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Financial Services Industry Regulatory Compliance & Ethics Forum 2014

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

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 in the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners ...

Securities Regulation Institute (46th Annual)

Seminar  SeminarWebcast  Webcast

This is a webcast of the live New York session.We are pleased to co-chair the 46th edition of PLI’s Annual Institute on Securities Regulation, the most highly anticipated annual review of the current state of securities regulation and corporate law and practice.This year’s agenda reflects significant developments in the securities laws, as well as changes in the business and legal environment, including: Continued implementation ...

Bolstering Your Company’s Fraud Defenses 2014: Proactive Prevention and Responses

Seminar  SeminarWebcast  Webcast

This is a webcast of the live San Francisco session.Companies face greatly increased risks of being a victim of fraud in today's challenging business climate; no company is too big or too small to fall victim. In light of the high costs of fraud, both in actual revenues lost, potential legal exposure and opportunity costs, it is imperative that companies develop and implement proactive strategies to prevent and detect business ...

Hedge and Private Fund Enforcement & Regulatory Developments 2014

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

This is a webcast of the live New York session.Over the past few years and once again in FY2013, cases against investment advisers have come to represent the single largest component of the SEC’s enforcement docket. At the same time, the SEC’s exam program, working closely with Enforcement, continues to hone its focus on private equity and hedge funds, announcing a series of initiatives targeting new registrants under Dodd-Frank ...

Understanding the Securities Laws Fall 2014

Webcast  Webcast

This is a webcast of the live New York session.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 provides an overview and discussion of the basic aspects of the U.S. federal securities laws by leading in-house and law firm practitioners and key SEC representatives. Emphasis will be placed on the interplay among the Securities Act ...

Hedge Fund Compliance & Regulatory Challenges 2015

Groupcast  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.As our first educational conference of 2015 focused on ...

Institute on Securities Regulation in Europe (Fourteenth Annual): Practical Implications of U.S. Law on EU Practice

Seminar  Seminar

Why You Should Attend We are proud to present Practising Law Institute’s Fourteenth Annual Institute on Securities Regulation in Europe, the most comprehensive securities programme available in Europe, with a unique focus on the application of U.S. securities law in the EU.  This Institute will provide the important U.S. perspective relevant to UK and European practice, featuring leading practitioners active in the U.S. and Europe, as ...

Corporate Governance - A Master Class 2015

Seminar  SeminarWebcast  Webcast

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

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.Mark Your Calendar.  More Information to Come!

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 ...

Enforcement 2015: Perspectives from Government Agencies

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

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

The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

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

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!

Internal Investigations 2015

Groupcast  Groupcast

Co-Sponsored by Atlanta Bar AssociationAttendees 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 ...

Fundamentals of Investment Adviser Regulation 2015

Seminar  SeminarWebcast  Webcast

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

Understanding the Securities Laws Summer 2015

Seminar  Seminar

Mark Your Calendar.  More Information to Come!

Financial Services Industry Regulatory Compliance & Ethics Forum 2015

Seminar  SeminarWebcast  Webcast

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

Fundamentals of Swaps & Other Derivatives 2015

Seminar  SeminarWebcast  Webcast

Mark Your Calendar.  More Information to Come!

Advanced Swaps & Other Derivatives 2015

Seminar  SeminarWebcast  Webcast

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

Broker/Dealer Regulation and Enforcement 2015

Seminar  SeminarWebcast  Webcast

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!

Featured Faculty/Authors
Michael T. Fishman

Michael T. Fishman ~ Greenberg Traurig LLP

Rebecca S. Eisner

Rebecca S. Eisner ~ Mayer Brown LLP

Tamar Kraft-Stolar

Tamar Kraft-Stolar ~ Director, Women in Prison Project, Correctional Association of New York