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Laying the Foundation - Financial Product Fundamentals

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Recorded on: Jan. 7, 2015

ROBERT S. RISOLEO: Thank you, Willis. And good morning to everyone in the room and to those listening on the web. I'd like to welcome everyone to PLI's first program of 2015, and to the, I guess, roughly 17th or 18th installment of this program, which had a different name at the beginning. It used to be called Nuts and Bolts of Financial Products. I think the nuts and bolts descriptor was abandoned a few years ago in favor of something more anodyne ...

Variable Insurance Products, Distribution, and Current Developments

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Recorded on: Jan. 7, 2015

MARY JOAN HOENE: Good afternoon, everybody. We are back on to have the second segment of the registered mutual fund part of the program, registered investment company. And we have Tom back with us. And I'd like to welcome Paul Cellupica who is now the general counsel for securities law at TIAA-CREF. His bio in the program reflects that he was at MetLife where he had been for a number of years-- PAUL CELLUPICA: Until two weeks ago. MARY JOAN HOENE: ...

Hedge Funds and Other Private Funds

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Recorded on: Jan. 7, 2015

MARY JOAN HOENE: Well, that allows me to introduce Scott Lederman, who is here from Grosvenor Capital Management in Chicago and has done this program for many years on hedge funds. And we are in for a treat, I can tell you, because I always try to come to this even if I'm not presenting. And along with Scott is Tram Nguyen, who is now at Stroock as a partner but prior to that spent a number of years during the development and aftermath of Dodd-Frank ...

Derivatives Products

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Recorded on: Jan. 7, 2015

ROBERT RISOLEO: OK, welcome back. For the panel on derivatives products, I'd like to introduce two additional members of our faculty who will be joining Rebecca Simmons. Next to Rebecca is Kiye Sakai, who's a managing Director and Counsel at UBS, where she leads the Derivatives and Structured Products legal team in the Americas. This team supports all of UBS's derivatives businesses and structured products businesses. Before UBS, Kiye was a counsel ...

Securitized Products

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Recorded on: Jan. 7, 2015

ROBERT RISOLEO: Welcome to day two of our program. This morning we will wrap up our examination of different types of capital markets-- financial products-- with a discussion of securitization structures, focusing mainly on non-mortgage-backed securities. But many of the principles are applicable to all types of securitizations. And I can't think of anyone better to conduct this discussion than Stuart Litwin. Stuart is a veteran of many years of ...

Mutal Funds, Closed End Funds, BDCs and ETFs

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Recorded on: Jan. 7, 2015

MARY JOAN HOENE: Great. Thank you very much, [? Willis. ?] Can everybody hear us out there? Good. So this morning, we're moving to a broadly known, but not well understood segment of the financial products market, and that is the investment company universe. And we'll be particularly focused on mutual funds because they are the most common variety that we all experience in our daily life. With me today I have the pleasure of introducing two very ...

Capital Markets Products

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Recorded on: Jan. 7, 2015

ROBERT RISOLEO: OK. Thank you, and welcome back. In this segment, we will consider several different types of financial products. Joining us on the panel-- welcome back first to Gary Brown. And next to Gary is Ken Josselyn, who's the general counsel for Finance and Corporate Legal at Goldman Sachs. Ken's been with Goldman Sachs since 1988 and has been a managing director there since 2001. Before joining Goldman, Ken was an associate at Sullivan & ...

Mortgage-Related Products and CDOs

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Recorded on: Jan. 7, 2015

ROBERT RISOLEO: OK. Welcome back for the final segment of the day, covering mortgage-related products and CDOs or Collateralized Debt Obligations. I'd like to welcome back Rebecca Simmons. And sitting between Rebecca and me is Chris Gavin, who's a partner at Perkins Coie, here in New York. Chris is a returning faculty member. He joined us two years ago. Then, as now-- and thank you Chris-- in a pinch-hitting situation, we had a last minute cancellation ...

Asylum and Removal

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Recorded on: Jan. 5, 2015

CYNTHIA J LANGE: Welcome back. We're going to be starting with our next panel, Asylum and Removal. I wanted to welcome our speakers. We're really excited to have both Lenni Benson and Mark von Sternberg. Mark's going to start. Just by way of introduction, he's a senior attorney with Catholic Charities, has been an adjunct professor, and has, again, terrific experience in the area. Following him Lenni Benson will speak who is a good, long time friend ...

Peering into the Future of Immigration Law and Practice

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Recorded on: Jan. 5, 2015

CYNTHIA LANGE: Thank you so much. So we saved the best for last. We have a different panel than we've had in the past. And we have just two panels left to go and. We get to end up with a fabulous ethics panel. But week we decided to put a panel in here talking about peering into the future. What do we see for the future of immigration law? What kind of practice will there be? What changes will happen within the agency? We already know we'll have ...

Ethics in Immigration Practice: Where Zealous Representation Starts and Ends

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Recorded on: Jan. 5, 2015

CYNTHIA J. LANGE: Well, welcome back. Sorry to just switch out the panel members. For our last panel on ethics, we'll have an hour of ethics training. We'll have Lenni Benson, and Bob Juceam again will be returning for that. Lenni, maybe you can just give us an overview of what you guys will be talking about, so we can prepare for that. LENNI B. BENSON: So first of all, in your book materials, Bob Juceam has a book within a book, right? His article ...

Responding to Government Audits and Investigations

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Recorded on: Jan. 5, 2015

CYNTHIA J LANGE: Good morning. Welcome to the second day of the PLI Immigration and Naturalization Institute. We're going to kick off the morning with an interesting topic-- responding to government audits and investigations. And we have two very seasoned immigration lawyers to talk to us. First, to my immediate left is Bill Stock. He's founding partner of Klasko Immigration Law Partners, and handles all aspects of immigration law-- truly every aspect. ...

SEC Guidance Regarding Investment Advisors and Proxy Firms

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Recorded on: Jan. 5, 2015

AMY TAUB: Thank you. Hello, my name is Amy Taub, and I'm a program attorney with PLI. I would like to welcome you to today's briefing, SEC Guidance Regarding Investment Advisers and Proxy Firms. Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to materials for this briefing via the Course Materials ...

Challenges to Entrepreneurs Coming to the United States

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Recorded on: Jan. 5, 2015

AUSTEN FRAGOMEN: Well, we're ready for our last session of the day. You've been a great audience, and we appreciate your input and involvement and whatnot. But we're getting down to the end. So fortunately we have a fascinating topic dealing with entrepreneurs and investors, dealing with EB-5s, and we have two of the outstanding practitioners in this area in terms of experience and depth of knowledge. So I think we should be able to tell you some ...

Focus on PERM

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Recorded on: Jan. 5, 2015

AUSTIN T. FRAGOMEN, JR.: Good afternoon. This afternoon we're going to start off with one of our always exciting topics, such as PERM, and this is another one of those areas where the government likes to make policy through what they do, rather than announcing the policy changed. And all of a sudden, one day, after getting a thousand cases approved that used exactly the same words, the thousand and first gets denied because they now have come up with ...

Children and Emerging Issues for New American Families

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Recorded on: Jan. 5, 2015

AUSTIN T. FRAGOMEN, JR.: Well, why don't we get started with our next panel. You know I'd mentioned in my opening remarks the challenges posed by the unaccompanied children situation and what it really points up is a larger issue, which is really the importance of children and families in immigration context. And this has become a really major focus in the field, which is quite different because it used to be years ago there were practitioners that ...

Hot Potatoes! Update on Handling Underfunded ERISA Pensions

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Recorded on: Dec. 31, 2014

AMY TAUB: Thank you. Hello, my name is Amy Taub and I'm a program attorney with PLI. I would like to welcome you to today's briefing, Hot Potatoes! Update on Handling Underfunded ERISA Pensions. Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to materials for this briefing via the course materials ...

Modifying and Eliminating Fiduciary Duties in Alternative Entities -- How Far Can You Go?

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Recorded on: Dec. 29, 2014

SPEAKER 1: It is now my pleasure to turn the speaking over to Elena Norman. ELENA C NORMAN: Hi. Thank you very much, and thank you everyone for dialing in. I'm Elena Norman. I'm a partner in the corporate litigation section of Young, Conaway, Stargatt, & Taylor in Wilmington, Delaware. And we're very excited to present this program today. Speaking with me are two of my colleagues, both of whom focus their practices on alternative entity. And ...

Excel Essentials for Legal Professionals 2014

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Recorded on: Dec. 24, 2014

AMY TAUB: Thank you. Hello. My name is Amy Taub, and I'm a program attorney with PLI. I would like to welcome you to today's briefing, "Excel Essentials for Legal Professionals." Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to materials for this briefing via the Course Materials ...

Securities Act Exemptions/Private Placements

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Recorded on: Dec. 16, 2014

N. ADELE HOGAN: Well, we're delighted to be back. And I want to introduce to my left, Anna Pinedo. She is a partner at Morrison Foerster, and she has a huge practice in a very complicated area of securities law. She does general securities law, of course, but she also is very specialized in securities and derivatives and how they interplay. She does a lot of work in the structured products area. A lot of the most complex questions in New York City ...

New World of Collaborative Consumption 2014

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Recorded on: Dec. 16, 2014

SPEAKER 1: It is now my pleasure to turn the speaking over to David Balabanian. DAVID BALABANIAN: Hello everyone, and welcome to the first PLI course on collaborative consumption. One thing I can say with assurance, it will not be the last. With me on the panel is RJ Hendricks, the labor and employment partner at Morgan Lewis, Brian Rocca, an anti-trust and regulatory partner at Morgan Lewis, and Robert Morgan, who, despite his name, is not at Morgan ...

"Insiders" and "Affiliates" - Reporting and Resales

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Recorded on: Dec. 16, 2014

JULIE M. ALLEN: Good morning, everybody. We've got a lot to cover and just a little note to start out. We're probably going to skip some of the slides that are in your materials just because they contain a lot of detail, and we want to make sure to cover all of the topics at least at the most important points. So at points as we go through the slides, we may just say, you can refer to these slides for this detailed information. So our first topic ...

Liability for Securities Law Violations

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Recorded on: Dec. 16, 2014

ADELE HOGAN: OK, welcome back. We're going now to spend an hour and a half going through Liability for Securities Law Violations. And we have a true panel of experts here that are going to intersperse fairly sophisticated discussion of the law with practical issues that come up from time to time. So I'm going to have each person just quickly introduce themselves, actually. MARTHA SOLINGER: All right. Hi, I'm Martha Salinger. I have been at Lehman ...

Ethics and Professionalism in Securities Law

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Recorded on: Dec. 16, 2014

N. ADELE HOGAN: All right. Let's go ahead and get started because we-- PLI and we all run a tight ship and you have tight timetables, too. I'm thrilled to be here. We're going to spend one hour in ethics and we're going to try to make it incredibly substantive, so we're going to have a lot of ethics points which are obviously critical and very important. But where they're going to be interwoven with some very heavy-- not very heavy but very interesting, ...

Introduction to Securities Laws

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Recorded on: Dec. 16, 2014

KENNETH L. JOSSELYN: As Adele said, I'm going to try to provide a general overview of the US federal securities laws. I'm going to focus primarily on the Securities Act of 1933, which, when it comes to offers and sales of securities, really is the key provision. But I'm going to focus to some extent also on the Securities Exchange Act of 1934 because it's impossible to do a public offering without being familiar with a substantial portion of the '34 ...

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Adam O. Emmerich

Adam O. Emmerich ~ Wachtell, Lipton, Rosen & Katz

Ellen Moran Dwyer

Ellen Moran Dwyer ~ Managing Partner, Crowell & Moring LLP