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

Seminar  SeminarWebcast  Webcast

Webcast of live New York session.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 ...

Enforcement 2015: Perspectives from Government Agencies

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Co-Sponsored by Atlanta Bar Association Attendees in Atlanta will view the program via Groupcast at the offices of the Atlanta Bar Association, 400 International Tower, 229 Peachtree Street, NE, Atlanta, Georgia, 30303-1601. With PLI’s Groupcasts you'll instantaneously receive streaming audio/video of the live program and be able to submit your questions electronically. At these locations you’ll also receive the printed Course Handbook upon arriving. Why ...

The Foreign Corrupt Practices Act and International Anti-Corruption Developments 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 The Foreign Corrupt Practices Act (“FCPA”) is at ...

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!

Fundamentals of Broker-Dealer Regulation 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

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

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.Mark Your Calendar.  More Information to Come!

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 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.Mark Your Calendar.  More Information to Come!

Advanced 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.Mark Your Calendar.  More Information to Come!

Securities Regulation Institute (47th Annual)

Seminar  SeminarWebcast  Webcast

Mark Your Calendar.  More Information to Come!

Broker/Dealer Regulation and Enforcement 2015

Seminar  SeminarWebcast  Webcast

Mark Your Calendar.  More Information to Come.

Featured Faculty/Authors
Jae  Kim

Jae Kim ~ Senior Vice President and General Counsel, Rambus Inc.

Lori A. Richards

Lori A. Richards ~ Chief Compliance Officer, Asset Management Unit, JP Morgan & Co

Edwin E. Smith

Edwin E. Smith ~ Morgan Lewis & Bockius LLP