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Seminars & Webcasts





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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 sophistication ...

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 ...

Understanding the Securities Laws Fall 2015

Seminar  Seminar

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 ...

Drafting and Negotiating Corporate Agreements 2016

Seminar  Seminar

Why You Should Attend At this perennial favorite, our expert faculty will teach you the basics of drafting and negotiating corporate agreements -- from how the provisions of an agreement fit together, to the fundamental drafting and negotiating principles common to all corporate agreements. You will learn how to reduce your client’s goals to a complete, clearly written and enforceable agreement, and how to identify what issues are most likely ...

Secured Transactions 2016: What Lawyers Need To Know About UCC Article 9

Seminar  Seminar

Why You Should Attend Article 9 of the Uniform Commercial Code applies to secured transactions, which are interests in specific collateral granted by the debtor in conjunction with the debtor’s promise to pay. At Secured Transactions 2016: What Lawyers Need to Know About UCC Article 9, you will learn the fundamentals of acquiring a security interest, including how to attach, to perfect (filing and non-filing methods) and to gain (and maintain) ...

Private Fund Regulatory Developments and Compliance Challenges 2016

Seminar  Seminar

Why You Should Attend As our first educational conference of 2016 focused specifically on hedge funds as well as private funds, generally, this afternoon program will deliver insights from three distinguished panels of experts who will discuss the regulatory and compliance challenges expected to face hedge fund and other private managers in 2016.  A stellar faculty composed of private fund general counsels and chief compliance officers, representatives ...

Mergers & Acquisitions 2016: Trends and Developments

Seminar  Seminar

Why You Should Attend Merger and acquisition activity has been extremely robust in 2015.  The ability to properly advise companies and their boards of directors and to effectively negotiate an M&A transaction requires knowledge of the latest trends and developments affecting M&A. This program will help you stay up-to-date on recent developments regarding deal structures, potential financial advisor conflicts, appropriate board processes ...

Real Estate M&A and REIT Transactions 2016

Seminar  Seminar

Mark Your Calendar.  More Information to Come!

Securities Products of Insurance Companies 2016

Seminar  Seminar

Why You Should Attend The insurance industry continues to navigate the legal environment and regulatory hurdles in meeting insurance and retirement needs facing Americans.  This timely program provides critical content on the prevailing and emerging legal issues practitioners must understand and insights into product development and asset management services offered by insurance company complexes. Our stellar faculty will provide you with ...

Understanding Financial Products 2016

Seminar  Seminar

Mark Your Calendar. More Information to Come!

OFCCP & Government Contractors 2016: Effective Approaches to Compliance and Audits

Seminar  Seminar

Why You Should Attend President Obama’s use of executive orders, and the issuance of implementing regulations, has placed significant new obligations on all government contractors. This program will provide government contractors, their responsible counsel, and EEO compliance and affirmative action staffs, with valuable insights and direction on complying with the administration’s many new regulations and dealing with the increased ...

ERISA Plans in the Financial Markets 2016

Seminar  Seminar

Why You Should Attend ERISA plans are major investors in a constantly evolving financial marketplace.  Both financial firms designing and selling financial products and plans purchasing financial products need to understand the inner workings of the products in order to analyze them under ERISA and ensure compliance. This course provides an in depth look at the nuts and bolts of various financial instruments and investment vehicles and the ERISA ...

Corporate Governance -- A Master Class 2016

Seminar  Seminar

Why You Should Attend This program will address key corporate governance issues faced by boards and principal board committees.  Public companies and their directors and officers face increasing responsibilities and risk of liability.  They are also under intense scrutiny and in at least some cases significant pressure from investors and regulators.  Changing investor expectations and increased investor willingness to seek or force ...

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