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Showing 1 - 25 of 63 Results

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DOL Update: Compliance with the Fiduciary Rule, Other DOL Initiatives, and Recent DOL Enforcement Activities

One-Hour Briefing  One-Hour Briefing

On April 6, 2016 the Department of Labor (DOL) released the long-awaited ERISA Fiduciary Regulation.  The rule re-writes the definition of “investment advice” and is accompanied by the Best Interest Contract Exemption, which sets forth a labyrinthine scheme of required terms, disclosures, and exception.  At the same time, DOL has been busier than ever aggressively pursuing its enforcement initiatives and filing litigation nationwide.  ...

Acquiring or Selling the Privately Held Company 2016

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend At this perennial favorite, our experienced faculty will walk you through all of the steps associated with acquiring and selling a privately held company, whether it is a large independent corporation, a division or subsidiary of a large public company, or a smaller venture capital-backed or family-owned entrepreneurial enterprise. You will learn about the special issues that apply when a private equity firm is the buyer or ...

Corporate Compliance and Ethics Institute 2016

Seminar  SeminarWebcast  Webcast

Please note that "ethics" in the program title refers to the “Compliance and Ethics Program” used in the Federal Sentencing Guidelines for Organizations. It does not specifically refer to legal ethics. Please check the credit calculator to the right for credit information for your jurisdiction.Why You Should Attend Compliance and ethics programs are critically important to the success and growth of any organization. Such programs allow ...

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 ...

Cyber Securities Litigation: When Data Breaches Become Fraud Suits

One-Hour Briefing  One-Hour Briefing

Investors and corporations alike have become increasingly concerned about the dramatic uptick in widespread data breaches.  While the threat these breaches pose to the privacy of  customers and businesses is well understood, there has been less focus on another alarming consequence of cyber piracy—the potential for breaches to give rise to major securities fraud cases. Such litigation has been relatively limited to date for a couple ...

Cloud Computing 2016: Key Issues and Practical Guidance

Seminar  SeminarWebcast  Webcast

Why You Should Attend This program will provide practical advice on understanding the context and business realities around which cloud computing exists, understanding key terms for cloud computing contracts, help organizations considering the purchase of cloud services to understand  vendor and customer obligations and responsibilities associated with cloud computing services, provide information to cloud service vendors on the compliance obligations ...

Environmental Regulation 2016: Hot Topics, Regulatory Developments, and Practical Guidance for Corporate Compliance

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend This program will review recent activities in environmental regulation affecting compliance obligations for a range of businesses and organizations.  Among other topics, our program will cover the impact of recent court decisions, new regulations and initiatives affecting regulated entities, and practical suggestions for management and compliance.  This program will take a comprehensive look at how new developments ...

Canadian Securities Law Developments: Making Sense of Extending Offerings into Canada

One-Hour Briefing  One-Hour Briefing

Canada presents unique challenges for U.S. and global investment banks that wish to make international securities offerings available to Canadian investors.  Change is a constant feature of the Canadian landscape, with new rules and regulations sometimes simplifying the requirements for making Canadian private placement sales, and sometimes introducing even more complexity.    In this briefing, Rob Lando of Osler, Hoskin & ...

Pocket MBA Summer 2016:Finance for Lawyers and Other Professionals

Seminar  SeminarWebcast  Webcast

Why You Should Attend The ability to identify and appropriately use financial and accounting information is relevant to a wide range of legal and regulatory matters for attorneys and other professionals. Transactional and litigation attorneys will benefit from this practical course designed specifically for non-accountants and taught by members of the nation’s top accounting, tax and advisory firms, leading law firms, in-house counsel and ...

Audit Committees and Financial Reporting 2016: Recent Developments and Current Issues

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

WHY YOU SHOULD ATTEND As we continue to see many new regulations from the SEC, PCAOB and financial institution regulators, we also continue to see numerous challenges emerge for the audit committee.  If you are a director or member of an audit committee, or if you advise audit committees, this program will help you understand what is required of the audit committee, and those who advise them, in this rapidly changing environment.  You ...

Cybersecurity in the Age of Regulators Gone Wild

One-Hour Briefing  One-Hour Briefing

Companies face a new cybersecurity foe: federal regulatory agencies. The Federal Trade Commission, Consumer Financial Protection Bureau, the Securities and Exchange Commission, and other agencies are now proceeding full steam ahead with enforcement actions against companies they believe are not taking adequate or reasonable steps to protect themselves or others from cyber threats.  Will this unfortunate trend become a permanent reality for companies, ...

Robo-Advisers and Digital Advice: The Emerging Regulatory Framework

One-Hour Briefing  One-Hour Briefing

The dramatic rise in automated investment platforms (including robo-advisers) is drastically changing the traditional landscape for registered broker-dealers and advisers.  These services  are appealing to younger generations of millennial investors by utilizing technologically-savvy online investment tools that operate seamlessly on personal devices, such as smart-phones and tablets.  Indeed, a report cited by Bloomberg estimated that ...

Seventeenth Annual Private Equity Forum

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Since the financial crisis a few years ago, private equity firms have been dealing with its aftermath, including increased regulatory and legislative scrutiny of their activities and the activities of their funds as well as difficult environments in which to raise new funds and to get deals done.  Many firms were required to register as investment advisers with the SEC and a number of newly registered firms are now undergoing ...

Panama Papers: Highlighting the Risks for Financial Institutions and Professional Service Providers

One-Hour Briefing  One-Hour Briefing

The leak of more than 11 million documents known as the “Panama Papers” and the subsequent disclosures concerning offshore companies – many controlled by senior government officials or their families and friends, as well as entertainers, and others who are not public figures—has shined a bright light on the use of shell companies.  While there are legitimate reasons for concealing the ownership or control of businesses ...

How to Conduct a Global Human Resources or Labor Compliance Audit—Including Cross-Border Employment Due Diligence

One-Hour Briefing  One-Hour Briefing

Globalization pushes multinationals to align ever-more aspects of their internal human resources across borders.  Today’s multinationals have globalized HR programs, workplace policies, employee benefits and staff offerings that back in another era would have been purely local. Think of, for example:  global HR policies and handbooks, global codes of conduct, global intranets and HR information systems, global expatriate programs, ...

Doing Business in and with Emerging Markets 2016

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Doing Business in and with Emerging Markets 2016 will provide a comprehensive overview of the most pressing legal issues involved in international deal making in and with emerging  markets. Attorneys and other professionals in the field will benefit from the insights offered by a stellar, international faculty, who will draw on decades of combined experience to share the best practices and most effective strategies they ...

Insider Trading Law 2016: Salman, Newman, and the Road Ahead

Seminar  SeminarWebcast  Webcast

Why You Should Attend Insider trading is a critical area of criminal and civil enforcement and will likely remain so for some time to come.  Following the Second Circuit’s ground-breaking decision on tippee liability in United States v. Newman, and the Ninth Circuit’s seminal decision on the same issue in United States v. Salman, the law’s contours are in flux.  Enter the Supreme Court, whose decision in Salman could ...

Global Legal Challenges of Social Media Marketing

One-Hour Briefing  One-Hour Briefing

Brands are now, more than ever, marketing their products and services on a global basis and are increasingly using social media to do so.  Because of the global reach of such marketing platforms, the laws of multiple jurisdictions apply, making compliance difficult.  It’s critical for global advertisers to understand the pitfalls when using social media to reach consumers across borders.  This panel, all lawyers from the Global ...

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 ...

Basics of Accounting for Lawyers 2016: What Every Practicing Lawyer Needs to Know

Seminar  SeminarWebcast  Webcast

WHY YOU SHOULD ATTEND Whether you’re a transactional attorney or a litigator, when financial and accounting records emerge in the legal matter you’re handling, it helps to know some accounting basics.  The numbers always tell a story – one that may support your legal position.  Being able to recognize the relevant accounting principles at work and how they influence the outcome of your legal matter can only help you deliver ...

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 ...

Ethics for In-House Corporate Counsel 2016

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Hear from experienced practitioners, who will provide practical advice about a broad range of ethical issues confronting in-house counsel.  This unique program will help you identify risk areas, analyze relevant ethical obligations, and understand best practices.  What You Will Learn Representing the corporate entity: who is the client Crisis management, corporate compliance, and litigation management: ...

Fundamentals of Broker-Dealer Regulation 2016

Seminar  SeminarWebcast  Webcast

Why You Should Attend Major changes in the broker-dealer industry and regulatory framework continue as a result of the financial services crisis, the resulting regulatory reform and other trends and developments.  At the same time, FINRA’s rewrite of its Rulebook is almost complete, and broker-dealers have become subject to DOL’s new stringent rules imposing a fiduciary duty with respect to their sales in connection with their IRA ...

Private Placements and Hybrid Securities 2016

Seminar  SeminarWebcast  Webcast

Why You Should Attend Join our expert faculty of leading practitioners and regulators as we discuss and analyze the changing regulatory framework and market for private offerings. We will address the changes to private and exempt offerings brought about by the JOBS Act, including matchmaking platforms, “accredited investor” crowdfunding, offerings using general solicitation, Rule 144A offerings, and the practical implications of these ...

Bridge-the-Gap I: Ethics and Skills for Newly Admitted New York Attorneys 2016

Seminar  SeminarWebcast  Webcast

Why You Should Attend Please note that only the "How to Avoid Tripping on Ethical Pitfalls When You’re Learning to Walk" segment, which runs from 8:45 a.m. until 11:35 a.m., will be available via the Live Webcast. Newly admitted attorneys enter the practice with a good grasp of the law but often need a primer on common skills and knowledge that experienced attorneys acquire over time.  These skills can stem from topics typically ...


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