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Corporate Governance - A Master Class 2016

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend This program will address key corporate governance issues faced by boards and principal board committees.  Public companies and their directors and officers face increasing responsibilities and risk of liability.  They are also under intense scrutiny and in at least some cases significant pressure from investors and regulators.  Changing investor expectations and increased investor willingness to seek or force ...

Broker-Dealer Advisory Services 2016: Current Legal and Compliance Issues Facing Dual Registrants

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend 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 2016

Seminar  SeminarWebcast  Webcast

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, and Investor Advocate, as well as panel discussions by senior staff at the Divisions of Corporation Finance, ...

“Spoofing:” What Is It, How Do Regulators Detect It, and Recent Regulatory Enforcement Actions

One-Hour Briefing  One-Hour Briefing

There continues to be much discussion in the securities industry about the changing nature of trading in our capital markets and those who attempt to improperly take advantage of technological advances. One practice that has generated significant attention and scrutiny from regulators is manipulative trading activity such as spoofing. This briefing will provide regulatory perspectives on the identification of spoofing and other types of manipulative ...

Investment Management Institute 2016

Seminar  SeminarWebcast  Webcast

Why You Should Attend 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 Exchange-traded products initiatives The proposed fund ...

Financial Services Conflicts of Interest & Fiduciary Duties 2016: Navigating the Emerging Regulatory Maze

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend The DOL is actively advancing rulemaking that would dramatically change the regulatory framework establishing fiduciary duties and obligations for broker-dealers, advisors and service providers in the retirement marketplace. At the same time, the SEC is reported to be advancing internally its consideration of whether to subject broker-dealers and advisers to a harmonized uniform standard of care.  Further, the OCC’s ...

Global Capital Markets & the U.S. Securities Laws 2016

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

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 2016: Perspectives from Government Agencies

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend We continue to see unprecedented changes in our economic, business and regulatory regimes in general, and in enforcement efforts in particular. This unique program brings together panels of senior staff from the various enforcement and regulatory agencies, including the U.S. Commodity Futures Trading Commission, FINRA, New York State Department of Financial Services, U.S. Securities and Exchange Commission, U.S. Attorney’s ...

The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2016

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend The Foreign Corrupt Practices Act (“FCPA”) is at the top of most companies’ key risk areas. DOJ and SEC resources devoted to investigating violations and enforcing the law remain at an all-time high. Recent FCPA and bribery enforcement actions demonstrate that no industry is immune from scrutiny.  Beyond the FCPA, an increasing number of countries, as well as international organizations, are ramping up ...

Internal Investigations 2016

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Knowing how to conduct efficient and effective internal investigations is key to protecting your clients or company. Companies and their counsel need to be diligent and proactive in identifying risks and remedying potential issues. At this program, an expert faculty will review the fundaments of conducting an internal investigation, as well as touch on the many more nuanced and practical issues that arise.  A real-world ...

Fundamentals of Investment Adviser Regulation 2016

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Mark Your Calendar.  More Information to Come!

Fundamentals of Broker-Dealer Regulation 2016

Seminar  SeminarWebcast  Webcast

Mark Your Calendar.  More Information to Come!

Broker/Dealer Regulation and Enforcement 2016

Seminar  SeminarWebcast  Webcast

Mark Your Calendar. More Information to Come!


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