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Financial Services IT 2014: Avoidance of Risk

Seminar  Seminar

The Financial Services Industry is one of the most heavily regulated industries and the regulations are constantly changing. The Dodd-Frank Wall Street Reform and Consumer Protection Act changed the landscape and companies must maintain their vigilance to comply with its requirements, even four years after it was enacted. The last six months has yielded further regulations. In October 2013, the OCC implemented compliance requirements for banks for ...

The Volcker Rule: What it Means for Financial Institutions and Markets

Seminar  Seminar

More than three years after the passage of the Dodd Frank Act, regulators adopted final Volcker Rule regulations late last year. U.S. and foreign banks and other market participants will now have to come to grips with the law’s requirements, and the Volcker Rule is likely to shape capital markets, funds and securitization activities for years to come. Banking organizations are busy assessing the impact of the Volcker Rule on their global trading and ...

Negotiating Real Estate Deals 2014

Seminar  Seminar

Real estate has become a favored asset class once again. Offshore investors are becoming more active in acquiring real estate, particularly as joint venture partners. All of this is having an impact on the structuring of transactions, availability of financing, availability of equity capital, bankruptcy remote structures, the role of the bankruptcy process, joint venture considerations, work-out pitfalls, carve-out guaranties and unanticipated judicial ...

Ethics in Banking and Financial Services 2014

Seminar  Seminar

The intersection of banking and brokerage regulation: What are the ethical and practical issues for lawyers in an era of overlapping regulatory jurisdictions? The dangers and pitfalls of broker-dealer enforcement: What are the ethical and practical issues for lawyers in handling enforcement matters? The ethical responsibilities of legal and compliance professionals in regulated companies: What are the duties and potential liabilities of outside ...

New Developments in Securitization 2014

Seminar  Seminar

Mark Your Calendar.  More Information to Come!

Banking Law Institute 2014

Seminar  Seminar

Mark Your Calendar.  More Information to Come!

Featured Faculty/Authors
George M. Wilson, MBA, CPA

George M. Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI

Mina Park

Mina Park ~ Director, Banking and Capital Markets Origination Legal, Asia Pacific, Citi

Harvey I. Saferstein

Harvey I. Saferstein ~ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.