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Showing 13 Results

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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 ...

Insider Trading Law 2016

Seminar  SeminarWebcast  Webcast

Mark Your Calendar.  More Information to Come!

Fundamentals of Investment Adviser Regulation 2016

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Over the past few years, the SEC has put the regulation of investment advisers under the microscope, with advisers becoming a major focus of the SEC’s 2016 enforcement and exam program.  The SEC has set high expectations for advisers in identifying and responding to conflicts of interests and for providing robust and targeted client disclosures. At this program, attendees will get a solid foundation in the regulatory ...

Understanding the Securities Laws 2016

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Whether you are new to the field or seeking a quick refresher or an update, this is a securities law primer that you won’t want to miss. This program will provide an overview and discussion of the basic aspects of the U.S. federal securities laws by leading in-house and law firm practitioners as well as SEC staff. Emphasis will be placed on the interplay among the Securities Act of 1933, the Securities Exchange Act of ...

Fundamentals of Broker-Dealer Regulation 2016

Seminar  SeminarWebcast  Webcast

Mark Your Calendar.  More Information to Come!

Corporate Political Activities 2016: 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 ...

Broker/Dealer Regulation and Enforcement 2016

Seminar  SeminarWebcast  Webcast

Mark Your Calendar. More Information to Come!

48th Annual Institute on Securities Regulation

Seminar  SeminarWebcast  Webcast

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