynn

9:15 Global Capital Markets Perspectives in 2013
  • The state of capital markets in a global environment
  • Role of the G20 and FSB in financial regulation
  • The SEC’s international regulatory agenda
Alan L. Beller, Robert M. Fisher

10:15 Hot Topics in Capital Markets
  • Disclosure developments
  • The latest developments with Rule 144A and Regulation S offerings
  • The impact of the JOBS Act
  • Global offering techniques
Anna T. Pinedo, Antonia E. Stolper, Thomas W. Yang

11:15 Networking Break

11:30 IFRS and Other Accounting Matters
  • Prospects for the use of IFRS by U.S. issuers
  • The SEC’s work plan for IFRS
  • Practical advice for foreign private issuers using IFRS
  • The regulatory and institutional framework of IFRS
Wayne E. Carnall, Alexander F. Cohen, Jonathan Guthart

12:30 Lunch

Afternoon Session: 1:45 p.m. - 5:00 p.m.

1:45 Corporate Governance
  • Investor responses to governance concerns
  • Regulatory measures to strengthen corporate governance
  • A global perspective on governance reforms
Keir D. Gumbs, Dan Konigsburg, Lopa Patel Zielinski

2:45 Alternative Investment Vehicles and Derivatives Regulation
  • Private equity and hedge fund regulation
  • Investment Company Act and broker-dealer issues in global practice
  • EU and SEC approaches to alternative investment funds
  • Developments with global derivatives regulation
Matthew A. Chambers, Susan C. Ervin, Barbara A. Stettner

3:45 Networking Break

4:00 Enforcement Developments
  • Liability risk in global offerings
  • International convergence and enforcement
  • Global FCPA practices
Paul R. Berger, Michael D. Mann, Linda Chatman Thomsen

5:00 Program Adjourns
Co-Chair(s)
Paul M. Dudek ~ Chief, Office of International Corporate Finance, Division of Corporation Finance, U.S. Securities and Exchange Commission
David M. Lynn ~ Morrison & Foerster LLP
Speaker(s)
Alan L. Beller ~ Cleary Gottlieb Steen & Hamilton LLP
Paul R. Berger ~ Debevoise & Plimpton LLP
Wayne E. Carnall ~ PricewaterhouseCoopers LLP
Matthew A. Chambers ~ Wilmer Cutler Pickering Hale and Dorr LLP
Alexander F. Cohen ~ Latham & Watkins LLP
Susan C. Ervin ~ Davis Polk & Wardwell LLP
Dr. Robert Fisher ~ Deputy Director, Office of International Affairs, U.S. Securities and Exchange Commission
Keir D. Gumbs ~ Covington & Burling LLP
Jonathan R. Guthart ~ KPMG US Capital Markets Group
Dan Konigsburg ~ Deloitte Touche Tohmatsu Limited
Michael D. Mann ~ Richards Kibbe & Orbe LLP
Anna T. Pinedo ~ Morrison & Foerster LLP
Barbara A. Stettner ~ Partner, Allen & Overy LLP
Antonia E. Stolper ~ Shearman & Sterling LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Thomas W. Yang ~ Managing Director & Associate General Counsel, Bank of America Merrill Lynch
Lopa Patel Zielinski ~ Director and Senior Counsel, Corporate Governance, TIAA-CREF
Program Attorney(s)
Lauren E. Nochta ~ Program Attorney, Practising Law Institute

Pittsburgh Groupcast Location

Pennsylvania Bar Institute, Professional Development Conference Center, 339 Sixth Avenue, Suite 760, Pittsburgh, Pennsylvania 15222-2517. (412) 802-2300. Click here for directions.

PLI's live programs are approved in all states that require mandatory continuing legal education for attorneys, except Arizona. Please be sure to check with your state for details.


Please check the CLE Calculator above each product description for CLE information specific to your state.


Special Note: In New York, newly admitted attorneys may receive CLE credit only for attendance at "transitional" programs during their first two years of admission to the Bar. Non-traditional course formats such as on-demand web programs or recorded items, are not acceptable for CLE credit. Experienced attorneys may choose to attend and receive CLE credit for either a transitional course or for one geared to experienced attorneys.  All product types, including on-demand web programs and recorded items, are approved for experienced attorneys.

Please note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement.

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.

Credit will be granted only to the individual on record as the purchaser unless alternative arrangements (prearranged groupcast) are made in advance.

Co-Sponsored by Pennsylvania Bar Institute

Attendees in Pennsylvania will be viewing the live broadcast at the Pennsylvania Bar Institute, 5080 Ritter Rd., Mechanicsburg, PA 17055. You will have the opportunity to submit questions and will receive the printed Course Handbook.

Why you should attend

Capital markets are adjusting to a wide range of evolving regulatory standards which affect the way in which offerings are conducted around the world. At the same time, issuers around the world are subject to changing accounting and corporate governance standards, while market participants navigate new ground in derivative product regulation. Issuers and market participants also face an increasingly active global enforcement environment targeting activities taking place around the world. This program will keep securities lawyers up-to-date on domestic and international regulatory and market developments, bringing together an engaging group of expert practitioners and senior regulators for an in-depth look at how the U.S. securities laws work in the context of a rapidly evolving global regulatory environment.

What you will learn

Some of the areas this year’s program will cover are:
  • The latest developments with global regulatory efforts
  • Evolving accounting, disclosure and governance standards for issuers
  • Current developments with private and public offering practices
  • Changes to the global regulation of alternative investment vehicles and derivatives
  • Securities enforcement in an increasingly global regulatory environment

Who should attend

This program is aimed at the lawyer with practices involving securities regulation and capital markets. It will be valuable to lawyers in law firms, financial institutions or multinational companies. The material is advanced, so it is suitable for an experienced practitioner who needs to keep current with developments in international securities regulation.

PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Morning Session: 9:00 a.m. - 12:30 p.m.

9:00 Introduction and Opening Remarks

Paul M. Dudek, David M. Lynn

9:15 Global Capital Markets Perspectives in 2013
  • The state of capital markets in a global environment
  • Role of the G20 and FSB in financial regulation
  • The SEC’s international regulatory agenda
Alan L. Beller, Robert M. Fisher

10:15 Hot Topics in Capital Markets
  • Disclosure developments
  • The latest developments with Rule 144A and Regulation S offerings
  • The impact of the JOBS Act
  • Global offering techniques
Anna T. Pinedo, Antonia E. Stolper, Thomas W. Yang

11:15 Networking Break

11:30 IFRS and Other Accounting Matters
  • Prospects for the use of IFRS by U.S. issuers
  • The SEC’s work plan for IFRS
  • Practical advice for foreign private issuers using IFRS
  • The regulatory and institutional framework of IFRS
Wayne E. Carnall, Alexander F. Cohen, Jonathan Guthart

12:30 Lunch

Afternoon Session: 1:45 p.m. - 5:00 p.m.

1:45 Corporate Governance
  • Investor responses to governance concerns
  • Regulatory measures to strengthen corporate governance
  • A global perspective on governance reforms
Keir D. Gumbs, Dan Konigsburg, Lopa Patel Zielinski

2:45 Alternative Investment Vehicles and Derivatives Regulation
  • Private equity and hedge fund regulation
  • Investment Company Act and broker-dealer issues in global practice
  • EU and SEC approaches to alternative investment funds
  • Developments with global derivatives regulation
Matthew A. Chambers, Susan C. Ervin, Barbara A. Stettner

3:45 Networking Break

4:00 Enforcement Developments
  • Liability risk in global offerings
  • International convergence and enforcement
  • Global FCPA practices
Paul R. Berger, Michael D. Mann, Linda Chatman Thomsen

5:00 Program Adjourns
Co-Chair(s)
Paul M. Dudek ~ Chief, Office of International Corporate Finance, Division of Corporation Finance, U.S. Securities and Exchange Commission
David M. Lynn ~ Morrison & Foerster LLP
Speaker(s)
Alan L. Beller ~ Cleary Gottlieb Steen & Hamilton LLP
Paul R. Berger ~ Debevoise & Plimpton LLP
Wayne E. Carnall ~ PricewaterhouseCoopers LLP
Matthew A. Chambers ~ Wilmer Cutler Pickering Hale and Dorr LLP
Alexander F. Cohen ~ Latham & Watkins LLP
Susan C. Ervin ~ Davis Polk & Wardwell LLP
Dr. Robert Fisher ~ Deputy Director, Office of International Affairs, U.S. Securities and Exchange Commission
Keir D. Gumbs ~ Covington & Burling LLP
Jonathan R. Guthart ~ KPMG US Capital Markets Group
Dan Konigsburg ~ Deloitte Touche Tohmatsu Limited
Michael D. Mann ~ Richards Kibbe & Orbe LLP
Anna T. Pinedo ~ Morrison & Foerster LLP
Barbara A. Stettner ~ Partner, Allen & Overy LLP
Antonia E. Stolper ~ Shearman & Sterling LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Thomas W. Yang ~ Managing Director & Associate General Counsel, Bank of America Merrill Lynch
Lopa Patel Zielinski ~ Director and Senior Counsel, Corporate Governance, TIAA-CREF
Program Attorney(s)
Lauren E. Nochta ~ Program Attorney, Practising Law Institute

Mechanicsburg Groupcast Location

Pennsylvania Bar Institute, 5080 Ritter Rd., Mechanicsburg PA 17055, (800) 932-4637.  Click here for directions.

Mechanicsburg Groupcast Hotel Accommodations

Below is a list of hotel accommodations suggested by the Pennsylvania Bar Institute:
 
Hampton Inn Harrisburg-West, 4950 Ritter Road, Mechanicsburg, Pennsylvania, USA 17055. Tel: 717-691-1300. Fax: 717-691-9692.

Homewood Suites by Hilton® Harrisburg-West Hershey Area, 5001 Ritter Road, Mechanicsburg, Pennsylvania, United States 17055. Tel: 1-717-697-4900. Fax: 1-717-697-9101.

PLI's live programs are approved in all states that require mandatory continuing legal education for attorneys, except Arizona. Please be sure to check with your state for details.


Please check the CLE Calculator above each product description for CLE information specific to your state.


Special Note: In New York, newly admitted attorneys may receive CLE credit only for attendance at "transitional" programs during their first two years of admission to the Bar. Non-traditional course formats such as on-demand web programs or recorded items, are not acceptable for CLE credit. Experienced attorneys may choose to attend and receive CLE credit for either a transitional course or for one geared to experienced attorneys.  All product types, including on-demand web programs and recorded items, are approved for experienced attorneys.

Please note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement.

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.

Credit will be granted only to the individual on record as the purchaser unless alternative arrangements (prearranged groupcast) are made in advance.

Co-Sponsored by New Jersey Institute for Continuing Legal Education

Why you should attend

Capital markets are adjusting to a wide range of evolving regulatory standards which affect the way in which offerings are conducted around the world. At the same time, issuers around the world are subject to changing accounting and corporate governance standards, while market participants navigate new ground in derivative product regulation. Issuers and market participants also face an increasingly active global enforcement environment targeting activities taking place around the world. This program will keep securities lawyers up-to-date on domestic and international regulatory and market developments, bringing together an engaging group of expert practitioners and senior regulators for an in-depth look at how the U.S. securities laws work in the context of a rapidly evolving global regulatory environment.

What you will learn

Some of the areas this year’s program will cover are:
  • The latest developments with global regulatory efforts
  • Evolving accounting, disclosure and governance standards for issuers
  • Current developments with private and public offering practices
  • Changes to the global regulation of alternative investment vehicles and derivatives
  • Securities enforcement in an increasingly global regulatory environment

Who should attend

This program is aimed at the lawyer with practices involving securities regulation and capital markets. It will be valuable to lawyers in law firms, financial institutions or multinational companies. The material is advanced, so it is suitable for an experienced practitioner who needs to keep current with developments in international securities regulation.

PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Morning Session: 9:00 a.m. - 12:30 p.m.

9:00 Introduction and Opening Remarks

Paul M. Dudek, David M. Lynn

9:15 Global Capital Markets Perspectives in 2013
  • The state of capital markets in a global environment
  • Role of the G20 and FSB in financial regulation
  • The SEC’s international regulatory agenda
Alan L. Beller, Robert M. Fisher

10:15 Hot Topics in Capital Markets
  • Disclosure developments
  • The latest developments with Rule 144A and Regulation S offerings
  • The impact of the JOBS Act
  • Global offering techniques
Anna T. Pinedo, Antonia E. Stolper, Thomas W. Yang

11:15 Networking Break

11:30 IFRS and Other Accounting Matters
  • Prospects for the use of IFRS by U.S. issuers
  • The SEC’s work plan for IFRS
  • Practical advice for foreign private issuers using IFRS
  • The regulatory and institutional framework of IFRS
Wayne E. Carnall, Alexander F. Cohen, Jonathan Guthart

12:30 Lunch

Afternoon Session: 1:45 p.m. - 5:00 p.m.

1:45 Corporate Governance
  • Investor responses to governance concerns
  • Regulatory measures to strengthen corporate governance
  • A global perspective on governance reforms
Keir D. Gumbs, Dan Konigsburg, Lopa Patel Zielinski

2:45 Alternative Investment Vehicles and Derivatives Regulation
  • Private equity and hedge fund regulation
  • Investment Company Act and broker-dealer issues in global practice
  • EU and SEC approaches to alternative investment funds
  • Developments with global derivatives regulation
Matthew A. Chambers, Susan C. Ervin, Barbara A. Stettner

3:45 Networking Break

4:00 Enforcement Developments
  • Liability risk in global offerings
  • International convergence and enforcement
  • Global FCPA practices
Paul R. Berger, Michael D. Mann, Linda Chatman Thomsen

5:00 Program Adjourns
Co-Chair(s)
Paul M. Dudek ~ Chief, Office of International Corporate Finance, Division of Corporation Finance, U.S. Securities and Exchange Commission
David M. Lynn ~ Morrison & Foerster LLP
Speaker(s)
Alan L. Beller ~ Cleary Gottlieb Steen & Hamilton LLP
Paul R. Berger ~ Debevoise & Plimpton LLP
Wayne E. Carnall ~ PricewaterhouseCoopers LLP
Matthew A. Chambers ~ Wilmer Cutler Pickering Hale and Dorr LLP
Alexander F. Cohen ~ Latham & Watkins LLP
Susan C. Ervin ~ Davis Polk & Wardwell LLP
Dr. Robert Fisher ~ Deputy Director, Office of International Affairs, U.S. Securities and Exchange Commission
Keir D. Gumbs ~ Covington & Burling LLP
Jonathan R. Guthart ~ KPMG US Capital Markets Group
Dan Konigsburg ~ Deloitte Touche Tohmatsu Limited
Michael D. Mann ~ Richards Kibbe & Orbe LLP
Anna T. Pinedo ~ Morrison & Foerster LLP
Barbara A. Stettner ~ Partner, Allen & Overy LLP
Antonia E. Stolper ~ Shearman & Sterling LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Thomas W. Yang ~ Managing Director & Associate General Counsel, Bank of America Merrill Lynch
Lopa Patel Zielinski ~ Director and Senior Counsel, Corporate Governance, TIAA-CREF
Program Attorney(s)
Lauren E. Nochta ~ Program Attorney, Practising Law Institute

New Jersey Groupcast Location

New Jersey Institute for Continuing Legal Education, One Constitution Square, New Brunswick, NJ 08901-1520. 732-249-5100.

PLI's live programs are approved in all states that require mandatory continuing legal education for attorneys, except Arizona. Please be sure to check with your state for details.


Please check the CLE Calculator above each product description for CLE information specific to your state.


Special Note: In New York, newly admitted attorneys may receive CLE credit only for attendance at "transitional" programs during their first two years of admission to the Bar. Non-traditional course formats such as on-demand web programs or recorded items, are not acceptable for CLE credit. Experienced attorneys may choose to attend and receive CLE credit for either a transitional course or for one geared to experienced attorneys.  All product types, including on-demand web programs and recorded items, are approved for experienced attorneys.

Please note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement.

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.

Credit will be granted only to the individual on record as the purchaser unless alternative arrangements (prearranged groupcast) are made in advance.

Why you should attend

Capital markets are adjusting to a wide range of evolving regulatory standards which affect the way in which offerings are conducted around the world. At the same time, issuers around the world are subject to changing accounting and corporate governance standards, while market participants navigate new ground in derivative product regulation. Issuers and market participants also face an increasingly active global enforcement environment targeting activities taking place around the world. This program will keep securities lawyers up-to-date on domestic and international regulatory and market developments, bringing together an engaging group of expert practitioners and senior regulators for an in-depth look at how the U.S. securities laws work in the context of a rapidly evolving global regulatory environment.

What you will learn

Some of the areas this year’s program will cover are:
  • The latest developments with global regulatory efforts
  • Evolving accounting, disclosure and governance standards for issuers
  • Current developments with private and public offering practices
  • Changes to the global regulation of alternative investment vehicles and derivatives
  • Securities enforcement in an increasingly global regulatory environment

Who should attend

This program is aimed at the lawyer with practices involving securities regulation and capital markets. It will be valuable to lawyers in law firms, financial institutions or multinational companies. The material is advanced, so it is suitable for an experienced practitioner who needs to keep current with developments in international securities regulation.

PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Morning Session: 9:00 a.m. - 12:30 p.m.

9:00 Introduction and Opening Remarks

Paul M. Dudek, David M. Lynn

9:15 Global Capital Markets Perspectives in 2013
  • The state of capital markets in a global environment
  • Role of the G20 and FSB in financial regulation
  • The SEC’s international regulatory agenda
Alan L. Beller, Robert M. Fisher

10:15 Hot Topics in Capital Markets
  • Disclosure developments
  • The latest developments with Rule 144A and Regulation S offerings
  • The impact of the JOBS Act
  • Global offering techniques
Anna T. Pinedo, Antonia E. Stolper, Thomas W. Yang

11:15 Networking Break

11:30 IFRS and Other Accounting Matters
  • Prospects for the use of IFRS by U.S. issuers
  • The SEC’s work plan for IFRS
  • Practical advice for foreign private issuers using IFRS
  • The regulatory and institutional framework of IFRS
Wayne E. Carnall, Alexander F. Cohen, Jonathan Guthart

12:30 Lunch

Afternoon Session: 1:45 p.m. - 5:00 p.m.

1:45 Corporate Governance
  • Investor responses to governance concerns
  • Regulatory measures to strengthen corporate governance
  • A global perspective on governance reforms
Keir D. Gumbs, Dan Konigsburg, Lopa Patel Zielinski

2:45 Alternative Investment Vehicles and Derivatives Regulation
  • Private equity and hedge fund regulation
  • Investment Company Act and broker-dealer issues in global practice
  • EU and SEC approaches to alternative investment funds
  • Developments with global derivatives regulation
Matthew A. Chambers, Susan C. Ervin, Barbara A. Stettner

3:45 Networking Break

4:00 Enforcement Developments
  • Liability risk in global offerings
  • International convergence and enforcement
  • Global FCPA practices
Paul R. Berger, Michael D. Mann, Linda Chatman Thomsen

5:00 Program Adjourns
Co-Chair(s)
Paul M. Dudek ~ Chief, Office of International Corporate Finance, Division of Corporation Finance, U.S. Securities and Exchange Commission
David M. Lynn ~ Morrison & Foerster LLP
Speaker(s)
Alan L. Beller ~ Cleary Gottlieb Steen & Hamilton LLP
Paul R. Berger ~ Debevoise & Plimpton LLP
Wayne E. Carnall ~ PricewaterhouseCoopers LLP
Matthew A. Chambers ~ Wilmer Cutler Pickering Hale and Dorr LLP
Alexander F. Cohen ~ Latham & Watkins LLP
Susan C. Ervin ~ Davis Polk & Wardwell LLP
Dr. Robert Fisher ~ Deputy Director, Office of International Affairs, U.S. Securities and Exchange Commission
Keir D. Gumbs ~ Covington & Burling LLP
Jonathan R. Guthart ~ KPMG US Capital Markets Group
Dan Konigsburg ~ Deloitte Touche Tohmatsu Limited
Michael D. Mann ~ Richards Kibbe & Orbe LLP
Anna T. Pinedo ~ Morrison & Foerster LLP
Barbara A. Stettner ~ Partner, Allen & Overy LLP
Antonia E. Stolper ~ Shearman & Sterling LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Thomas W. Yang ~ Managing Director & Associate General Counsel, Bank of America Merrill Lynch
Lopa Patel Zielinski ~ Director and Senior Counsel, Corporate Governance, TIAA-CREF
Program Attorney(s)
Lauren E. Nochta ~ Program Attorney, Practising Law Institute
Columbus Groupcast Location

Columbus Bar Association, 175 S. Third Street, Suite 1100, Columbus, OH 43215. Phone: 614-221-4112, FAX: (614) 340-2081.

PLI's live programs are approved in all states that require mandatory continuing legal education for attorneys, except Arizona. Please be sure to check with your state for details.


Please check the CLE Calculator above each product description for CLE information specific to your state.


Special Note: In New York, newly admitted attorneys may receive CLE credit only for attendance at "transitional" programs during their first two years of admission to the Bar. Non-traditional course formats such as on-demand web programs or recorded items, are not acceptable for CLE credit. Experienced attorneys may choose to attend and receive CLE credit for either a transitional course or for one geared to experienced attorneys.  All product types, including on-demand web programs and recorded items, are approved for experienced attorneys.

Please note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement.

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.

Credit will be granted only to the individual on record as the purchaser unless alternative arrangements (prearranged groupcast) are made in advance.

Co-Sponsored by Massachusetts CLE

Attendees in Boston will be seeing the live broadcast from New York City at the conveniently located offices of Massachusetts CLE, 10 Winter Place, Boston, Massachusetts. Remote Location participants will receive all course materials.


Why you should attend

Capital markets are adjusting to a wide range of evolving regulatory standards which affect the way in which offerings are conducted around the world. At the same time, issuers around the world are subject to changing accounting and corporate governance standards, while market participants navigate new ground in derivative product regulation. Issuers and market participants also face an increasingly active global enforcement environment targeting activities taking place around the world. This program will keep securities lawyers up-to-date on domestic and international regulatory and market developments, bringing together an engaging group of expert practitioners and senior regulators for an in-depth look at how the U.S. securities laws work in the context of a rapidly evolving global regulatory environment.

What you will learn

Some of the areas this year’s program will cover are:
  • The latest developments with global regulatory efforts
  • Evolving accounting, disclosure and governance standards for issuers
  • Current developments with private and public offering practices
  • Changes to the global regulation of alternative investment vehicles and derivatives
  • Securities enforcement in an increasingly global regulatory environment

Who should attend

This program is aimed at the lawyer with practices involving securities regulation and capital markets. It will be valuable to lawyers in law firms, financial institutions or multinational companies. The material is advanced, so it is suitable for an experienced practitioner who needs to keep current with developments in international securities regulation.

PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Morning Session: 9:00 a.m. - 12:30 p.m.

9:00 Introduction and Opening Remarks

Paul M. Dudek, David M. Lynn

9:15 Global Capital Markets Perspectives in 2013
  • The state of capital markets in a global environment
  • Role of the G20 and FSB in financial regulation
  • The SEC’s international regulatory agenda
Alan L. Beller, Robert M. Fisher

10:15 Hot Topics in Capital Markets
  • Disclosure developments
  • The latest developments with Rule 144A and Regulation S offerings
  • The impact of the JOBS Act
  • Global offering techniques
Anna T. Pinedo, Antonia E. Stolper, Thomas W. Yang

11:15 Networking Break

11:30 IFRS and Other Accounting Matters
  • Prospects for the use of IFRS by U.S. issuers
  • The SEC’s work plan for IFRS
  • Practical advice for foreign private issuers using IFRS
  • The regulatory and institutional framework of IFRS
Wayne E. Carnall, Alexander F. Cohen, Jonathan Guthart

12:30 Lunch

Afternoon Session: 1:45 p.m. - 5:00 p.m.

1:45 Corporate Governance
  • Investor responses to governance concerns
  • Regulatory measures to strengthen corporate governance
  • A global perspective on governance reforms
Keir D. Gumbs, Dan Konigsburg, Lopa Patel Zielinski

2:45 Alternative Investment Vehicles and Derivatives Regulation
  • Private equity and hedge fund regulation
  • Investment Company Act and broker-dealer issues in global practice
  • EU and SEC approaches to alternative investment funds
  • Developments with global derivatives regulation
Matthew A. Chambers, Susan C. Ervin, Barbara A. Stettner

3:45 Networking Break

4:00 Enforcement Developments
  • Liability risk in global offerings
  • International convergence and enforcement
  • Global FCPA practices
Paul R. Berger, Michael D. Mann, Linda Chatman Thomsen

5:00 Program Adjourns
Co-Chair(s)
Paul M. Dudek ~ Chief, Office of International Corporate Finance, Division of Corporation Finance, U.S. Securities and Exchange Commission
David M. Lynn ~ Morrison & Foerster LLP
Speaker(s)
Alan L. Beller ~ Cleary Gottlieb Steen & Hamilton LLP
Paul R. Berger ~ Debevoise & Plimpton LLP
Wayne E. Carnall ~ PricewaterhouseCoopers LLP
Matthew A. Chambers ~ Wilmer Cutler Pickering Hale and Dorr LLP
Alexander F. Cohen ~ Latham & Watkins LLP
Susan C. Ervin ~ Davis Polk & Wardwell LLP
Dr. Robert Fisher ~ Deputy Director, Office of International Affairs, U.S. Securities and Exchange Commission
Keir D. Gumbs ~ Covington & Burling LLP
Jonathan R. Guthart ~ KPMG US Capital Markets Group
Dan Konigsburg ~ Deloitte Touche Tohmatsu Limited
Michael D. Mann ~ Richards Kibbe & Orbe LLP
Anna T. Pinedo ~ Morrison & Foerster LLP
Barbara A. Stettner ~ Partner, Allen & Overy LLP
Antonia E. Stolper ~ Shearman & Sterling LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Thomas W. Yang ~ Managing Director & Associate General Counsel, Bank of America Merrill Lynch
Lopa Patel Zielinski ~ Director and Senior Counsel, Corporate Governance, TIAA-CREF
Program Attorney(s)
Lauren E. Nochta ~ Program Attorney, Practising Law Institute

Boston Remote Location

Massachusetts CLE, 10 Winter Place, Boston, Massachusetts 02100. (617) 350-7006.

PLI's live programs are approved in all states that require mandatory continuing legal education for attorneys, except Arizona. Please be sure to check with your state for details.


Please check the CLE Calculator above each product description for CLE information specific to your state.


Special Note: In New York, newly admitted attorneys may receive CLE credit only for attendance at "transitional" programs during their first two years of admission to the Bar. Non-traditional course formats such as on-demand web programs or recorded items, are not acceptable for CLE credit. Experienced attorneys may choose to attend and receive CLE credit for either a transitional course or for one geared to experienced attorneys.  All product types, including on-demand web programs and recorded items, are approved for experienced attorneys.

Please note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement.

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.

Credit will be granted only to the individual on record as the purchaser unless alternative arrangements (prearranged groupcast) are made in advance.

Print Share Email