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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 ...

Financial Services Conflicts of Interest & Fiduciary Duties 2015: Navigating the Emerging Regulatory Maze

Seminar  SeminarWebcast  Webcast

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 firms to identify and address ...

Enforcement 2015: Perspectives from Government Agencies

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

 Why You Should Attend We continue to see unprecedented enforcement efforts by government and regulatory agencies. 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 Office, U.S. Department of the Treasury, ...

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

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 enforcement actions and disclosures demonstrate that no industry is immune from FCPA scrutiny, and FCPA sweep investigations across industry sectors are becoming more common and challenging. Beyond ...

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 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 Investment Adviser Regulation 2015

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 ...

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  WebcastGroupcast  Groupcast

Co-Sponsored by Pennsylvania Bar Institute Attendees in Pennsylvania will be viewing the live broadcast at the Pennsylvania Bar Institute, 5080 Ritter Rd., Mechanicsburg, PA 17055. 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 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!

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

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

Hedge and Private Fund Enforcement and Regulatory Developments 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

This is a webcast of the live New York session.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