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Showing 1 - 25 of 96 Results


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Digital Currency Funds: Regulatory and Other Considerations

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Recorded on: Nov. 28, 2018

Taken from the Web Program Hedge Fund Management 2018 Recorded November, 2018 in New York [00:59:12] Regulatory treatment of digital currencies and funds  Significant compliance considerations for digital currency funds  Common digital currency fund structures Developments in digital currency Exchange-Traded Funds (ETFs) Panel Leader: Gregory S. Rowland Speakers: Sarah R. Davidoff, Andrew N. Siegel The purchase ...

Digital Currency Funds: Regulatory and Other Considerations

Transcripts  Transcripts    

Recorded on: Nov. 28, 2018

LEOR LANDA: All right, so our next panel is on digital currency funds and crypto assets, which is, like you've heard in a couple of other panels today, a really hot topic and one that's growing quickly and evolving very quickly. We have a terrific panel for this. Starting here on my right, Greg Roland is one of my partners at Davis Polk. We've been working together-- it's got to be close to 15 years now and-- GREG ROWLAND: Only feels like 30. LEOR ...

Hedge Fund Structures

Transcripts  Transcripts    

Recorded on: Nov. 28, 2018

LEOR LANDA: OK. Welcome back, everyone. It's 10:45. Let's get started. So this is our second panel on hedge fund structures. So like I said, the morning is a bit more laying out the basics. We're lucky also that we're not just going to talk boring structures and diagram charts, we're also going to hear about terms and trends in the industry-- a little bit of inside information. The last panel was two prominent in-house lawyers. Now, we get two very ...

Data Security and Privacy: Practical Issues Affecting Hedge Funds

Transcripts  Transcripts    

Recorded on: Nov. 28, 2018

LEOR LANDA: First we have Erin Ross. Erin is general counsel and chief compliance officer at Hitchwood Capital, which is a multibillion dollar hedge fund here based in the city. Before that, she was managing partner and general counsel and chief compliance officer with Scout Capital, which was also a large hedge fund. I'm happy to say that Erin began her career as an associate at Davis Polk and Wardwell, another theme of the day. [LAUGHTER] We are ...

Pocket MBA 2018: Finance for Lawyers and Other Professionals

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From the program: Pocket MBA 2018: Finance for Lawyers and Other Professionals

Released on: Nov. 27, 2018

This program is specifically designed for in-house and law firm attorneys and other professionals who work with financial information. It will enhance understanding of business strategies, accounting fundamentals and vocabulary used by management, investors, auditors and bankers. Practical advice and application of information to actual situations and financial reports will provide participants with opportunities to immediately implement growth and ...

Corp Fin Hot Topics: What’s on the Agenda for the Division of Corporation Finance?

Transcripts  Transcripts    

Recorded on: Nov. 12, 2018

We're going to now delve into more detail on CORPFIN hot topics. And we're very honored to be joined by Bill Hinman, who's director of the Division of Corporation Finance. Bill has been working hard at the division with a number of initiatives that he's going to talk to us about prior to coming to the commission, Bill was at Simpson, Thatcher and Bartlett. And he was in the Silicon Valley office there. And Shelley Parratt joins us as well. And she's ...

50th Annual Institute on Securities Regulation -- Corp Fin Hot Topics: What’s on the Agenda for the Division of Corporation Finance?

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From the program: 50th Annual Institute on Securities Regulation

Recorded on: Nov. 12, 2018

Taken from the Web Program 50th Annual Institute on Securities Regulation Recorded November 2018 in New York Corp Fin Hot Topics: What’s on the Agenda for the Division of Corporation Finance? [01:00:43] Observations from the Director and Deputy Director about the Division’s priorities Rulemaking developments New and revised interpretive positions Using the expanded confidential submission process and other processing ...

Alternative Finance Summit 2018: Marketplace Lending, Cryptocurrency and Crowdfunding

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From the program: Alternative Finance Summit 2018: Marketplace Lending, Cryptocurrency and Crowdfunding

Released on: Oct. 12, 2018

Alternative finance continues to drive significant engagement with the investment community. But it also raises many more questions than answers, such as:    What does the future hold for marketplace lending, cryptocurrency and crowdfunding?  Will it be a boom or bust?  Will ICOs displace traditional capital-raising?  Will blockchain technology and distributed ledger technology supplant traditional centralized ...

Hot (Legal and Regulatory) Topics in Marketplace Lending

Transcripts  Transcripts    

Recorded on: Oct. 9, 2018

BRIAN S. KORN: Welcome back. It's 11:25. Our last panel before lunch. We're going to talk about hot topics in marketplace lending. And I will turn it over to the panel to introduce themselves and start the discussion. PREETHA P. GIST: Good morning, everyone. As Brian mentioned, our next session is a panel on the hot legal and regulatory topics in marketplace lending. So for the next hour-- immediately before your lunch, and I'm sorry for that-- the ...

Securitization and Secondary Markets for Marketplace Lending

Transcripts  Transcripts    

Recorded on: Oct. 9, 2018

SPEAKER: OK. Welcome back. It is 1:30. We're going to start our afternoon session, continuing on the theme of marketplace lending. We're now going to talk about the distribution side of the business securitization and secondary markets, for marketplace lending. As I mentioned this morning, you could go to an entire seminar, or three day seminar, on securitization. But this is going to be a very interesting panel, because we're talking about the aspects ...

Developments in Warehouse Facilities, Loan Purchase Facilities and Small Business Lending

Transcripts  Transcripts    

Recorded on: Oct. 9, 2018

PATRICK DOLAN: My name is Patrick Dolan. I'm a securitization partner at Norton Rose. I've been in the securitization space for about 30 plus years. I focus on esoteric assets. But over the years, I've represented clients both buying and leveraging their financing assets, marketplace loans from some of the various platforms. We have a great panel today. To my immediate right is Frank Borchert. Frank and I were classmates at Swarthmore many years ...

The JOBS Act Six Years Out: Washington and State House Developments in Crowdfunding and Alternative Finance

Transcripts  Transcripts    

Recorded on: Oct. 9, 2018

SARAH HANKS: Thank you, Brian. Just as a reminder, what we're talking about with respect to the JOBS Act, on this panel, especially, is specifically the things that the JOBS Act permitted people to do online by changing the rules to improve regulation A, to introduce regulation CF, regulation crowdfunding, and to permit generally solicited offerings. Amy's going to start off with discussing some of the numbers and trends that we've seen in Reg A. ...

Blockchain, Tokens and Cryptocurrrencies: Latest Developments

Transcripts  Transcripts    

Recorded on: Oct. 9, 2018

SPEAKER: OK, welcome back from the break. We have a very exciting hour. Hopefully you've all stayed around. It's Friday afternoon. We're going to talk about blockchain tokens and cryptocurrencies, the latest developments. And I will turn this over to Greg Nowak. GREG NOWAK: Thanks, Brian. Good afternoon, everyone. My name is Greg Nowak. I'm a partner in the financial services group of Pepper Hamilton. We're a national law firm with offices primarily ...

Spotlight on Regulation A+: Seed Finance, Mini-IPOs, eREITS and Debt Offerings (Oh My!)

Transcripts  Transcripts    

Recorded on: Oct. 9, 2018

SARA HANKS: OK. Thanks. So I was just going to remind everybody of the parameters of Regulation A. As we heard from Amy on the previous panel, there have been 232 qualified Reg A offerings. 158 of those have been Tier 2 over the course of the last few years. Just a reminder of what the requirements of Reg A are. There's Tier 1. And there's Tier 2. Tier 1 is $0 to $20 million. Tier 2 is $0 to $50 million. It's not like if you're doing more than 20 ...

Enforcement with Respect to Token and Cryptocurrency Exchanges After Dao and Munchee

Transcripts  Transcripts    

Recorded on: Oct. 9, 2018

BRIAN KORN: Another hour on Friday is a fantastic topic, and I'm glad that you've hung out with us this whole time. We're going to go until 5:15 Eastern time. And I turn it over to the panelists to introduce themselves and introduce the topics. ADELE HOGAN: Hello, thank you very much to PLI and to Brian. My name is Adele Hogan. I'm a director at Baker Tilly. So although I'm a lawyer, I work at the eighth largest global accounting and consulting firm ...

Nineteenth Annual Private Equity Forum

On-Demand Web Programs  On-Demand Web Programs    

From the program: Nineteenth Annual Private Equity Forum

Released on: Jul. 24, 2018

At this program, a distinguished panel of experts will discuss the basics and hot topics of the private equity fund practice.  Experts will guide you through an array of key topics, including a general overview of the legal issues that need to be considered in marketing a private equity fund, current regulatory and compliance hot buttons, current issues in negotiating the terms of private equity funds, GP-led fund restructurings, sponsor stake ...

Acquiring or Selling the Privately Held Company 2018

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From the program: Acquiring or Selling the Privately Held Company 2018

Released on: Jun. 27, 2018

At this perennial favorite, our experienced faculty will walk you through all of the steps associated with acquiring and selling a privately held company, whether it is a large independent corporation, a division or subsidiary of a large public company, or a smaller venture capital-backed or family-owned entrepreneurial enterprise. You will learn about the special issues that apply when a private equity firm is the buyer or owns the target company, ...

Ethics in Negotiating and Documenting Private Transactions

Transcripts  Transcripts    

Recorded on: Jun. 22, 2018

DAVID POLLAK: Michael Sackheim, who is the senior counsel at the Sidley firm here in New York, where his concentration is not on M&A, but is on derivatives, regulatory, transactional, and enforcement matters. So he brings a different background to us. But no PLI seminar would be complete without an ethics component. And he is going to speak with us about ethics in negotiating and documenting private transactions. Before he does so, however, we have ...

Earn-outs and Fiduciary Duties in Private Transactions

Transcripts  Transcripts    

Recorded on: Jun. 22, 2018

DAVID POLLAK: OK. Well, it's 2:45. Oh, it is 2:45. OK. So ready for the last segment. And with me to my left is Melissa Sawyer. Melissa is a partner at Sullivan and Cromwell here in New York in the M&A group. And she co-heads the firm's corporate governance and activism practice. Her experience is in multiple industries, including consumer and retail, industrials, med tech, and insurance. And most importantly, she's very familiar with doing earnouts, ...

Mock Negotiation and Analysis of Form of Acquisition Agreement

Transcripts  Transcripts    

Recorded on: Jun. 22, 2018

DAVID W. POLLAK: OK, thank you. Good morning and welcome to day two. As we get started, let me first introduced to my left, Jack Bodner, who's a partner at Covington & Burling here in New York. Jack is a member of the mergers and acquisitions and corporate governance group there. He has more than 20 years of experience doing public and private acquisitions and corporate-governance work. Welcome, Jack. JACK S. BODNER: Thank you. DAVID W. POLLAK: ...

Dealing with Financial Sponsors of Privately Held Companies

Transcripts  Transcripts    

Recorded on: Jun. 22, 2018

DAVID W. POLLAK: OK. It's 11 o'clock, so we're going to continue with our next segment. The next segment has to do with the financial sponsors, private equity firms. We've heard previously that about one third of recent M&A activity is accounted for by private equity buyers or sellers. So obviously, they're making up a huge portion of the markets. David Leinwand from Cleary Gottlieb here in New York is an M&A lawyer who focuses a large part of his ...

Specialty Areas in Private Acquisitions or Sales: International Aspects and Intellectual Property

Transcripts  Transcripts    

Recorded on: Jun. 22, 2018

DAVID POLLAK: Ready for this afternoon's session. As promised, we're going to start talking about particular aspects of private M&A deals that may be of interest, beginning with issues that come up in transactions that involve non-US jurisdictions. And to my left, to lead our discussion, we have two folks. First, Kimberly deBeers from the Skadden, Arps firm in Chicago-- Kimberly has a diverse corporate practice that includes M&A, joint ventures, ...

Letters of Intent and Other Preliminary Considerations for Private Acquisitions or Sales

Transcripts  Transcripts    

Recorded on: Jun. 22, 2018

DAVID W. POLLAK: So to my left is Joe Castelluccio, who's a partner at Mayer Brown's New York office, a member of their corporate and securities practice. Joe has the distinction of being not only a lawyer, but a former investment banker, and also a former regulator at FINRA, I guess. But in any case, Joe's going to start us off on letters of intent. Thanks. JOSEPH A. CASTELLUCCIO: Thanks. Hi, everyone. As David mentioned, I'm going to talk about ...

Representations and Warranties Insurance for Private Acquisitions or Sales

Transcripts  Transcripts    

Recorded on: Jun. 22, 2018

DAVID W. POLLAK: Great lead in there. I've never had such a good segue. So we are now going to talk about rep and warranty insurance, which, as you've been hearing, has become more and more prevalent in the markets over the last couple of years Joe Ehrlich to my left is the executive VP of the Owens Group, where he's been since 2004. Joe is also a lawyer, having practiced at O'Melveny and O'Sullivan Graev before that, and has actually been working ...

Indemnification and Division / Subsidiary Issues in Private Acquisitions or Sales

Transcripts  Transcripts    

Recorded on: Jun. 22, 2018

SPEAKER 1: OK, we're back. Hopefully everybody had lunch, though it looks like we're missing folks. But at any rate, I'm sure they'll wander in. It's 1 o'clock, so we're going to move ahead with indemnification. To my left is Jennifer Chu, who's a corporate partner and member of the M&A and private equity groups at Debevoise & Plimpton. And she'll lead our discussion. Before doing that, we have our CPE question, which-- by a show of hands, it's a ...


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