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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

Why You Should Attend As the economy shifts and the legislature, SEC and shareholders respond, the design, implementation and disclosure of executive compensation undergoes continual change. At this program, experts in the area – from major corporations, the SEC, the IRS and shareholder activist groups, as well as from leading law and consulting firms – will lead you through the emerging best practices and the current reactions to the ...

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 ...

Securities Law and Practice 2015: How the SEC Works

Seminar  Seminar

Why You Should Attend Securities lawyers need to have a firm grasp of not only the federal securities laws, but also how the SEC works to administer the securities laws.  In this program, you will be given an introduction to the federal securities laws as well as the operating divisions at the SEC that administer the laws.  You will be provided with what you need to know about how the SEC administers the securities laws - and the other ...

Hot Topics in Mergers & Acquisitions 2015

Seminar  Seminar

Why You Should Attend The long-promised return of robust M&A markets was finally realized in 2014, and 2015 is exhibiting no signs of moderation Now more than ever, it is critical for dealmakers and their counsel to stay abreast of the latest trends and forecasts. What is driving the increased activity levels, and are those underlying factors sustainable? How will a more robust job market and a continued low interest rate environment affect acquisition ...

White Collar Crime 2015: Prosecutors and Regulators Speak

Seminar  Seminar

Why You Should Attend In an increasingly global and coordinated fashion, the Department of Justice, the SEC, the CFTC, and other U.S. and foreign agencies are pressing forward with a white collar enforcement program of unprecedented scope and severity. With a spotlight on the financial services sector, the authorities are advancing novel theories and exacting increasingly draconian penalties. The government’s enforcement agenda is broad and ...

Corporate Counsel Institute 2015

Seminar  Seminar

Why You Should Attend The role of the corporate counsel continues to transform to meet new challenges in relation to an increasingly global economy, financial turmoil and continually changing new technologies.  It is essential for all corporate counsel to be informed of the latest developments and to possess effective, budget-conscious strategies for managing the legal and practical business matters of corporate law departments, while adding ...

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 ...

Financial Services Industry Regulatory Compliance & Ethics Forum 2015

Seminar  Seminar

Why You Should Attend In the aftermath of the financial crisis and recent scandals, and targeted examination and enforcement scrutiny, financial services firms' corporate compliance and ethics programs are under intense observation.  At this program, attendees will get a solid foundation about the relevant regulatory framework as well as practical considerations regarding the design and implementation ...

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

Prison Law 2015

Seminar  Seminar

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  Seminar

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 how these important instruments are regulated and transacted.  This program will introduce you to both the instruments and their new environment. A derivative is a financial instrument that allocates the risks and price exposures associated with a designated reference asset ...

Advanced Swaps & Other Derivatives 2015

Seminar  Seminar

Why 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 at the direction of Chair Mary Jo White is making Title VII implementation ...

Private Placements and Hybrid Securities Offerings 2015

Seminar  Seminar

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 ...

Securities Regulation Institute (47th Annual)

Seminar  Seminar

    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 strategies and solutions to the many challenges ...

Outsourcing 2015: Sourcing Critical Services

Seminar  Seminar

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 befall them, as well as the available countermeasures.  ...

Antitrust Counseling & Compliance 2015

Seminar  Seminar

Why 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 adverse publicity are all possible if companies step over the line. ...

Broker/Dealer Regulation and Enforcement 2015

Seminar  Seminar

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 specifically on broker-dealers. ...

Hedge and Private Fund Enforcement & Regulatory Developments 2015

Seminar  Seminar

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 ...

Directors' Institute on Corporate Governance (Thirteenth Annual)

Seminar  Seminar

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 ...

Annual Disclosure Documents 2015

Seminar  Seminar

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 prepared by SEC reporting companies. Hear from the SEC staff and our faculty, who will focus on current “hot issues,” best practices, and practical pointers. In 2015 we expect further regulatory and practice changes affecting public company disclosures. These ...

New Developments in Securitization 2015

Seminar  Seminar

Why 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.  Other markets such as residential mortgage-backed securities ...

Featured Faculty/Authors
Clifford E. Kirsch

Clifford E. Kirsch ~ Sutherland Asbill & Brennan LLP

Tanya E. M. Wong

Tanya E. M. Wong ~ Director of Government Benefits, Legal Services NYC - Legal Support Unit

Kenneth N. Nigon

Kenneth N. Nigon ~ RatnerPrestia