On-Demand   On-Demand Web Programs

Global Capital Markets & the U.S. Securities Laws 2018

Released on: Apr. 25, 2018
Running Time: 06:10:17

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Global Capital Markets & the U.S. Securities Laws 2018 has been approved for 7.25 CSOP credits. This statement should not be viewed as an endorsement of this program or its sponsor.

Capital markets are adjusting to a wide range of evolving regulatory standards that affect the way in which offerings are conducted around the world. At the same time, issuers around the world are subject to changing accounting and corporate governance standards, while market participants navigate new ground in derivative product regulation. Issuers and market participants also face an increasingly active global enforcement environment targeting activities taking place around the world. This program will provide an update on domestic and international regulatory and market developments, bringing together an engaging group of expert practitioners and senior regulators for an in-depth look at how the U.S. securities laws work in the context of a rapidly evolving global regulatory environment. 

Lecture Topics [Total time 06:10:17]
Segments with an asterisk (*) are available only with the purchase of the entire program.

  • Opening Remarks* [00:07:50]
    Paul M. Dudek, David M. Lynn
  • Global Capital Markets Perspectives in 2018 [01:01:24]
    Alexandre L. Ibrahim, Michael D. Coco
  • Hot Topics in Global Capital Markets [00:59:03]
    Martin P. Dunn, Nicolas Grabar, Gregory P. Rodgers
  • IFRS and Other Accounting Matters [01:01:10]
    Guilaine Saroul, Elizabeth Figgie
  • A Global Perspective on Corporate Governance [01:00:31]
    Keir D. Gumbs, Joseph P. Babits, Rani Doyle
  • Alternative Global Investment Vehicles and Derivatives Regulation [01:00:03]
    Alison M. Fuller, Carol McGee, Barbara A. Stettner
  • Enforcement Developments in Global Capital Offerings [01:00:16]
    Michael D. Mann, Joan E. McKown, Linda Chatman Thomsen

The purchase price of this Web Program includes the following articles from the Course Handbook available online:

  • COMPLETE COURSE HANDBOOK
  • The Latham FPI Guide: Accessing the US Capital Markets From Outside the United States (2017 Edition)
    Paul M. Dudek
  • Current Developments, Division of Corporation Finance, U.S. Securities and Exchange Commission (August 15, 2017)
    David M. Lynn
  • IFRS 9 Financial Instruments (July 2014)
    Elizabeth Figgie
  • IFRS 15 Revenue from Contracts with Customers (May 2014)
    Elizabeth Figgie
  • IFRS 16 Leases (January 2016)
    Elizabeth Figgie
  • Financial Statement Requirements in US Securities Offerings: What Non-US Issuers Need to Know (2018 Edition)
    Paul M. Dudek
  • Exchange Act Form 8-K, Compliance and Disclosure Interpretation 110.02 (December 22, 2017)
  • 3 Steps FPI Directors Can Take to Oversee Related-Party Transactions: Developing a Process for Foreign Private Issuers to Pursue Frequently Beneficial Business Opportunities (October 6, 2017)
    Ryan J. Maierson, Joel H. Trotter, Edward Barnett, Paul M. Dudek
  • SEC Provides New Guidance on Pay Ratio Disclosure Rule (September 26, 2017)
    Keir D. Gumbs
  • SEC Staff Publishes Guidance Regarding Disclosure and New Tax Act (December 28, 2017)
    Keir D. Gumbs
  • Staff Accounting Bulletin No. 118, 17 CFR 211, Release No. SAB 118 (December 22, 2017)
  • FCPA 2017 Year in Review (January 2018)
    Joan E. McKown
  • It’s Inevitable: The Trump Administration Will Support Robust Anti-Corruption, Sanctions and Anti-Money Laundering Enforcement (May 11, 2017)
    Margot Laporte, Jamie A. Schafer, Jeffrey A. Lehtman, Audrey L. Ingram, Kimberly M. Versace, Michael D. Mann
  • With Exxon’s Russia Sanctions Penalty, OFAC Issues Stern Reminder: Sanctions Risks are Not Limited to Counterparties (August 15, 2017)
    Michael D. Mann, Jamie A. Schafer, Audrey Laning Ingram
  • 2017 DOJ and SEC FCPA Resolution Tracker (Updated January 9, 2018)
    Linda Chatman Thomsen

Presentation Material

  • Global Capital Markets Perspectives in 2018
    Alexandre L. Ibrahim
  • IFRS and Other Accounting Matters
    Elizabeth Figgie, Guilaine Saroul
  • IFRS and Other Accounting Matters
    Elizabeth Figgie, Guilaine Saroul
  • A Global Perspective on Corporate Governance
    Joseph P. Babits, Rani Doyle, Keir D. Gumbs
  • Alternative Global Investment Vehicles and Derivatives Regulation
    Alison M. Fuller
  • Alternative Global Investment Vehicles and Derivatives Regulation
    Barbara A. Stettner
  • Supplemental Materials
    Barbara A. Stettner
Co-Chair(s)
Paul M. Dudek ~ Latham & Watkins LLP
David M. Lynn ~ Morrison & Foerster LLP
Speaker(s)
Joseph P. Babits ~ Shell Group U.S. Securities Counsel / Associate Counsel, Shell Oil Company
Michael D. Coco ~ Chief, Office of International Corporate Finance, U.S. Securities and Exchange Commission
Rani Doyle ~ Executive Director, Center for Board Matters, EY
Elizabeth Figgie ~ International Accounting Standards Board
Alison M. Fuller ~ Stradley Ronon Stevens & Young LLP
Nicolas Grabar ~ Cleary Gottlieb Steen & Hamilton LLP
Keir D. Gumbs ~ Associate General Counsel, Global Corporate, M&A and Securities, Deputy Corporate Secretary, Uber Technologies, Inc.
Alexandre L. Ibrahim ~ Head of International Capital Markets, New York Stock Exchange
Michael D. Mann ~ Richards Kibbe & Orbe LLP
Carol McGee ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Joan E. McKown ~ Jones Day
Gregory P. Rodgers ~ Latham & Watkins LLP
Guilaine Saroul ~ Managing Director, PwC National Office - SEC Services
Barbara A. Stettner ~ Allen & Overy LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

PLI’s live and on-demand webcasts are single-user license products intended for an individual registrant only. Credit will be issued only to the individual registered.


U.S. MCLE States

Alabama:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s on-demand web programs qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s on-demand web programs are not approved for Arkansas CLE credit.

California:  PLI’s on-demand web programs qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s on-demand web programs qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period, no more than 6 of which may be audio-only.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s on-demand web programs qualify as “in-house” credit. Attorneys are limited to 6 in-house credits per reporting period.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s on-demand web programs qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period. Effective January 1, 2019, the limit of distance education per reporting period will increase from 9 to 18 credits.

Iowa:  PLI’s on-demand web programs qualify as “unmoderated” credit. Attorneys are limited to 6 credits of unmoderated programs per reporting period.

Kansas:  PLI’s on-demand web programs qualify as “prerecorded” credit. Attorneys are limited to 6 credits of prerecorded programs per reporting period.

Kentucky:  PLI’s on-demand web programs qualify as “non-live” credit. Attorneys are limited to 6 non-live credits per reporting period.

Louisiana:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

Maine:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5.5 credits of self-study per reporting period.

Minnesota:  PLI’s on-demand web programs qualify as “on-demand” credit. Attorneys are limited to 15 on-demand credits per reporting period.

Mississippi:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.

Montana:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5 credits of self-study per reporting period.

Nebraska:  PLI’s on-demand web programs qualify as “computer-based learning” credit. Attorneys are limited to 5 credits of computer-based learning per reporting period.

Nevada:  PLI’s on-demand web programs qualify as “self-study” credit. There is no limit to the number of credits an attorney can earn via self-study programs.

New Hampshire:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

New Jersey:  PLI’s on-demand web programs qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional on-demand web programs can be used to fulfill the requirements for New York newly admitted attorneys. Only professional practice and law practice management credits may be earned via transitional on-demand web programs. Ethics and skills credits may not be earned via on-demand web programs.

North Carolina:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

North Dakota:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

Ohio:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Oklahoma:  PLI’s on-demand web programs qualify as “online, on-demand” credit. Attorneys are limited to 6 credits of online, on-demand programs per reporting period.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Puerto Rico:  All PLI products can fulfill Puerto Rico’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Rhode Island:  PLI’s on-demand web programs qualify as “video replay” credit. Attorneys are limited to 6 video replay credits per reporting period.

South Carolina:  PLI’s on-demand web programs qualify as “alternatively delivered” credit. Attorneys are limited to 6 credits of alternatively delivered programs per reporting period.

Tennessee:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 8 credits of distance learning per reporting period.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 10 credits of self-study per reporting period.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s on-demand web programs qualify as “pre-recorded” credit. Attorneys are limited to 8 credits of pre-recorded programs per reporting period.

Washington:  All PLI products can fulfill Washington’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

West Virginia:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  PLI’s on-demand web programs qualify as “repeated, on-demand” credit. Attorneys are limited to 15 credits of repeated, on-demand programs per reporting period. No ethics credits can be earned via on-demand web programs.

Wyoming:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s on-demand web programs are not eligible for CPD-BC credit unless viewed with at least one other attorney or an articled student. In this case, the credit must be recorded as a “study group.”

Ontario (CPD-ON):  PLI’s on-demand web programs qualify as “recorded” credit. If viewed without a colleague, attorneys are limited to 6 credits of recorded programs per year. If viewed with at least one colleague, there is no limit to the number of credits that can be earned via recorded programs.

Quebec (CPD-QC):  PLI’s on-demand web programs can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s on-demand web programs are not approved for CPD-HK credit.

United Kingdom (CPD-UK):  PLI’s on-demand web programs can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s on-demand web programs may fulfill Australia’s CPD requirements. Credit limits for on-demand web programs vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.

Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Dubai (CLPD-DUBAI):  PLI’s on-demand web programs may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA):  Select on-demand web programs qualify as the “QAS Self-Study” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  PLI’s on-demand web programs may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s on-demand web programs may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s on-demand web programs may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s on-demand web programs may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s on-demand web programs qualify as "self-paced" credit. SHRM professionals are limited to 30 credits of self-paced programs per recertification period.

Compliance Certification Board (CCB):  PLI’s on-demand web programs qualify as “self-study” credit. Candidates are limited to 10 self-study credits per 12-month period, and certification holders are limited to 20 self-study credits per 2-year renewal period.

Certified Anti-Money Laundering Specialists Certification (CAMS):  PLI’s on-demand web programs are not approved for CAMS credit.

New York State Social Worker Continuing Education (SW CPE):  PLI’s on-demand web programs are not approved for SW CPE credit.

American Bankers Association Professional Certification (ABA):  PLI’s on-demand web programs may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s on-demand web programs are not approved for CFP credit.

 

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