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Showing 1 - 25 of 80 Results


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New Developments in Securitization 2018

On-Demand Web Programs  On-Demand Web Programs    

From the program: New Developments in Securitization 2018

Released on: Dec. 19, 2018

Traditional asset-backed securities markets, such as auto securitizations, commercial mortgage-backed securities, and credit card receivables continue with steady issuance volumes, while new markets, such marketplace lending, continue to develop. Other markets, such as private-label residential mortgage-backed securities, remain below historic levels, but show signs of increased activity. Join our expert faculty as they discuss key developments in ...

Hedge Fund Management 2018

On-Demand Web Programs  On-Demand Web Programs    Web Segment  Web Segment    MP3 Audio  Audio Download (MP3)    MP4 - Mobile Video Seg  Video Download (MP4)    

From the program: Hedge Fund Management 2018

Released on: Nov. 23, 2018

At this program, our expert faculty will focus on common structures for hedge funds, SEC priorities, the regulatory environment surrounding hedge funds, and the day-to-day operational issues of running hedge funds.   There will also be in depth analysis of data privacy issues and the evolving cryptocurrency space.  Attorneys, hedge fund counsel, compliance and other professionals currently working in or interested in the hedge fund ...

Hot Topics for Hedge Fund Managers

Transcripts  Transcripts    

Recorded on: Nov. 28, 2018

LEOR LANDA: OK, let's get started. It's 1 o'clock. Thanks, everyone, for getting back. We're really lucky with this panel. It's kind of generically titled "Hot Topics." But I may have overshot the mark in putting together this faculty. We should have come up with a better title for you guys. Let me quickly introduce them, and then I'm going to get out of the way, because I really want to hear what they have to say. So to my immediate right here ...

Hedge Fund Registration and Compliance

Transcripts  Transcripts    

Recorded on: Nov. 28, 2018

LEOR LANDA: To my immediate right here, Mark Polemeni. Mark Polemeni and I have been working together for, what, coming on 15 years now. MARK POLEMENI: Yes. LEOR LANDA: I dislike him today as much or more as I did the first time I met him. MARK POLEMENI: Very fair. LEOR LANDA: So mark is now the chief compliance officer and chief regulatory counsel of Perella Weinberg Partners, which is a very large asset manager based here in New York City. Before ...

Advanced Swaps & Other Derivatives 2018

On-Demand Web Programs  On-Demand Web Programs    Web Segment  Web Segment    MP3 Audio  Audio Download (MP3)    MP4 - Mobile Video Seg  Video Download (MP4)    

From the program: Advanced Swaps & Other Derivatives 2018

Released on: Oct. 31, 2018

The Dodd-Frank Act established a novel, comprehensive framework for the regulation of over-the-counter (OTC) derivatives and the market participants who transact in these products. That regulatory framework, split primarily between the SEC and CFTC, has been substantially implemented by the CFTC. For their part, the SEC has made substantial progress and has most recently focused on finalizing the rules applicable to security-based swap dealers and ...

Securities Law and Practice 2018: How the SEC Works

On-Demand Web Programs  On-Demand Web Programs    Web Segment  Web Segment    MP3 Audio  Audio Download (MP3)    MP4 - Mobile Video Seg  Video Download (MP4)    

From the program: Securities Law and Practice 2018: How the SEC Works

Released on: Oct. 29, 2018

Securities lawyers need to have a firm grasp of not only the federal securities laws, but also how the SEC works to administer these laws. In this program, you will be given an introduction to the federal securities laws as well as the operating divisions at the SEC that administer the laws. You will be provided with what you need to know about how the SEC administers the securities laws — and the other agencies that the SEC interacts with on ...

Fundamentals of Swaps & Other Derivatives 2018

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From the program: Fundamentals of Swaps & Other Derivatives 2018

Released on: Oct. 29, 2018

Over-the-counter (OTC) derivatives are key elements in many of our financial markets. The Dodd-Frank Act and other regulations have changed and are continuing to change how these important instruments are regulated and transacted. This program will introduce you to both the instruments and their current environment. A derivative is a financial instrument that allocates the risks and price exposures associated with a designated reference asset or ...

Innovative Market Trends, Enforcement Trends, Litigation, Insolvency and Resolution Authority: Safe Harbors; Orderly Liquidation

Transcripts  Transcripts    

Recorded on: Oct. 25, 2018

JOSHUA COHN: Welcome back. It's our last session of the day and we'll be covering enforcement trends. We're going to be privileged to have Dan Berkovitz here with us. In fact, Dan, you may already be with us in the ceiling. Are you there? DAN BERKOVITZ: I'm here, Josh. Thank you. JOSHUA COHN: OK, we'll get rolling soon. So we'll be talking about enforcement trends, and Dan is also going to give us a general view from his new desk at the CFTC. We'll ...

Clearing; Margin for Cleared Transactions; Client Money Segregation; Default Management; End-User Perspectives

Transcripts  Transcripts    

Recorded on: Oct. 25, 2018

GARY BARNETT: OK. We're moving now to our next topic, clearing margin for clear transactions, client money segregation, default management, and user perspectives. And our faculty, I'm going to introduce them in alphabetical order. Josh Beale, immediately to my left, is an associate director in the division of swap dealer and intermediary oversight at the CFTC. His primary responsibilities include capital, margin, segregation, and financial reporting ...

Principal Issues for Consideration and Negotiation in Derivatives Documentation-Cleared and Uncleared

Transcripts  Transcripts    

Recorded on: Oct. 25, 2018

DON J. MACBEAN: So we'll talk about loan lien swaps in the context of loan documentation, the swap documentation, as well as the security documents themselves. And I think we'll start off by talking about just some general principles. And to do that, let me discuss the context a little bit. We're talking here about a scenario where we have a borrower who enters into a loan agreement, credit agreement, or other financing arrangement. And the lenders ...

Regulation of Other Swap Market Participants: The Swap Activities of Banks (continued)

Transcripts  Transcripts    

Recorded on: Oct. 25, 2018

GARY BARNETT: Thank you. Welcome back. OK, we go into our next session now. We're going to talk about the regulation of other swap market participants, the swap activities of banks, and we're also going to talk about the NFA and the exam branch at the CFTC and their interaction, as well. Before I introduce our speakers, I'm going to remember our CPE question here. And by a show of hands, how many of you work for or represent banks in their swap activities? ...

Bilateral OTC Derivatives: Termination, Valuation, Netting, Closeout, Netting Opinions

Transcripts  Transcripts    

Recorded on: Oct. 23, 2018

JOSHUA D. COHN: Welcome back. This session is bilateral low TC derivatives. Determination, valuation, netting, close out, and netting opinions. And our panel consists of Eleanor Webb, executive director in the legal and compliance department at Morgan Stanley, based in the New York office. Ms Webb joined Morgan Stanley in 2005. Before joining Morgan Stanley, Ms Webb was an associate at Shearman and Sterling LLP. RC Whitehead is a director in the ...

Regulatory Fundamentals

Transcripts  Transcripts    

Recorded on: Oct. 23, 2018

GARY BARNETT: Great. OK, welcome back from break. We turn now to regulatory fundamentals. And we're going to give you a great overview of the regulatory scheme for swaps. Our faculty members, I'll introduce them in alphabetical order. Curtis Doty is a banking and finance partner in Mayor Brown's New York office. His practice focuses on the structuring, negotiation, and regulatory and insolvency analysis of OTC derivatives transactions. Some currently ...

Hedge Fund Regulation (2nd Edition)

Treatise  Treatise

Published: October 2018

Covering one of the most dynamic and rapidly changing sectors of the asset management industry, Hedge Fund Regulation, is designed to provide comprehensive understanding of hedge funds, from their history and investment strategies to the legal and compliance considerations affecting their structuring, management and market activities. It provides a single source that examines all aspects of these innovative investment vehicles and addresses current ...

Derivatives Documentation -- Overview of the ISDA Architecture; Masters, Schedules, Confirms, CSAs and Collateralization; Execution and Account Agreements

Transcripts  Transcripts    

Recorded on: Oct. 23, 2018

JOSHUA D. COHN: Welcome back from lunch. Our next session is derivatives documentation. We'll have an overview of the ISDA architecture, masters, schedules, confirms, CSA, and collateralization, execution, and account agreements. And I will start by asking you a simple question. I'm sure many of you are familiar with the International Swaps and Derivatives Association. Can anyone tell me what need the original group of founding institutions coalesced ...

Swap Basics

Transcripts  Transcripts    

Recorded on: Oct. 23, 2018

RICK GROVE: OK, well thank you very much Josh. And Gary, thanks as well for inviting me back to this panel. I'm going to talk about two subjects. One, as Josh indicated, the history origin of derivatives focusing on the most basic of our product areas, currencies, and interest rate swaps. I'm also going to spend a few minutes talking about the economics and valuation of derivatives. And the 10 minutes I spend on that subject will not do justice to ...

The Special Role of the Securities Lawyer—Legal Ethics

Transcripts  Transcripts    

Recorded on: Oct. 17, 2018

ANDREW J. "BUDDY" DONOHUE: Well thank you. Well, this is the last panel of the day, legal ethics. And you know, I was introduced before, but Andrew, why don't you kind of introduce yourself. You could probably do it much better than I could. ANDREW M. LAWRENCE: Thanks Buddy, I appreciate it. My name is Andrew Lawrence. I'm a partner at Skadden Arps in Washington, D.C. My practice is primarily SEC enforcement defense, but also some other white collar ...

Laying the Groundwork – The Basics of the SEC and Securities Laws

Transcripts  Transcripts    

Recorded on: Oct. 17, 2018

CLIFFORD E. KIRSCH: So with that, we'll get into the first panel. And they're very, very pleased to welcome Adam Fleisher and Ghillaine Reid. Adam has done this program before. And it's great to do this with Adam. Adam's a partner at Cleary Gottlieb in New York. And Adam's practice focuses on a wide range of corporate finance transactions, including fund investing, international and US capital markets offerings, as well as private equity firms structuring ...

Inside the SEC – How the SEC Works

Transcripts  Transcripts    

Recorded on: Oct. 17, 2018

SPEAKER: Thanks. And thanks for joining us again. So in this next panel, what we're hoping to do is take an inside look, really, at the SEC or the last panel. It was more of an outsider's view. This is really a view from the inside. There's a great panel that we have and I'm always pleased to do these sessions and just to say hello to Buddy Donohue. Buddy is with [INAUDIBLE] and Sterling here in New York. But he has such a perfect fit for this because ...

Fund Finance: Terms and Structures

On-Demand Web Briefing  On-Demand One-Hour Briefing    MP3 Audio  Audio Download (MP3)    

From the program: Fund Finance: Terms and Structures

Released on: Oct. 11, 2018

Taken from the Web Program Fund Finance: Terms and Structures Recorded October, 2018 in New York [01:03:15] Learn about the latest developments in the use of financial leverage by investment funds from experts from Blackstone/GSO and Dechert LLP.  The panel will discuss current trends in fund finance and address terms and structures of the following financing options available to investment funds: Fund-level credit facilities  ...

Fund Finance: Terms and Structures

Transcripts  Transcripts    

Recorded on: Oct. 11, 2018

AMY: It is now my pleasure to turn this briefing over to Matt Kerfoot. MATTHEW K. KERFOOT: Amy, thank you very much. Hi, everyone. I'm Matt Kerfoot. I'm a partner in Dechert's Financial Services Group, as Amy mentioned. I've been in the fund finance space for nearly 20 years or so. Part of that time I was a banker at a London-based bank, where we were offering balance sheet to investment funds through credit facilities, through TRS, through repo. ...

Broker-Dealer Regulation (Second Edition)

Treatise  Treatise

Published: September 2018

Updated to ensure coverage of the latest laws and regulations governing broker-dealers, the second edition of Broker-Dealer Regulation provides comprehensive and practical overview of the many requirements of this highly regulated area. This two-volume work instructs on how brokerage firms can satisfy SEC/SRO standards, with detailed coverage of: Registration reporting and record-keeping rules Suitability and best execution standards ...

Current Regulatory Issues and Trends Impacting Global Investment Funds  

Transcripts  Transcripts    

Recorded on: Sep. 21, 2018

CLIFFORD E. KIRSCH: In a minute, I'm going to throw it over to Tony, a partner at Kirkpatrick and Lockhart here in New York to take us through this last panel. But as you think about the panel and the presentation, the one question in terms of the engagement questions that I've asked you to think about is what are some of the major industry trends and developments affecting/impacting Global Fund development, and what can we expect to see in the next ...

Global Investment Funds 2018 -- Current Regulatory Issues and Trends Impacting Global Investment Funds  

Web Segment  Web Segment    MP3 Audio  Audio Download (MP3)    Course Handbooks  Course Handbooks    CHB Chapters  CHB Chapters    MP4 - Mobile Video Seg  Video Download (MP4)    

From the program: Global Investment Funds 2018

Recorded on: Sep. 21, 2018

Taken from the Web Program Global Investment Funds 2018 Recorded September, 2018 in New York [01:21:59] Establishing a global marketing program FinTech for asset managers Integrating ESG Criteria (environmental, social and governance) The regulatory future for cryptocurrencies & ICOs (IAPP Privacy credit for Privacy Professionals) David Harris, Anthony Nolan The purchase price of this Web Program segment includes ...

EU/Offshore Regulatory Update        

Transcripts  Transcripts    

Recorded on: Sep. 21, 2018

CLIFFORD KIRSCH: OK, everyone. Welcome back. Our next session is a panel focused on offshore regulatory developments. So we have a great panel. And in a second, I'm going to hand it over to Sara Crovitz, a partner at Stradley Ronon, to make introductions and to tee up the discussion. But before I do, again, in terms of that audience engagement question, for those of you who are either in-house or at a law firm, how many of you have provided counsel ...


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