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Corporate Compliance and Ethics Institute 2015

Seminar  Seminar

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 Organizations face enormous legal and compliance risks, and the need for effective compliance and ethics programs to help ...

Delaware Law Developments 2015: What All Business Lawyers Need to Know

Seminar  Seminar

Why You Should Attend 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, ...

Acquiring or Selling the Privately Held Company 2015

Seminar  Seminar

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 ...

Environmental Regulation 2015: Hot Topics, Regulatory Developments, and Practical Guidance for Corporate Compliance

Seminar  Seminar

Why You Should Attend The 2015 program will review recent activities in environmental regulation affecting compliance obligations for a range of businesses and organizations.  Taking a comprehensive look at how new developments in environmental regulations and recent case law will affect deal negotiations, daily operations and corporate compliance efforts, our expert faculty will lead practical and timely discussions on new and recurring legal ...

Audit Committees and Financial Reporting 2015: Recent Developments and Current Issues

Seminar  Seminar

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 ...

Fundamentals of Broker-Dealer Regulation 2015

Seminar  Seminar

Why You Should Attend Major changes in 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 as part of its Rulebook Consolidation process is almost complete, and broker-dealers became subject to FINRA’s new supervision rules in December 2014.  Moreover, FINRA ...

Internal Investigations 2015

Seminar  Seminar

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 use an accounting fraud scenario with a graphic novel presentation to review the fundamentals of conducting an effective and efficient investigation, as well ...

Sixteenth Annual Private Equity Forum

Seminar  Seminar

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 ...

Doing Business in and with Emerging Markets 2015

Seminar  Seminar

Why You Should Attend Doing Business in and with Emerging Markets 2015 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 have ...

Fundamentals of Investment Adviser Regulation 2015

Seminar  Seminar

Why You Should Attend Over the past few years, 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.  The SEC has also set high expectations for advisers in identifying and responding to conflicts of interests. At this program, attendees will get a solid foundation in the regulatory ...

Insider Trading Law 2015: Implications of Newman & Enforcement Trends

Seminar  Seminar

Why You Should Attend Insider trading is a critical area of criminal and civil securities enforcement and will likely remain so for some time to come.  Following the Second Circuit’s recent ground-breaking decision in United States v. Newman, however, the law’s contours are in flux.  This program will discuss the state of the law, enforcement priorities in this area, and how clients can avoid the government’s crosshairs.  ...

Securities Arbitration 2015

Seminar  Seminar

Why You Should Attend FINRA arbitrations have undergone significant changes in the past year and we expect significant developments in the near future.  If you are a practitioner, arbitrator, mediator, or intend to be any above in the future, this program is an invaluable resource for cutting edge events, practical takeaways, and a means of meeting the FINRA staff who manage the forum. This year’s Securities Arbitration program will feature ...

Bridge-the-Gap I: Ethics and Skills for Newly Admitted New York Attorneys 2015

Seminar  Seminar

Bridge-the-Gap I: Ethics and Skills for Newly Admitted New York Attorneys 2015 August 5, 2015 Learn everyday insights into law practice that you wish you learned in law school.  Our expert faculty will guide attendees through a variety of commonplace duties, demands and situations that newly-admitted attorneys may face.  The lessons taught in this program are not theoretical.  More like coaches than professors, our esteemed faculty ...

Ethics in Banking and Financial Services 2015

Seminar  Seminar

Why You Should Attend At this three hour program, an expert faculty will review and  provide practical guidance on current ethical issues faced by attorneys in banking and financial services. What You Will Learn Confidentiality issues when representing banking and financial services clients Ethical issues in internal investigations  Ethical concerns when representing multinational clients, including the Foreign ...

Writing for Transactional Lawyers 2015

Seminar  Seminar

Why You Should Attend By attending this program you will learn principles of effective writing and drafting to enhance your transactional practice. Particular emphasis will be given to the perspectives of the end users: your clients and those who litigate commercial disputes. What You Will Learn Crisp and clear drafting techniques, including the use of “Plain English” Tailoring your writing to suit different purposes and ...

Bridge-the-Gap II for Newly Admitted New York Attorneys 2015

Seminar  Seminar

Attend PLI’s two-day Bridge-the-Gap II program and fully satisfy your annual MCLE requirements for newly admitted attorneys while improving your professional skills and learning about important substantive law changes.  Our faculty of distinguished legal practitioners will help seamlessly connect the lessons you learned in law school with real-life practical applications and emerging legal trends to give you the professional edge as a new ...

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 Fund Management 2015

Seminar  Seminar

Why You Should Attend At this full day event, our expert faculty will focus on common structures for hedge funds, SEC priorities for and the regulatory environment surrounding hedge funds, and the day to day operational issues of running a hedge fund operation. The faculty will also explore strategies for addressing issues for when a hedge fund is in distress, issues relating to expansion into the registered fund business and issues and selling a ...

Hot Issues in Executive Compensation 2015

Seminar  Seminar

Mark Your Calendar.  More Information to Come.

Bridge-the-Gap I: Ethics and Skills for Newly Admitted New York Attorneys 2015

Seminar  Seminar

Bridge-the-Gap I: Ethics and Skills for Newly Admitted New York Attorneys 2015 September 21, 2015 Learn everyday insights into law practice that you wish you learned in law school.  Our expert faculty will guide attendees through a variety of commonplace duties, demands and situations that newly-admitted attorneys may face.  The lessons taught in this program are not theoretical.  More like coaches than professors, our esteemed faculty ...

Crowdfunding and Online Direct Lending (Peer-to-Peer) 2015

Seminar  Seminar

Why You Should Attend Recent market activity demonstrates that crowdfunding is now a bona fide alternative form of early and mid-stage corporate finance and can lead to exits in the M&A and capital markets arenas. In the face of this tremendous growth trajectory, the industry has divided into several categories, each with its own legal risks and challenges. Will this growth continue? Join our expert faculty for a practical discussion on where ...

Cybersecurity 2015: Managing the Risk

Seminar  Seminar

Mark Your Calendar.  More Information to Come!

Securities Law and Practice 2015: How the SEC Works

Seminar  Seminar

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