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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: ...

Laying the Foundation - Financial Product Fundamentals

Transcripts  Transcripts    

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 ...

Derivatives Products

Transcripts  Transcripts    

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 ...

Hedge Funds and Other Private Funds

Transcripts  Transcripts    

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 ...

Capital Markets Products

Transcripts  Transcripts    

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

Transcripts  Transcripts    

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 ...

Securitized Products

Transcripts  Transcripts    

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

Transcripts  Transcripts    

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 ...

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 ...

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 ...

Responding to Government Audits and Investigations

Transcripts  Transcripts    

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. ...

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

Transcripts  Transcripts    

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 ...

SEC Guidance Regarding Investment Advisors and Proxy Firms

Transcripts  Transcripts    

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 ...

Focus on PERM

Transcripts  Transcripts    

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

Transcripts  Transcripts    

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

Transcripts  Transcripts    

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 ...

Disclosure Challenges and Current Hot Topics

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Recorded on: Dec. 16, 2014

ADELE HOGAN: We're going to go ahead and start with our next panel. And-- thanks a lot-- we have Rob Evans, who's a partner in the capital markets area of Shearman & Sterling. He has a very, very large securities practice, including in the convertible securities and high-yield IPO area, as well as new corporate finance products, and just generally SEC and general corporate advice. He's to my far left. And then to my immediate left is Robert Siverd, ...

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, ...

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 ...

Regulation of Proxy Solicitations

Transcripts  Transcripts    

Recorded on: Dec. 16, 2014

N. ADELE HOGAN: So now we're going to talk for an hour and 15 minutes about regulation of proxy solicitations. And a fair amount about executive comp, as well. So coming up are Linda Rappaport. She is a super senior partner at Shearman & Sterling. No, no, no. Super-connected, super-- LINDA E. RAPPAPORT: That's OK. N. ADELE HOGAN: Tons of clients. LINDA E. RAPPAPORT: OK. Well done. N. ADELE HOGAN: You know, she's been elected to the Executive ...

Inside Counsels' Perspectives on Securities Law Issues

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Recorded on: Dec. 16, 2014

SPEAKER 1: I'm going to do our last panel, which is on the insider counsel's perspective. And we have two returning speakers. We have Lori Bostrom from Oppenheimer's general counsel of the Oppenheimer funds. And then we have Ken Josselyn, who's the general counsel on the finance area of Goldman Sachs, and then our new edition, is Andrew Siegel, who is the general counsel of Perella Weinberg. So we have a lot of interesting perspectives. And we tried ...

Securities Law Aspects of Mergers, Acquisitions and Other Corporate Transactions

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Recorded on: Dec. 16, 2014

N. ADELE HOGAN: Well, we're thrilled here now to spend an hour on M&A. And then just so you know what's coming after that, we're going to then spend the final hour with a bunch of inside counsels, sort of going through global issues. It's kind of a sit back, put your pens down, and relax while we just summarize things from an inside-counsel perspective. But I'd like to introduce our panelists. We have Ann Beth Stebbins, who's a partner at Skadden, ...

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