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Advanced Compliance and Ethics Workshop 2015

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. The need for companies to have effective compliance and ethics programs is greater now than ever before. This powerful ...

SEC Enforcement of Trading in Pre-IPO Securities

One-Hour Briefing  One-Hour Briefing

Just within the past 5 years, there has been an explosion in trading in the shares of private, pre-IPO companies.  Insiders at companies looking for liquidity have found rapturous investors looking to get a piece of hot new companies before they go public.  To facilitate these sales, new on-line marketplaces have sprung up to match buyers and sellers, and to start funds akin to mutual funds, only with pre-IPO shares.   This trend ...

SEC's Pay Ratio Rule: What Companies Need to do to Prepare

One-Hour Briefing  One-Hour Briefing

On August 5, 2015, the SEC issued a long-awaited final rule to implement the Dodd-Frank requirement that issuers disclose the median annual total compensation of all their employees (minus the chief executive officer), the annual total compensation of their CEO, and the ratio of these two amounts.  The SEC’s final rule contains some significant changes from the rule proposed in 2013, most of which were designed to provide issuers with additional ...

August 2015 Amendments to the DGCL: Critical Changes Concerning Forum Selection and Fee Shifting Bylaws in Delaware

One-Hour Briefing  One-Hour Briefing

In the face of increasing stockholder litigation, companies have utilized various tools in an attempt to limit the extent of litigation generally, and multiforum litigation, in particular.  Companies have adopted provisions in their governing documents that (1) specify the forum or forums in which stockholder litigation can occur, and (2) impose fee shifting in connection with any such litigation.  Following several high-profile decisions ...

Prison Law 2015

Seminar  SeminarWebcast  Webcast

Why You Should Attend: Prison conditions and prisoner treatment issues are getting unprecedented attention as the nation focuses on the magnitude of the national prison population.  With its sixth Prison Law program, PLI continues its examination of these important issues.  In an area where advocates face increasingly challenging legal issues whether they represent incarcerated people from a public interest practice, private practice or ...

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, 5080 Ritter Rd., Mechanicsburg, PA 17055. You will have the opportunity to submit questions and will receive the printed Course Handbook.Why You Should Attend Over-the-counter (OTC) derivatives are key elements in many of our financial markets.  The Dodd-Frank Act has changed and is continuing to change ...

Anti-Money Laundering: Fundamentals of U.S. Law and Compliance

One-Hour Briefing  One-Hour Briefing

Money laundering involves financial transactions with the proceeds of criminal activity.  Yet, contrary to popular perception, money laundering predicate offenses include not only drug trafficking, terrorist finance, and violent crimes like racketeering, murder, terrorism, and human trafficking, but also a wide range of white collar crimes including mail and wire fraud, Foreign Corrupt Practices Act violations, tax offenses, illegal gambling ...

Advanced Swaps & Other Derivatives 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Co-Sponsored by New Jersey Institute for Continuing Legal EducationWhy You Should Attend The Dodd-Frank Act established a novel, comprehensive framework for the regulation of over-the-counter (OTC) derivatives and the market participants who transact in these products.  That regulatory framework, split primarily between the SEC and CFTC, has been substantially implemented by the CFTC. For their part, the SEC has made substantial progress and ...

Private Placements and Hybrid Securities Offerings 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

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 changes ...

Understanding the Securities Laws Fall 2015

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 and key SEC representatives. Emphasis will be placed on the interplay among the Securities Act of 1933, the Securities Exchange ...

Securities Regulation Institute (47th Annual)

Seminar  SeminarWebcast  Webcast

This is a webcast of the live New York session.    For more than four decades, PLI’s Annual Institute on Securities Regulation has been the premier conference on securities regulation and corporate governance for lawyers, from new associates to seasoned practitioners.  This year’s Institute will once again bring you the nation’s leading securities and corporate legal experts to deliver practical insights and real-world ...

Outsourcing 2015: Sourcing Critical Services

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

This is a webcast of the live New York session.Why You Should Attend Outsourcing has firmly established itself as a common practice - often being standard for new companies.  Sourcing agreements raise numerous legal and compliance concerns that counsel are challenged to manage.  Whether in the pre-contract negotiation phase or when problems arise during fulfillment, attorneys on both sides of the agreement must know the risks that might ...

Antitrust Counseling & Compliance 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Co-Sponsored by New Jersey Institute for Continuing Legal EducationWhy You Should Attend Lawyers counseling businesses need to have a solid foundation in principles of antitrust law and an understanding of the latest antitrust developments in order to advise their clients smartly.  The consequences of running afoul of antitrust rules can be costly: government enforcement, jail time for executives, treble damage litigation, class actions, and ...

Pocket MBA Fall 2015:Finance for Lawyers and Other Professionals

Seminar  Seminar

Why You Should Attend  Financial and accounting knowledge is critically important for attorneys and allied professionals to have to successfully navigate the current legal, regulatory and financial reporting environment.  This program is specifically designed for non-accountants and will enhance understanding of business strategies, accounting fundamentals and vocabulary used by management, investors, auditors and bankers.  Practical ...

Broker/Dealer Regulation and Enforcement 2015

Seminar  SeminarWebcast  Webcast

Webcast of live New York session.Why You Should Attend This program will focus on the many significant developments in the regulation and oversight of broker-dealers. New rules are continuously promulgated under the Dodd-Frank Act and have substantial implications for broker-dealers and the industry. At the same time, there is heightened enforcement of the federal securities laws. The SEC Division of Enforcement has established a new task force focused ...

Financial Projections in M&A Transactions

One-Hour Briefing  One-Hour Briefing

Management projections are typically a key factor in how a board of directors evaluates a potential M&A transaction and are also a key input in the financial analyses performed by financial advisors.  Furthermore, the Delaware Courts have recognized that management’s best estimate of a target company’s future financial performance is among the most important pieces of information sought by stockholders in determining how to vote.  ...

Securities Filings 2015: Practical Guidance in a Changing Environment

Seminar  Seminar

Why You Should Attend This popular program will analyze in detail the principal forms used for filings with the SEC under the Securities Act of 1933 (“Securities Act”), and the Securities Exchange Act of 1934 (“Exchange Act”), with particular emphasis on the mechanics of and timing for assembling particular filings. Each segment of the program will incorporate practical tips and/or interactive drafting exercises. Ethics credit ...

Hedge and Private Fund Enforcement & Regulatory Developments 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend The SEC and other government agencies continue to focus enforcement efforts on hedge funds and private equity firms.  While insider trading continues to be a priority, examinations and sweeps have turned to issues that private funds deal with on a daily basis - valuation, conflicts of interest, big data and transparency of fees and allocation of expenses. As the regulators’ and prosecutors’ expertise and sophistication ...

Accounting Materiality: In Fraud or in Fair Weather

One-Hour Briefing  One-Hour Briefing

When is an error in a financial statement considered material?  Tune in to hear from distinct perspectives – from the viewpoint of the accountant, the attorney, and former SEC regulator - on what “materiality” in financial statements means in both good and troubled times.  FTI Consulting, Inc. Senior Managing Directors, Matthew B. Greenblatt and Jason S. Flemmons, and Baker& Hostetler LLP White Collar Defense and Corporate ...

Directors' Institute on Corporate Governance (Thirteenth Annual)

Seminar  SeminarWebcast  Webcast

Why You Should Attend In the past year, new expectations were being placed on boards in critical areas of governance, including disclosure, oversight of complex operational issues, risk management, board succession, audit committee oversight, executive compensation, and responsiveness to and communication with investors pressing different concerns. In addition, the Dodd-Frank Act, the Foreign Corrupt Practices Act and other anti-bribery laws have ...

Advanced Venture Capital 2015

Seminar  SeminarWebcast  Webcast

Webcast of live San Francisco session.Why You Should Attend This program provides an in-depth analysis of current market conditions and the changing legal environment, and is geared toward the experienced venture capital practitioner. Our expert faculty of lawyers, venture capitalists and business executives will analyze the legal and business issues relevant to navigating today’s evolving venture capital world.  This program will also ...

Basics of Export Controls 2015

One-Hour Briefing  One-Hour Briefing

Save the date!  Details to follow.

Annual Disclosure Documents 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.Why You Should Attend Stay up-to-date on the latest disclosure requirement changes and developments affecting annual disclosure documents and annual meeting soliciting materials ...

New Developments in Securitization 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Co-Sponsored by New Jersey Institute for Continuing Legal EducationWhy You Should Attend As the securitization world continues to emerge from the financial crisis, it faces a continuing flow of new regulation.  Some asset-backed securities (ABS) markets, such as auto securitizations, collateralized loan obligations (CLOs), and commercial mortgage-backed securities (CMBS) are experiencing robust activity, with issuance volumes steadily rising.  ...

Coping With U.S. Export Controls and Sanctions 2015

Seminar  Seminar

Why You Should Attend Export controls and economic sanctions continue to change rapidly. It is more important than ever for institutions in all sectors of the economy to stay on top of developments in the United States and other countries. Companies and financial institutions must be aware of their compliance and disclosure obligations, enforcement trends and priorities, and emerging risks. Implementing and strengthening compliance programs is an ...

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