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Financial Services Fiduciary Duties: Navigating the Emerging Regulatory Maze 2014

Seminar  Seminar

The SEC and DOL both have active rulemaking that could dramatically change the regulatory framework establishing fiduciary duties and obligations for broker-dealers, advisers and service providers in the retirement marketplace. At the same time, commodity trading advisers and municipal advisors have to mindful of fiduciary obligations which apply to their commodity and municipal securities activity. In this program, we review the respective frameworks ...

Basics of Mutual Funds and Other Registered Investment Companies 2014

Seminar  Seminar

This program is designed to provide attendees with a basic overview of the legal, regulatory and operational issues affecting “registered investment companies” - the universe of publicly offered pooled investment vehicles that include mutual funds, closed-end funds, exchange-traded funds (“ETFs”) and others. Attendees will learn the fundamentals of the extensive regulatory framework that dictates the structure and operations of retail investment ...

Handling a Securities Case 2014: From Investigation to Trial and Everything in Between

Seminar  Seminar

The landscape of securities litigation is constantly evolving and changing. This program takes you through all the issues that can arise in the most complex securities matters — from the initial government investigation to the filing of the civil cases to either settlement or trial. If you practice in this dynamic field, you know that the need to stay current and develop new strategies and tactics has never been more important. Our faculty of leading ...

Enforcement 2014: Perspectives from Government Agencies

Seminar  Seminar

We continue to see unprecedented changes in our economic, business and regulatory regimes in general, and in enforcement efforts in particular. 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 ...

Preparing the 2014 Form SD (Conflict Minerals Disclosure)

Seminar  Seminar

As the first filing deadline in connection with the Securities and Exchange Commission's (SEC) conflict minerals disclosure rules rapidly approaches, registrants and their advisors are focused on the disclosures required to be included in the Specialized Disclosure Form (Form SD) and if applicable, the Conflict Minerals Report (CMR). This event will provide attendees with practical perspectives and leading practices in preparing the Form SD and CMR ...

The Foreign Corrupt Practices Act and International Anti-Corruption Developments in 2014

Seminar  Seminar

The Foreign Corrupt Practices Act (“FCPA”) is at the top of most companies’ key risk areas. DOJ and SEC resources devoted to investigation 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 the FCPA, an increasing number of countries, as well ...

Antitrust Institute 2014: Developments & Hot Topics

Seminar  Seminar

With an emphasis on new developments while providing a refresher of key principles, this year’s Institute will examine current merger issues, price fixing, the legality of joint ventures and other competitor collaborations, "vertical" restraints on customers and suppliers, including resale price maintenance, standards for complying with price discrimination laws, and the latest information on the state and federal enforcement priorities. Also included ...

Leveraged Financing 2014

Seminar  Seminar

At this conference, the country’s leading experts in leveraged finance will examine key concepts and strategies in serving leveraged companies, including portfolio companies of private equity firms. You will learn about the leveraged finance marketplace today, including new deal activity, continuing refinancing needs, evolving trends in leveraged finance, funding sources and product offerings, current covenant approaches, and financing product alternatives.

Cloud Computing 2014: Key Issues and Practical Guidance

Seminar  Seminar

Corporations, government organizations and millions of consumers are shifting massive quantities of data and their software applications to cloud computing facilities. Cloud computing uses the Internet to give every size organization access to large, dynamically scalable resources (data storage, software applications and computing power). “The cloud” allows users, at all levels, to avoid large capital outlays for hardware and up-front licensing fees ...

Basics of Accounting for Lawyers 2014: What Every Practicing Lawyer Needs to Know

Seminar  Seminar

Accounting is a language of business. Because attorneys encounter accounting information in a wide range of legal issues, it is critical for lawyers to understand financial statements and core accounting concepts. This practical course, specifically designed for the non-accountant attorney, will provide an understanding of financial statements and the key principles of accounting, using real-life examples of accounting issues that attorneys commonly ...

Fashion and Retail Law 2014: Going Global and Mobile

Seminar  Seminar

Fashion brands and retailers operate in an increasingly global and mobile marketplace. The dynamic forces shaping the retail industry provide consumers with a greater variety of products, more information, and expanded retail platforms. Yet, these forces also pose significant and evolving legal risks for brands and retailers. This program will explore the key legal challenges for brands and retailers in the current environment and will offer practical ...

New Jersey Basic CLE Marathon 2014

Seminar  Seminar

Satisfy your mandatory continuing legal education requirements in New Jersey and hone your legal professionalism by attending PLI’s New Jersey Basic CLE Marathon program on May 27, 2014. In accordance with New Jersey’s requirements, this one-day program will include New Jersey-specific instruction and discussion on topics authorized by the Supreme Court of New Jersey Board.

Delaware Law Developments 2014: What All Business Lawyers Need to Know

Seminar  Seminar

Delaware law continues to play a critical role in U.S. corporate and securities law, particularly in today’s challenging and changing business environment. This unique annual program focuses on the important Delaware corporate law developments over the past year and the practical impact on your corporate or legal practice. The very top Delaware corporate law experts from the Delaware judiciary, leading law firms and corporations, and academia, will ...

Corporate Compliance and Ethics Institute 2014

Seminar  Seminar

Legal and compliance risks for organizations are higher than ever before. Compliance and ethics programs to help organizations manage legal risks should no longer be considered optional. And as the need for compliance and ethics programs has increased, government standards on these programs have become increasingly specific. In short, at no time has promoting and maintaining an ethical corporate culture been as essential for a company’s survival and ...

Global Capital Markets & the U.S. Securities Laws 2014: Raising Capital in an Evolving Regulatory Environment

Seminar  Seminar

Capital markets are adjusting to a wide range of evolving regulatory standards which affect the way in which offerings are conducted around the world. At the same time, issuers around the world are subject to changing accounting and corporate governance standards, while market participants navigate new ground in derivative product regulation. Issuers and market participants also face an increasingly active global enforcement environment targeting ...

Acquiring or Selling the Privately Held Company 2014

Seminar  Seminar

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 owns the target company, ...

Audit Committees and Financial Reporting 2014: Recent Developments and Current Issues

Seminar  Seminar

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 will hear from an expert faculty of ...

Fundamentals of Broker-Dealer Regulation 2014

Seminar  Seminar

Major changes in broker-dealer regulation and the industry continue as a result of the financial services crisis and the resulting regulatory reform. At the same time, FINRA’s rewrite of its Rulebook as part of its Rulebook Consolidation process is almost complete, and broker-dealers will be subject to FINRA’s new supervision rules in 2014. This program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealers, ...

Internal Investigations 2014

Seminar  Seminar

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 effective and efficient investigation, and touch on the many more nuanced and practical issues arising today. Leave the program with a better ...

Building Better Construction Contracts 2014

Seminar  Seminar

Construction is a risky business. A good construction contract goes a long way to define and manage that risk. Unfortunately, there are not as many well-drafted and intelligent agreements in use in the industry as there should be. This course is designed to tackle that problem. We also cover what to do in the event a dispute arises. Disputes are inevitable, but they don’t have to cripple a job or its participants. Dispute management is critical, and ...

M&A Litigation 2014

Seminar  Seminar

What better way to learn about M&A litigation than from the attorneys who litigate the nation’s most important M&A disputes and the judges who preside over them? We have assembled judges and former judges from the Delaware Supreme Court and the Court of Chancery - the most experienced and respected courts on M&A matters - and distinguished M&A litigators to give you their perspectives on the best ways to handle corporate M&A disputes.Whether ...

Private Equity Forum (Fifteenth Annual)

Seminar  Seminar

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 their first SEC audits.At ...

Doing Business in and with Emerging Markets 2014

Seminar  Seminar

With emerging markets players, including those of the BRIC (Brazil, Russia, India and China) countries, playing an ever greater role in the global economy, attorneys and other professionals facilitating cross-border transactions need to familiarize themselves with their perspective on inbound and outbound investments.This program will provide a comprehensive overview of the most pressing legal issues involved in international dealmaking in and with ...

Fundamentals of Investment Adviser Regulation 2014

Seminar  Seminar

In the aftermath of the financial crisis and the resulting regulatory reform, the SEC has advanced significant rulemaking and enforcement to impose a greater degree of controls on investment advisers’ operations. In fact, the SEC has put the regulation of investment advisers under the microscope, establishing new rules related to adviser custody, political contributions and adviser disclosure and has retooled its adviser exam program.At this program, ...

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.