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 firstname.lastname@example.org or call (800) 260-4PLI.
PLI Can Arrange Group Viewing to Your Firm
Contact the Groupcasts Department via email at email@example.com for more details.
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
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
Paul M. Dudek
~ Chief, Office of International Corporate Finance, Division of Corporation Finance, U.S. Securities and Exchange Commission
Dr. Robert Fisher
~ Deputy Director, Office of International Affairs, U.S. Securities and Exchange Commission
Thomas W. Yang
~ Managing Director & Associate General Counsel, Bank of America Merrill Lynch
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
, 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.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.
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.
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: firstname.lastname@example.org.
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.