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Showing 1 - 25 of 39 Results

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Robo-Advisers and Digital Advice: Preparing for an SEC Exam

One-Hour Briefing  One-Hour Briefing

The dramatic rise in automated investment platforms (including robo-advisers) is drastically changing the traditional landscape for registered advisers.  These services, which may be offered together in a more traditional model or as a stand-alone service, are appealing to younger generations of millennial investors by utilizing technologically-savvy online investment tools that operate seamlessly on personal devices, such as smart-phones and ...

The New Auditor’s Report – It’s Real This Year

One-Hour Briefing  One-Hour Briefing

November 28, 2017, 4:00 pm - 5:00 pm (E.T.) On June 1, 2017, after several years of work, including research and constituent feedback, the Public Company Accounting Oversight Board issued their new Audit Standard to significantly modify the Auditor’s Report.  On October 24, 2017, the SEC formally approved the new standard.  The standard will make several changes to the content and format of the auditor’s report for years ending ...

Directors' Institute on Corporate Governance (Fifteenth Annual)

Program  ProgramWebcast  Webcast

Why You Should Attend New expectations are 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, in years past the Dodd-Frank Act, the Foreign Corrupt Practices Act and other anti-bribery laws have put ...

Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017

Program  ProgramWebcast  Webcast

Why You Should Attend The SEC and other government agencies continue to focus enforcement and examination efforts on managers of private hedge funds and private equity funds.  This conference will bring together top regulators, leading in-house legal and compliance professionals and expert outside counsel, to discuss the latest issues, trends and risks in regulatory compliance oversight.  The list of risk areas continues to grow, with ...

Basics of Export Controls 2017

One-Hour Briefing  One-Hour Briefing

U.S. and multinational corporations, investors and even governments are increasingly affected by the range of U.S. laws and regulations governing international trade. The Commerce Department's Bureau of Industry and Security (BIS), the State Department's Directorate of Defense Trade Controls (DDTC), and the Treasury Department's Office of Foreign Assets Control (OFAC) and Financial Crimes Enforcement Network (FinCEN) each plays an important role in ...

Advanced Venture Capital 2017

Program  ProgramWebcast  Webcast

Why You Should Attend This program provides an in-depth analysis of current market conditions and the changing legal environment, and is geared toward the experienced venture capital practitioner. Our expert faculty of lawyers, venture capitalists and business executives will analyze the legal and business issues relevant to navigating today’s evolving venture capital world. The program will also address the latest financing trends, current ...

How to Draft, Update and Launch a Multinational’s Global Code of Conduct

One-Hour Briefing  One-Hour Briefing

In today’s compliance-obsessed environment, a multinational would be naked without a robust and user-friendly global code of conduct or ethics. But these global codes are complex. After all, they have to address many topics, they have to serve many constituencies, they have to dovetail with many various internal policies—and they have to comply with many laws across many jurisdictions.  Not surprisingly, some companies’ conduct ...

50th Annual Immigration and Naturalization Institute

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend PLI’s 50th Annual Immigration & Naturalization Institute will offer  an outstanding faculty of leading practitioners who will discuss recent developments, key immigration trends, and hot topics.  What You Will Learn The current administration and implications for the immigration practitioner The latest immigration practice and policy developments Federal court litigation update  ...

Integrating Automation, Data, and Technology into Your Compliance Program

One-Hour Briefing  One-Hour Briefing

Regulators and enforcement authorities have made clear that, in order to be credible, compliance programs must integrate automation, data, and technology solutions.  Even setting aside regulators’ expectations, integrating these tools into your compliance program is critical to increasing transparency, optimizing performance and efficiency, and systematically reducing risk.  Moreover, automation, data, and technology competence are ...

Annual Disclosure Documents 2017: Current Developments and Best Practices

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Stay current on disclosure requirements and developments affecting annual disclosure documents and proxy soliciting materials prepared by SEC reporting companies. Hear from the SEC staff and our faculty, who will focus on anticipated changes to the SEC disclosure regime in 2017, current “hot issues,” best practices, and practical pointers. The priorities of the new administration and new chair of the SEC are expected to bring significant ...

New Developments in Securitization 2017

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend The securitization market continues to develop and innovate, while also being subject to new regulations. Traditional asset-backed securities (ABS) markets, including auto securitizations, commercial mortgage-backed securities (CMBS) and credit card receivables continue with steady issuance volumes. New markets, such as marketplace lending, continue to be developed. Other markets, such as private-label residential mortgage-backed ...

NY Attorney General and NY Department of Financial Services: Statutory Authority and Recent Initiatives Impacting the Financial Services Industry

One-Hour Briefing  One-Hour Briefing

December 13, 2017, 3:00 p.m. - 4:00 p.m. (E.T.) In this One-Hour Briefing, we will explore the significant role New York’s Attorney General and its Department of Financial Services (DFS) play in the financial services industry and why these two state-level agencies will continue to exert significant power over the financial services industry, especially with federal oversight potentially shrinking.  Although President Trump has promised ...

Coping with U.S. Export Controls and Sanctions 2017

Program  Program

The Trump administration is beginning to make its mark on export controls and sanctions policy, and it is more important than ever for institutions in all sectors of the economy to stay on top of key developments. Companies and financial institutions must be aware of their compliance and disclosure obligations, enforcement trends and priorities, and emerging risks. Implementing and strengthening compliance programs is an increasingly important priority ...

Secured Transactions 2018: What Lawyers Need to Know About UCC Article 9

Program  ProgramWebcast  Webcast

Why You Should Attend Secured transactions, which are interests in specific collateral granted by the debtor in conjunction with the debtor’s promise to pay, are governed by Article 9 of the Uniform Commercial Code. At this program, 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) priority in the collateral of your choice. You will ...

Request for Proposal (“RFP”) Process: Structure, Substance and Additional Considerations for Corporate and Outside Counsel

One-Hour Briefing  One-Hour Briefing

This Briefing will explore how in-house counsel can successfully master the Request for Proposal process when hiring counsel, experts, consultants, and vendors for litigation or transactions.  Our panel will guide attendees through the entire RFP process – the necessary preparation; the drafting process; best practices in analyzing information received (and following up regarding same); evaluating potential fees/expenses, required workload, ...

Mergers & Acquisitions 2018: Advanced Trends and Developments

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Merger and acquisition activity has remained robust in 2017.  The ability to properly advise companies and their boards of directors and to effectively negotiate an M&A transaction requires detailed knowledge of the latest trends and developments affecting M&A. This program will help you stay up-to-date on M&A activity and cutting edge topics and developments regarding the negotiation of key provisions in public ...

SEC Reporting and Practice Skills Workshop for Lawyers 2018

Workshop  Workshop

Why You Should Attend Many lawyers learn SEC reporting through on-the-job training that often is piecemeal at best.  This Workshop is intended to replace that ad-hoc learning process by helping participants develop a comprehensive and in-depth understanding of the structure, organization and details of the reporting requirements of the U.S. federal securities laws, including how to use the SEC’s online resources and all related sources ...

Helping Lawyers Look for Red Flags in Financial Statements

One-Hour Briefing  One-Hour Briefing

Understanding financial statements and their relevance in various litigations is becoming increasingly important in the aftermath of the financial crisis. It is imperative that attorneys develop a working understanding and analytical framework of accounting to strengthen their background. This one hour course is designed to give attorneys an overview of accounting standards, their relevance, and areas of the financial statements that are subject to ...

Disaster Relief Funding: FEMA Grants – Key Considerations for Contractors

One-Hour Briefing  One-Hour Briefing

Over the past several months, the United States has been hit by many natural disasters leaving state and local communities devastated.  The Federal Emergency Management Agency (FEMA), which is the federal agency that manages the nation’s disaster relief efforts, has subsequently provided federal funds to both individuals and local and state governments to help aid their relief efforts.  As FEMA and other government agencies commit ...

Doing Business in India 2018

Program  ProgramWebcast  Webcast

Why You Should Attend Join us for a comprehensive overview of the most pressing legal and commercial issues involved in doing business in India. The program will offer insights on issues critical to the success of global businesses in the world’s fastest growing economy. Hear experts from both India and the U.S discuss hot topics including the evolving trade and regulatory environment, government investment incentives and key sectors poised ...

Real Estate M&A and REIT Transactions 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

The REIT and commercial real estate industries have continued to experience strong M&A activity, as the REIT market continues to grow and consolidate.  REITs already own more than $1.8 trillion of U.S. real estate, and there are now 24 REITs with equity market capitalizations north of $10 billion.  The transactions fueling this growth, which are expected to continue, include REIT mergers and IPOs, spin-offs and restructurings, transactions ...

Fourth Annual Form 10-K Tune-Up

One-Hour Briefing  One-Hour Briefing

As you draft your annual report on Form 10-K it is always a challenge to be sure that you effectively deal with new and emerging issues and the ever-evolving focus areas of the SEC.  Please join our SEC Institute workshop leaders D. Reed Wilson and George M. Wilson as they review the key issues to address in this year’s Form 10-K.  Topics addressed will include:  SEC focus on new accounting standards disclosures  ...

Women Lawyers in Leadership 2018

Program  ProgramWebcast  Webcast

This is a webcast of the live New York City location.Why You Should Attend Although the glass ceiling has cracks, there are still obstacles to its complete shatter. More women are needed in leadership positions in the legal profession. Despite equal numbers of women entering the legal profession, female attorneys still lag in equity partnerships and leadership positions.  The institutional hurdles against women in the legal profession ...

State of the Art D&O Insurance

One-Hour Briefing  One-Hour Briefing

Lawyers, whether in-house, or at a law firm, are routinely asked to review D&O insurance programs.  The request typically comes at the last minute, along an irritated insurance broker, who enthusiastically argues that appropriate changes to coverage have already been made.  In support, brokers typically provide a list of pre-approved “enhancements” to coverage.    These so-called policy enhancements, however, ...


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