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Navigating the U.S. Criminal Law Maze in the Corporate Deal (Audio-only)

One-Hour Briefing  One-Hour Briefing

There has been a surge in global M&A and financing activity, with no end in sight. At the same time, U.S. and foreign prosecutors continue aggressively to investigate corporations for an array of potential crimes rooted in national security concerns, ranging from domestic and foreign bribery to sanctions, export controls and money laundering violations. Today, more than ever, it is critical for transactional lawyers to understand the enforcement ...

Who's the Boss (of Compliance)? (Audio-only)

One-Hour Briefing  One-Hour Briefing

Over the past decade the reporting line of the compliance function has generated much debate. Should the Compliance Officer report to the GC, CEO or the Board? In the midst of significant momentum for an independent elevated CCO with direct, unfiltered access to the governing body, regulators and prosecutors have heightened their scrutiny of the CCO's positioning and empowerment. Please join Donna C. Boehme and Joseph E. Murphy for a lively discussion ...

Broker/Dealer Regulation and Enforcement 2014

Seminar  SeminarWebcast  Webcast

This program will focus on the many significant developments in the regulation and oversight of broker-dealers. New rules are continuously promulgated under the Dodd-Frank Act and have substantial implications for broker-dealers and the industry. At the same time, there is heightened enforcement of the federal securities laws. The SEC Division of Enforcement has established a new task force focused specifically on broker-dealers. ...

SEC's Conflict Minerals Rules: What We Learned from 2013 and What Happens Next (Audio-only)

One-Hour Briefing  One-Hour Briefing

October 24, 2014, 1:00 p.m. - 2:00 p.m. (E.D.T.)Over 1,300 companies filed Securities and Exchange Commission (SEC) Form SDs and, in most cases, Conflict Mineral Reports (CMR) for 2013. The SEC's Conflict Minerals Rule left unanswered many of the filing details and challenges that issuers dealt with up until the end. In addition, late-breaking developments in the ongoing legal challenge to the Rule and formal and informal SEC guidance further complicated ...

Outsourcing 2014: Sourcing Critical Services

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

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.PLI’s Outsourcing 2014 is a “must” for every lawyer with business clients engaged in outsourcing transactions!Outsourcing brings new opportunities and new risks ...

Securities Filings 2014: Practical Guidance in a Changing Environment

Seminar  Seminar

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 tips and/or interactive drafting exercises. Ethics credit and recent legislation ...

Financial Services Industry Regulatory Compliance & Ethics Forum 2014

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

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 ...

Antitrust Counseling & Compliance 2014

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Lawyers counseling businesses need to have a solid foundation in principles of antitrust law and an understanding of the latest antitrust developments in order to appropriately advise their clients. The consequences of running afoul of antitrust rules can be costly: class actions, treble damage litigation, government enforcement, and adverse publicity are all possible outcomes if mistakes are made.Do you have the tools needed ...

Featured Faculty/Authors
Mark D. Roellig

Mark D. Roellig ~ Executive Vice President and General Counsel, MassMutual Financial Group

Jodie Berger

Jodie Berger ~ Regional Counsel, Legal Services of Northern California

David G. Wilkins

David G. Wilkins ~ Chief Compliance Officer, SNC-Lavalin Group