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Securities Filings 2016: Practical Guidance in a Changing Environment -- Ethical Dilemmas in Preparation and Review of SEC Filings

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From the program: Securities Filings 2016: Practical Guidance in a Changing Environment

Recorded on: Sep. 9, 2016

CPE credit (NASBA QAS Self-Study) is available by completing and passing the program’s CPE Review & Exam. Lecture Topics [00:59:47] Upon the successful completion of this program, the participant will be able to: Recognize the public policy framework underlying the gatekeeper concept. Recall the legal framework governing the rules of conduct for professionals appearing and practicing before the Securities and Exchange ...

Cloud Computing 2017: Key Issues and Practical Guidance

On-Demand Web Programs  On-Demand Web Programs    

From the program: Cloud Computing 2017: Key Issues and Practical Guidance

Released on: May. 24, 2017

This program will provide practical advice on understanding the context and business realities around which cloud computing exists, understanding key terms for cloud computing contracts, help organizations considering the purchase of cloud services to understand vendor and customer obligations and responsibilities associated with cloud computing services, provide information to cloud service vendors on the compliance obligations and concerns ...

Corporate Compliance and Ethics Institute 2017

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From the program: Corporate Compliance and Ethics Institute 2017

Released on: Jun. 6, 2017

Please note that "ethics" in the program title refers to the “Compliance and Ethics Program” used in the Federal Sentencing Guidelines for Organizations. It does not specifically refer to legal ethics. This program may not offer legal ethics credit in your jurisdiction. Please check the credit calculator to the right for credit information for your jurisdiction. Compliance and ethics programs are essential to the success and growth of ...

Environmental Regulation 2017: Hot Topics, Regulatory Developments, and Practical Guidance for Corporate Compliance

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From the program: Environmental Regulation 2017: Hot Topics, Regulatory Developments, and Practical Guidance for Corporate Compliance

Released on: Jun. 26, 2017

This program will review recent activities in environmental regulation – and de-regulation – affecting compliance obligations for a range of businesses and organizations.  Among other topics, our program will cover the impact of recent court decisions, new regulations and initiatives affecting regulated entities, and practical suggestions for management and compliance. This program will take a comprehensive look at how new developments ...

Internal Investigations 2017

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From the program: Internal Investigations 2017

Released on: Jun. 26, 2017

Knowing how to conduct efficient and effective internal investigations is key to protecting your clients or company. Companies and their counsel need to be diligent and proactive in identifying risks and remedying potential issues. In this program, an expert faculty will review the fundamentals of conducting an effective and efficient investigation using a real-world hypothetical with a graphic novel illustration to bring the characters to life.  ...

Audit Committees and Financial Reporting 2017: Recent Developments and Current Issues

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From the program: Audit Committees and Financial Reporting 2017: Recent Developments and Current Issues

Released on: Jun. 26, 2017

As we continue to see many new regulations from the SEC, PCAOB and financial institution regulators, we also continue to see numerous challenges emerge for the audit committee.  If you are a director or member of an audit committee, or if you advise audit committees, this program will help you understand what is required of the audit committee, and those who advise them, in this rapidly changing environment.  You will hear from an expert ...

Ethics for In-House Corporate Counsel 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: Ethics for In-House Corporate Counsel 2017

Released on: Jul. 17, 2017

Hear from experienced practitioners, who will provide practical advice about a broad range of ethical issues confronting in-house counsel. This unique program will help you analyze relevant ethical obligations and understand best practices. You will learn: Representing the corporate entity: who is the client? Crisis management, corporate compliance, and litigation management: best practices and related professional conduct obligations ...

Understanding the Securities Laws 2017

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From the program: Understanding the Securities Laws 2017

Released on: Jul. 19, 2017

Whether you are new to the field or seeking a quick refresher or an update, this is the securities law primer that you won’t want to miss. This program will provide an overview and discussion of the basic aspects of the U.S. federal securities laws by leading in-house and law firm practitioners as well as SEC staff. Emphasis will be placed on the interplay among the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley ...

Securities Filings 2017: Practical Guidance in a Changing Environment

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From the program: Securities Filings 2017: Practical Guidance in a Changing Environment

Released on: Sep. 17, 2017

This popular program will analyze in detail the forms used for filings with the SEC under the Securities Act of 1933 (“Securities Act”), and the Securities Exchange Act of 1934 (“Exchange Act”), with particular emphasis on the mechanics of and timing for assembling particular filings. Each segment of the program will incorporate practical tips and/or interactive drafting exercises. Ethics credit and recent legislation ...

Antitrust Counseling & Compliance 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: Antitrust Counseling & Compliance 2017

Released on: Nov. 7, 2017

Lawyers counseling businesses need to have a solid foundation in principles of antitrust law and an understanding of the latest antitrust developments in order to advise their clients smartly.  The consequences of running afoul of antitrust rules can be costly: federal and state government enforcement actions, jail time for executives, treble damages litigation, class actions, and adverse publicity are all risks when companies step over the line. ...

Outsourcing 2017: ITO, BPO and Cloud

On-Demand Web Programs  On-Demand Web Programs    

From the program: Outsourcing 2017: ITO, BPO and Cloud

Released on: Nov. 9, 2017

Information technology and business process outsourcing has quickly gone from being a new and novel approach to commonplace practice.  Managing a global business today virtually necessitates contracting with outside technology partners to manage various aspects of non-essential and even some core business functions.  As ITO, BPO and cloud solutions reach broad adoption across industries new entrants to the market continue to emerge, ...

Financial Services Industry Regulatory Compliance Forum 2017

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From the program: Financial Services Industry Regulatory Compliance Forum 2017

Released on: Nov. 15, 2017

In addition to the credits listed , this program also offers credit for ABA professional certification. Financial Services Industry Regulatory Compliance Forum 2017 has been approved for 8.25 CRCM credits. This statement should not be viewed as an endorsement of this program or its sponsor. Financial services firms’ corporate compliance and ethics programs continue to be under intense regulatory scrutiny. Many new rules have been issued which ...

Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017 -- Thorny Hedge Fund Hypotheticals - Ethical Issues

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From the program: Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017

Recorded on: Dec. 5, 2017

Taken from the Web Program Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017 Recorded December 2017 in New York Thorny Hedge Fund Hypotheticals - Ethical Issues [01:00:06] Multiple representation issues in government investigations Dodd-Frank whistleblower protections in investigations and separation agreements Self reporting – should I or shouldn’t I and will it matter? Attorney-client ...

Annual Disclosure Documents 2017 -- Ethics and Whistleblower Developments: Challenges to Be Aware of When Preparing and Reviewing Disclosure Documents

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From the program: Annual Disclosure Documents 2017

Recorded on: Dec. 14, 2017

Taken from the Web Program Annual Disclosure Documents 2017 Recorded December 2017 in New York Ethics and Whistleblower Developments: Challenges to Be Aware of When Preparing and Reviewing Disclosure Documents [00:58:28] Appearing and practicing before the Commission – an update on Rule 102(e) proceedings – and what this can mean under applicable rules of professional conduct Renewed focus on lawyers as gatekeepers and ...

Understanding Financial Products 2018

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From the program: Understanding Financial Products 2018

Released on: Feb. 1, 2018

The explosion of new financial products over the past decade, the implosion of the credit markets and the resulting significant new regulatory requirements underline the importance of a basic understanding of financial products. While these instruments have been invaluable investment tools, with enormous potential for product manufacturers and investors, they also create potentially significant legal risks and challenges for their promoters, users, ...

The SEC Speaks in 2018

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From the program: The SEC Speaks in 2018

Released on: Mar. 3, 2018

At the beginning of each year, PLI presents, in cooperation with the U.S. Securities and Exchange Commission, The SEC Speaks program, which provides an essential update on the current initiatives at the Commission, as well as the priorities of the Commission for the coming year. At this unique program, you will hear remarks by the Chairman, and Commissioners, and Investor Advocate, as well as panel discussions by senior staff at the Divisions of Corporation ...

Corporate Governance - A Master Class 2018

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From the program: Corporate Governance - A Master Class 2018

Released on: Apr. 23, 2018

This program will address key corporate governance issues faced by boards and principal board committees.  Public companies and their directors and officers face increasing responsibilities, and even increased risk of liability.  They are also under intense scrutiny and in at least some cases significant pressure from investors and regulators.  Changing investor expectations – including more vocal expectations from traditional, ...

Antitrust: Developments & Hot Topics 2018

On-Demand Web Programs  On-Demand Web Programs    

From the program: Developments in Antitrust Law & Regulation 2018

Released on: Apr. 20, 2018

This year’s program will examine recent developments in several key areas of antitrust reflected in recent decisions as well as vigorous enforcement in the US and around the world.  Panels or nationally known practitioners and senior government enforcement officials will report on and explore developments in competitor relationships, including cartels and other per se antitrust violations as well as the antitrust implications of joint ventures ...

The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2018

On-Demand Web Programs  On-Demand Web Programs    

From the program: The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2018

Released on: May. 1, 2018

The Foreign Corrupt Practices Act (“FCPA”) is at the top of most companies’ key risk areas. The DOJ and SEC remain focused on investigating violations and enforcement of the law. Recent FCPA settlements demonstrate that no industry is immune from scrutiny and the trend towards higher penalties involving multiple regulators has continued.  As more countries and international organizations ramp up their anti-corruption enforcement ...

Enforcement 2018: Perspectives from Government Agencies

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From the program: Enforcement 2018: Perspectives from Government Agencies

Released on: May. 16, 2018

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Enforcement 2018: Perspectives from Government Agencies has been approved for 7.5 CAFP, 7.5 CRCM credits. This statement should not be viewed as an endorsement of this program or its sponsor. The new administration will continue to bring unprecedented changes in our economic, business and regulatory regimes in general, and in enforcement ...

Cloud Computing 2018: Key Issues and Practical Guidance

On-Demand Web Programs  On-Demand Web Programs    

From the program: Cloud Computing 2018: Key Issues and Practical Guidance

Released on: May. 28, 2018

This program will provide practical advice on the context and business realities around which cloud computing exists; key terms for cloud computing contracts; vendor and customer obligations and responsibilities associated with cloud computing services; the compliance obligations and concerns most important to potential purchasers; policies and procedures to help protect sensitive data in the cloud; transfers of data between cloud computing vendors; ...


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