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Corporate Governance - A Master Class 2015

Seminar  SeminarWebcast  Webcast

Webcast of live New York Session. Public companies and their directors and officers face increasing responsibilities and are under intense scrutiny from investors and regulators. Legal and regulatory changes, including Sarbanes-Oxley, Dodd-Frank and listing standards, as well as overall changing expectations in the marketplace contribute to this new challenging environment. Corporate governance provides the framework within ...

Broker-Dealer Advisory Services 2015: Current Legal and Compliance Issues Facing Dual Registrants

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Broker-dealers that are dually registered as investment advisers are under intense regulatory scrutiny.  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 regulators will review current ...

The SEC Speaks in 2015

Seminar  SeminarWebcast  Webcast

This is a webcast of the live Washington, D.C session.Why You Should Attend At the beginning of each year PLI presents, in cooperation with the U.S. Securities and Exchange Commission, The SEC Speaks program, providing an essential update on the current initiatives at the Commission as well as the priorities for the coming year. At this unique program, you will hear remarks by the Chairman and Commissioners, as well as panel discussions by senior ...

Investment Management Institute 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

You’ll hear expert panelists discuss: significant business and legal developments in the investment management area over the past year and important regulatory initiatives such as: The SEC’s regulatory agenda New money-market fund regulations New SEC staff guidance Potential new rulemakings relating to target date funds and exchange-traded funds Possible modifications of the fund reporting regime Governance matters ...

Financial Services Conflicts of Interest & Fiduciary Duties 2015: Navigating the Emerging Regulatory Maze

Seminar  SeminarWebcast  Webcast

Why You Should Attend The SEC and DOL continue to consider rulemaking that could dramatically change the regulatory framework establishing fiduciary duties and obligations for broker-dealers, advisors and service providers in the retirement marketplace. Likewise, commodity trading and municipal advisors have to be mindful of fiduciary obligations that apply to their activity. At the same time, regulators are pressing firms to identify and address ...

Global Capital Markets & the U.S. Securities Laws 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Co-Sponsored by Pennsylvania Bar InstituteAttendees 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.Mark Your Calendar.  More Information to Come!

Understanding the Securities Laws Summer 2015

Seminar  Seminar

Mark Your Calendar.  More Information to Come!

Prison Law 2015

Seminar  SeminarWebcast  Webcast

Mark Your Calendar.  More Information to Come!

Broker/Dealer Regulation and Enforcement 2015

Seminar  SeminarWebcast  Webcast

Webcast of live New York session.Mark Your Calendar.  More Information to Come.

Securities Regulation Institute (47th Annual)

Seminar  SeminarWebcast  Webcast

This is a webcast of the live New York session.Mark Your Calendar.  More Information to Come!

Hedge and Private Fund Enforcement and Regulatory Developments 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

This is a webcast of the live New York session.Mark Your Calendar.  More Information to Come!

Featured Faculty/Authors
Angela J. Grayson

Angela J. Grayson ~ Associate General Counsel, Global Leverage, Intellectual Property & Privacy, Walmart Legal

Adam O. Emmerich

Adam O. Emmerich ~ Wachtell, Lipton, Rosen & Katz

Ellen Moran Dwyer

Ellen Moran Dwyer ~ Managing Partner, Crowell & Moring LLP