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Simplifying the World of Complex Financings 2014

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Recorded on: Nov. 26, 2014

AMY TAUB: Thank you. Hello, my name is Amy Taub, and I'm a program attorney with PLI. I'd like to welcome you to today's briefing, "Simplifying the World of Complex Financings." 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 ...

Ebola and the Workplace -- An Update on Key Issues 2014

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Recorded on: Nov. 24, 2014

BEN HUGGETT: Good afternoon, everyone. Our topic today is an update on Ebola in the workplace, which is something that many employers have been dealing with over the last month and a half. The starting point for this entire discussion is the outbreak of Ebola this year in West Africa. There are a number of affected African countries. Presently, the focus remains on the Sierra Leone, Guinea, and Liberia. As you can see on this map, Mali has been added ...

CCO/CLO Roundtable

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CLIFFORD E. KIRSCH: All righty. Well, welcome back. And again, thanks for your attention throughout today. It's been a great day. You've been a great audience. Thanks very, very much. And our final panel is a roundtable. We wanted to end up, as the name suggests, just rounding out the discussion, and chatting about hot topics for compliance from a securities perspective, from an insurance perspective, from a banking perspective, and issues that transcend ...

Alice Corp. v. CLS Bank: An In-House Counsel Perspective

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Recorded on: Nov. 12, 2014

AMY TAUB: Hello. My name is Amy Taub, and I am a program attorney with PLI. I would like to welcome you to today's briefing, "Alice Corp v. CLS Bank-- An In-House Counsel Perspective." 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 ...

Laying the Foundation

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CLIFFORD E. KIRSCH: OK. Thanks everyone. And just before we get into the next session, I just wanted to give 30 seconds on the program itself. It's a very broad survey course. And what we're looking at it in this first panel is up laying the foundation. And in a minute I'll introduce on turn it over to a Savaria Harris. In this first panel we're going to look at the various regulators, the role of corporate compliance programs and related issues. ...

Legal Ethics: The Lawyers Role When Something Goes Wrong

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CLIFFORD KIRSCH: Thanks. Thanks very much. Thanks very much. And we're here for our final two panels. On this panel, it's a panel on Legal Ethics-- The Lawyer's Role When Something Goes Wrong. And then we'll wrap up with a roundtable-- a CCO, CLO roundtable looking at various topics from the insurance, securities, and banking side. And for this panel I'm going to turn it over to Savaria Harris again, who was with us before. Thanks. And she'll make ...

Broker-Dealer, Adviser and Mutual Fund Compliance Program

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CLIFFORD KIRSCH: Welcome back, everyone. And at this next session, we're going to look at compliance programs. And to be a little bit more specific, at our last session, we looked at compliance programs from the parent level and with a particular emphasis on whistleblower programs. Looking at the attendance for this conference, both web and live, it looks like a number of you are with larger financial services firms that have subsidiaries that are ...

Establishing and Implementing a Conflicts of Interest Program

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CLIFFORD E. KIRSCH: All right welcome back everyone. Hope you had a good lunch. And for this next panel, just to start off the afternoon, we're going to be looking at conflicts, and establishing and implementing a conflicts management program. And we want to discuss this as a standalone topic, just because of its importance, just because of the regulatory focus, and we have a great panel to do that. To my left is Claudia Marmolejo, who is an executive ...

Compliance and Legal Supervisory Liability

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CLIFFORD E. KIRSCH: All right, thanks everyone. And we're into our next panel, which is going to look at Compliance and Legal Supervisory Liability. And we wanted to have a standalone discussion on this topic just because it's so prominent. It's so important. Looking at when does a compliance officer--when does a legal officer become a supervisor? What's entailed with respect to supervisory liability? What steps can one take practically to avoid ...

SEC's Conflict Minerals Rules: What We Learned from 2013 and What Happens Next

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Recorded on: Nov. 7, 2014

SPEAKER 1: It is now my pleasure to turn this briefing over to Michael Littenberg. MICHAEL R. LITTENBERG: Thank you very much, Amy. It's a pleasure to be here with everybody today. And I would also like to thank Chris and Bev them for inviting me to be on today's program with them so I'm very excited to be doing this. Chris and I have spoken on many other programs in the past. So it's always a pleasure to work him, and of course to work with Bev ...

Exits

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DAN OFFNER: We're back for the second half of exits, but we're not quite done with formation issues. We've reached a deal where Eddie the Entrepreneur said what all my entrepreneurial clients say when the girl shows up in the room. She's really pretty and she has a big wad of cash and says, hey, I want this instead of that. And Eddie the Entrepreneur said sure Series A Preferred Financing, yes. Talk to my lawyer, Greg Roussel. And so now, Greg Rousell ...

Case Management of Complex Class Actions and MDLs

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CATHY YANNI: Thank you, everyone for coming back. And congratulations to the raffle winner. Our next panel is going to address Case Management of Complex Class Actions and MDLs. They're going to cover methods of efficient case management, coordinating between state and federal courts, and also best practices. The members of the panel are Michelle Childers, Mike Kelly, the Honorable Sandra Moss, the Honorable Carl West. And with that, I'm going to ...

Formation Issues and Financing

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DAN OFFNER: This is Dan Offner, and I'm delighted to be doing the afternoon sessions with my co-panelists. Jeff Lapin to my right, first person to my right, is a longstanding friend, client, and a former lawyer, who now is both a CEO of a consumer products company in LA, and also an Active Angel Investor in LA, and president of the LA chapter of Tech Coast Angels. And I'll ask Jeff to give a little bit of background on himself and his career after ...

Settlement and Approval

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SPEAKER: I'm lucky I got out alive. HON. CARL WEST: I'll get out of the way. CATHY YANNI: Our final panel is chaired by myself. We're going to discuss settlement, both settlement of MDLs and also settlement of class actions. And the last half hour, we're going to devote to ethical issues in both MDLs and class actions. And on the panel is Gretchen Cappio, who's a plaintiff lawyer in large class action cases; Gail Lees, who specializes in defending ...

Parties to the Deal and Deal Points

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JIM CHARNE: Sitting next to Dan is Gitta Kaplan. Gitta is Deputy General Counsel at Majesco Entertainment Company, a developer, marketer, publisher, and distributor of interactive entertainment located in Edison, New Jersey. In her position as Deputy General Counsel, Gitta overseas business negations and agreements, protection and management of the company's intellectual property, corporate governance, litigation, and day-to-day day employment and ...

Ethics and Beyond

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CATHY YANNI: All right. Gretchen's going to do the ethical presentation. But I was viewing it more as all of us could hit on the topics and discuss the topics. And the first thing that we need to discuss is, as you just said, the Pella case. So talk to us about when you're the class rep. What you need to be as class rep? GRETCHEN FREEMAN CAPPIO: Well, first of all, don't be related to your lawyers. And I know that sounds like the most basic thing ...

Evidence and Expert Witnesses

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SPEAKER: OK, it's 11:30, and we're going to get started with our next panel. The next panel we have is evidence and the expert witness, and I think it's a great panel to have following Tom and Julie's presentation because you heard Tom say a number of times that experts are nimble. There are a lot of things that you can do to present your case through experts that help with some of the evidentiary issues including hearsay. You can get the demonstratives ...

Evidence in the Online World

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PATRICIA L. PEDEN: Joining us right now is our first panelist, Paulette Taylor. With almost 20 years of experience, Paulette Taylor is among the most respected trial consultants in the field. She has selected hundreds of juries throughout the country, in virtually every type of civil and criminal case. Well-known cases that Paulette has consulted on include the prosecutions of Timothy McVeigh, Scott Peterson, Frank Quattrone, and Martha Stewart; the ...

HR - Employee and Contractor Issues

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JIM CHARNE: Are we rolling? OK, I'd like to welcome back everyone from our lunch break, both of our attendees in the room and our internet audience. We talked at the beginning of the day about how this program has evolved over the years. And this year, we've added a new segment and invited a new speaker who's joining us for the first time. I'd like you all to meet Alexa Morgan. Alexa is a founder and partner of Fox, Wang & Morgan, who was in ...

Effective Use of Demonstrative Evidence

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PATRICIA L. PEDEN: OK. Our next panel is on the topic of Effective Use of Demonstrative Evidence. Almost every trial today has demonstratives. Jurors expect not only to be told, or to be talked to, they expect to see things visually. That's particularly true for the younger jurors who grew up seeing everything visually. But telling a story visually is a challenge for a trial lawyer. You need to pay particular attention to your demonstratives, to ...

Internet App and Social Games Issues: EULAS, TOS, Privacy Policies

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JAMES CHARNE: --morning program, which is the Internet and Social Gaming Issues, EULAs, Terms of Service, and Privacy Policies. Joining me here on the dais to my right is Jamie Cook. James Alan Cook has been an attorney and an executive in the interactive entertainment and personal computer industries for more than 30 years. Jamie was named the general counsel and SVP, business and legal affairs, for OnLive, a leader in on-demand cloud gaming and ...

Ethics in Advertising Counseling

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HOLLY GROCHMAL: Well, welcome back everyone. Thank you for sticking around for our last presentation of the seminar this week. I am pleased to present Randy Shaheen, who is a partner at Venable in their regulatory and advertising and marketing practice groups. Randy flew out from DC, so we're really excited to have him here today. And in his general practice, he represents clients before numerous regulatory agencies, including the FTC and the Consumer ...

Key Factors Shaping Financial Reporting

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MARK S. RADKE: --to give a little bit of an overview, and perhaps appropriate, because I am not an accountant, I'm a lawyer, and come really from the perspective of the SEC. Where in the discussion today you'll hear a lot of alphabetic nomenclature. The Securities and Exchange Commission is for US GAAP, sort of where all answers originate. And I'm going to take a few minutes and try to explain the role of the SEC in the oversight of accounting with ...

Songs for Sale - Music Licensing for Advertisers

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LISA: So we are sticking exactly to time. So we're going to do a quick transition and I will introduce the next speaker as he walks up Rob Newman is one of my colleagues at Winston and Strawn and he deals with advertisers, advertising issues every day, day in, day out. Our offices are next to each other. So I hear him dealing with them. ROBERT H NEWMAN: For better or worse. LISA: Yeah, he's not really thrilled about that fact because I always go ...

Kids These Days! Everything You Need to Know about Marketing to Children

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SPEAKER 1: Up next, we have Angela Tiffin with us. Angela flew out from New York earlier this morning. Angela is the Senior Staff Attorney with the Children's Advertising Review Unit CARU which is a self-regulatory program that promotes truthful and responsible children's advertising. She is responsible for validating child-directed advertising in all media, as well as pre-clearing advertising at various stages of development to assure compliance ...

Featured Faculty/Authors
Rebecca Walker

Rebecca Walker ~ Kaplan & Walker LLP

K. Susan Grafton

K. Susan Grafton ~ K&L Gates LLP

Garner K. Weng

Garner K. Weng ~ Hanson Bridgett LLP