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Broker-Dealer Advisory Services 2016: Current Legal and Compliance Issues Facing Dual Registrants

Groupcast  Groupcast

Why You Should Attend Broker-dealers that are dually registered as investment advisers are under intense regulatory scrutiny.  At this program, attendees will be provided with expert analysis regarding today’s hot topics impacting the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators will review current ...

Ethics for Corporate Lawyers: Multijurisdictional Practice and Other Current Issues 2016

Groupcast  Groupcast

Why You Should Attend Corporate lawyers are often met with particularly nuanced opportunities to mistakenly ensnare themselves in an ethical trap. Operating across jurisdictions, handling multiple representation and balancing a lawyer’s ethical duties with disclosure obligations are just a sample of potential ethical danger zones that attorneys must be mindful of. Our panel of legal experts will lead this program through a review of the major ...

Spin-offs 2016

Groupcast  Groupcast

Why You Should Attend Business separation transactions represent a substantial portion of all M&A transactions.  Many of these take the form of spin-offs, equity carve-outs and similar architectures not involving an outright sale.  But what is a spin-off, what makes it different from other types of business separation transactions, and why are people doing more of them?  This program will provide an in-depth perspective on the ...

Ethics for Financial Industry Lawyers 2016

Groupcast  Groupcast

Why You Should Attend The program will review the professional responsibility issues confronting lawyers who advise clients in connection with securities and derivatives transactions, including the implementation of the Dodd-Frank Act. What You Will Learn Lawyers as gatekeepers to protect the public Who the client is - organizations, not officers When to report wrongdoing: internally (up the corporate ladder and to the Board) and ...


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