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Fundamentals of Investment Adviser Regulation 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Co-Sponsored by Pennsylvania Bar Institute Attendees in Pennsylvania will be viewing the live broadcast at the the Pennsylvania Bar Institute's Professional Development Conference Center, Heinz 57 Center, 339 Sixth Avenue, 7th Floor, Pittsburgh, Pennsylvania 15222-2517. You will have the opportunity to submit questions and will receive the printed Course Handbook.Why You Should Attend Over the past few years, the SEC has put the regulation of investment ...

Insider Trading Law 2015: Implications of Newman & Enforcement Trends

Seminar  SeminarWebcast  Webcast

Why You Should Attend Insider trading is a critical area of criminal and civil securities enforcement and will likely remain so for some time to come.  Following the Second Circuit’s recent ground-breaking decision in United States v. Newman, however, the law’s contours are in flux.  This program will discuss the state of the law, enforcement priorities in this area, and how clients can avoid the government’s crosshairs.  ...

Corporate Political Activities 2015: Complying with Campaign Finance, Lobbying and Ethics Laws

Seminar  Seminar

Please note that this program does not qualify for legal ethics credit. Why You Should Attend Federal and state lobbying, campaign finance and ethics rules are changing, making compliance with those laws more challenging than ever. Congressional ethics rules, the Lobbying Disclosure Act (LDA) and pay-to-play laws place additional responsibilities on companies and their executives and directors. To stay current on the latest developments, be sure ...

Financial Services Industry Regulatory Compliance & Ethics Forum 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend 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 about the relevant regulatory framework as well as practical considerations regarding the design and implementation ...

Prison Law 2015

Seminar  SeminarWebcast  Webcast

Mark Your Calendar.  More Information to Come!

Fundamentals of Swaps & Other Derivatives 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Co-Sponsored by Pennsylvania Bar Institute Attendees 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.Why You Should Attend Over-the-counter (OTC) derivatives are key elements ...

Advanced Swaps & Other Derivatives 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend The Dodd-Frank Act established a novel, comprehensive framework for the regulation of over-the-counter (OTC) derivatives and the market participants who transact in these products.  That regulatory framework, split primarily between the SEC and CFTC, has been substantially implemented by the CFTC. For their part, the SEC has made substantial progress and at the direction of Chair Mary Jo White is making Title VII implementation ...

Securities Regulation Institute (47th Annual)

Seminar  SeminarWebcast  Webcast

For more than four decades, PLI’s Annual Institute on Securities Regulation has been the premier conference on securities regulation and corporate governance for lawyers, from new associates to seasoned practitioners.  This year’s Institute will once again bring you the nation’s leading securities and corporate legal experts to deliver practical insights and real-world strategies and solutions to the many challenges facing you ...

Broker/Dealer Regulation and Enforcement 2015

Seminar  SeminarWebcast  Webcast

Mark Your Calendar.  More Information to Come.

Hedge and Private Fund Enforcement and Regulatory Developments 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend The SEC and other government agencies continue to focus enforcement efforts on hedge funds and private equity firms.  While insider trading continues to be a priority, examinations and sweeps have turned to issues that private funds deal with on a daily basis - valuation, disclosure and transparency of fees and allocation of expenses.  As the regulators’ and prosecutors’ expertise and sophistication grow, ...

Hedge Fund Compliance & Regulatory Challenges 2016

Seminar  SeminarWebcast  Webcast

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Corporate Governance -- A Master Class 2016

Seminar  SeminarWebcast  Webcast

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The SEC Speaks in 2016

Seminar  SeminarWebcast  Webcast

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Investment Management Institute 2016

Seminar  SeminarWebcast  Webcast

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Enforcement 2016: Perspectives from Government Agencies

Seminar  SeminarWebcast  Webcast

Mark Your Calendar.  More Information to Come!

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

Seminar  SeminarWebcast  Webcast

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Internal Investigations 2016

Seminar  SeminarWebcast  Webcast

Mark Your Calendar.  More Information to Come!

Featured Faculty/Authors
Clifford E. Kirsch

Clifford E. Kirsch ~ Sutherland Asbill & Brennan LLP

Tanya E. M. Wong

Tanya E. M. Wong ~ Director of Government Benefits, Legal Services NYC - Legal Support Unit

Kenneth N. Nigon

Kenneth N. Nigon ~ RatnerPrestia