Seminars & Webcasts

Corporate & Securities

Compliance

• Oct. 23, 2013 New York, NY

• Oct. 23, 2013 Webcast

The Dodd-Frank Act - frequently described as the most sweeping reform legislation in decades - and the contemplated, proposed or final rules implementing it, have significant implications for broker-dealers. The concurrent proliferation of new regulation and record-breaking enforcement activity by the DOJ, SEC, CFTC, states and SROs have created a strained and overburdened environment for legal and compliance personnel. This program brings ...

• Oct. 24 - 25, 2013 New York, NY
• Nov. 18 - 19, 2013 San Francisco, CA

• Nov. 18 - 19, 2013 Webcast

Legal drivers for corporate compliance and ethics programs continue to grow in complexity and importance. Compliance programs are now widely expected by enforcement personnel and key stakeholders, and good practices continue to evolve. In addition, the costs of non-compliance have never been greater. Enforcement risks increase as governments work together more than ever before, and harsh penalties are increasingly becoming the norm both inside and ...

• Oct. 28 - 29, 2013 New York, NY

• Oct. 28 - 29, 2013 Webcast

• Oct. 28 - 29, 2013 Cleveland, OH
• Oct. 28 - 29, 2013 Boston, MA
• Oct. 28 - 29, 2013 Philadelphia, PA
• Oct. 28 - 29, 2013 Pittsburgh, PA
• Oct. 28 - 29, 2013 Mechanicsburg, PA

The year 2013 brings new risks and new opportunities for companies sourcing or providing critical services, including information technology, finance and accounting, human resources, facilities management, analytics and other critical non-core functions. There are new technologies, such as Big Data and cloud computing. There are new laws and regulations, and in more and more countries. Also, cloud computing and other innovations have created new issues ...

• Oct. 28 - 29, 2013 San Francisco, CA
• Nov. 14 - 15, 2013 Chicago, IL

This popular program will analyze in detail the principal forms used for filings with the SEC under the Securities Act of 1933 (“Securities Act”), and the Securities Exchange Act of 1934 (“Exchange Act”), with particular emphasis on the mechanics of and timing for assembling particular filings. Each segment of the program will incorporate practical drafting and disclosure tips. Ethics credit and recent legislation and SEC rule changes affecting disclosure ...

• Oct. 30, 2013 New York, NY

• Oct. 30, 2013 Webcast

• Oct. 30, 2013 Mechanicsburg, PA
• Oct. 30, 2013 Philadelphia, PA
• Oct. 30, 2013 Pittsburgh, PA
• Oct. 30, 2013 Birmingham, AL
• Oct. 30, 2013 Columbus, OH

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. At this program, attendees 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 ...

• Nov. 1, 2013 New York, NY

• Nov. 1, 2013 Webcast

• Nov. 1, 2013 Philadelphia, PA
• Nov. 1, 2013 Atlanta, GA
• Nov. 1, 2013 Pittsburgh, PA
• Nov. 1, 2013 Columbus, OH
• Nov. 1, 2013 Cleveland, OH
• Nov. 1, 2013 Mechanicsburg, PA
• Nov. 1, 2013 Boston, MA

Lawyers counseling businesses must possess a solid foundation in principles of antitrust law and an understanding of the latest antitrust developments. Running afoul of antitrust rules can result in class actions and treble damage litigation as well as government enforcement and adverse publicity. Are you prepared to provide practical answers to the antitrust questions your clients will ask? You will be after attending this program, developed with ...

• Nov. 4 - 5, 2013 Chicago, IL

The ability to identify and appropriately use financial and accounting information is relevant to a wide range of legal and regulatory matters for attorneys and allied professionals. Litigators and transactional attorneys alike will benefit from this practical course designed specifically for non-accountants and taught by members of the nation’s top accounting, tax and advisory firms, leading law firms, in-house counsel and universities.

• Nov. 5, 2013

• Nov. 12, 2013

• Dec. 12 - 13, 2013 Washington, DC

This year, the Obama Administration formally launched its export control reform initiative with the filing of the first so-called Section 38(f) notifications, to be followed by the publication of final rules transferring export control jurisdiction of a large number of items from the State Department to the Commerce Department. Congress has enacted even stronger sanctions legislation targeting Iran, including new securities reporting requirements, ...

• Jan. 6 - 7, 2014 New York, NY

• Jan. 6 - 7, 2014 Webcast

The explosion of new financial products over the decade leading up to the financial crisis, the implosion of the credit markets in 2008, and the resulting significant new regulatory requirements underline the importance of a basic understanding of financial products. While these instruments have been, in the view of many, invaluable investment tools, and have presented enormous potential for product manufacturers and investors, they also create potentially ...

• Jan. 9, 2014 Palo Alto, CA

Silicon Valley remains one of the most active deal markets in the world today. The broad array of fast-growing companies – from start-ups to major public companies, and the constantly evolving industry sectors – has long attracted top legal, investor and investment banking talent, and produced a wide variety of transactions ranging from seed and venture capital financings to some of the largest and most high-profile IPOs and M&A transactions in ...

• Jan. 28, 2014 New York, NY

• Jan. 28, 2014 Webcast

• Jan. 28, 2014 Birmingham, AL

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• Feb. 10, 2014 San Francisco, CA
• Feb. 26, 2014 New York, NY

• Feb. 10, 2014 Webcast

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• Feb. 12, 2014 New York, NY

• Feb. 12, 2014 Webcast

• Feb. 12, 2014 Birmingham, AL
• Feb. 12, 2014 Boston, MA
• Feb. 12, 2014 Cleveland, OH

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• Feb. 19, 2014 New York, NY

• Feb. 19, 2014 Webcast

Broker-dealers that are dually registered as investment advisers are under intense regulatory scrutiny and are subject to a number of new and evolving regulatory framework. At this program, attendees will be provided with expert analysis regarding today’s hot topics impacting the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and ...

• Feb. 21 - 22, 2014 Washington, DC

• Feb. 21 - 22, 2014 Webcast

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• Mar. 25 - 26, 2014 New York, NY

• Mar. 25 - 26, 2014 Webcast

• Mar. 25 - 26, 2014 Boston, MA
• Mar. 25 - 26, 2014 Mechanicsburg, PA
• Mar. 25 - 26, 2014 Pittsburgh, PA
• Mar. 25 - 26, 2014 Philadelphia, PA

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• Apr. 25, 2014 New York, NY

• Apr. 25, 2014 Webcast

• Apr. 25, 2014 New Brunswick, NJ
• Apr. 25, 2014 Cleveland, OH

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• May. 1 - 2, 2014 New York, NY

• May. 1 - 2, 2014 Webcast

• May. 1 - 2, 2014 Philadelphia, PA
• May. 1 - 2, 2014 Mechanicsburg, PA
• May. 1 - 2, 2014 Cleveland, OH
• May. 1 - 2, 2014 Pittsburgh, PA

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• May. 5 - 6, 2014 New York, NY

• May. 5 - 6, 2014 Webcast

• May. 5 - 6, 2014 Philadelphia, PA
• May. 5 - 6, 2014 Mechanicsburg, PA
• May. 5 - 6, 2014 Pittsburgh, PA

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• May. 5 - 6, 2014 San Francisco, CA

• May. 5 - 6, 2014 Webcast

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• May. 8 - 9, 2014 Chicago, IL
• May. 29 - 30, 2014 New York, NY

• May. 29 - 30, 2014 Webcast

• May. 29 - 30, 2014 New Brunswick, NJ

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• May. 9, 2014 New York, NY
• Jun. 9, 2014 San Francisco, CA

• Jun. 9, 2014 Webcast

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• Jun. 10, 2014 Chicago, IL
• Jun. 24, 2014 Cleveland, OH
• Jun. 24, 2014 Philadelphia, PA
• Jun. 24, 2014 Mechanicsburg, PA
• Jun. 24, 2014 New York, NY
• Jun. 24, 2014 Pittsburgh, PA

• Jun. 24, 2014 Webcast

• Jun. 24, 2014 Boston, MA
• Jun. 24, 2014 Atlanta, GA
• Jun. 24, 2014 Columbus, OH

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