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Broker/Dealer Regulation and Enforcement 2013

Webcast  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 ...

Financial Services Industry Regulatory Compliance & Ethics Forum 2013

Webcast  Webcast

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 ...

Securities Regulation Institute (45th Annual)

Webcast  Webcast

PLI’s Annual Institute on Securities Regulation has become the most highly anticipated annual review of the current state of securities, financial regulation and corporate law and practice.  We are pleased to co-chair the 45th edition of this important event, and to present you with this year’s agenda.  As always, we strive to bring you the most up-to-date information in response to the many changes of the past year.  As we continue ...

Hedge Fund and Private Equity Enforcement & Regulatory Developments 2013

Webcast  Webcast

The government’s continued crackdown on insider trading has focused on hedge funds, their consultants and those who analyze and trade for them. Regulators and enforcement officials have now turned their sights to conflicts of interest, valuation, cross-trades, expense and trade allocation, and fee practices. Following new registration requirements under Dodd-Frank, private equity firms are under examination scrutiny by the SEC, and according to senior ...

Corporate Governance - A Master Class 2014

Webcast  Webcast

Mark Your Calendar.  More Information to Come!

Broker-Dealer and Adviser Regulatory Compliance Forum 2014

Webcast  Webcast

Mark Your Calendar.  More Information to Come!

The SEC Speaks in 2014

Webcast  Webcast

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Investment Management Institute 2014

Webcast  Webcast

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Enforcement 2014: Perspectives from Government Agencies

Webcast  Webcast

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Fundamentals of Broker-Dealer Regulation 2014

Webcast  Webcast

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Internal Investigations 2014

Webcast  Webcast

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Fundamentals of Investment Adviser Regulation 2014

Webcast  Webcast

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Fundamentals of Swaps & Other Derivatives 2014

Webcast  Webcast

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Advanced Swaps & Other Derivatives 2014

Webcast  Webcast

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Broker/Dealer Regulation and Enforcement 2014

Webcast  Webcast

Mark Your Calendar.  More Information to Come!

Financial Services Industry Regulatory Compliance & Ethics Forum 2014

Webcast  Webcast

Mark Your Calendar.  More Information to Come!

Securities Regulation Institute (46th Annual)

Webcast  Webcast

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Understanding the Securities Laws 2014

Webcast  Webcast

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Featured Faculty/Authors
Lisa J. Sotto

Lisa J. Sotto ~ Hunton & Williams LLP

David W. Pollak

David W. Pollak ~ Morgan, Lewis & Bockius LLP

Katie M. Lachter

Katie M. Lachter ~ Hinshaw & Culbertson LLP