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Financial Reporting Developments: What Audit Committees Need to Know

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Recorded on: Jun. 24, 2015

CPE credit (NASBA QAS Self-Study) is available by completing and passing the program’s CPE Review & Exam. While this program offers CPE (NASBA) credit, it has expired for CLE credit in many states. Please check the credit calculator to the right. No CLE certificate will be issued if credit has expired in your state. Financial Reporting Developments: What Audit Committees Need to Know [01:00:23] This program covers topics related to ...

Accounting Materiality: In Fraud or in Fair Weather

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Recorded on: Nov. 19, 2015

CPE credit (NASBA QAS Self-Study) is available by completing and passing the program’s CPE Review & Exam. While this program offers CPE (NASBA) credit, it has expired for CLE credit in many states. Please check the credit calculator to the right. No certificate will be issued if credit has expired in your state. When is an error in a financial statement considered material? Hear from distinct perspectives during this program – ...

Ethical Dilemmas in Preparation and Review of SEC Filings

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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 Commission ...

Key Compensation Committee Developments: What Boards Need to Know

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Recorded on: Dec. 2, 2016

Taken from the Web Program Directors' Institute on Corporate Governance (Fourteenth Annual) recorded November, 2016 in New York. Key Compensation Committee Developments: What Boards Need to Know [01:00:52] Preparing for say on pay, pay for performance, clawback and hedging requirements Nuts and bolts - best practices in executive compensation, employee benefit plan design and approval Recent litigation developments involving ...

SEC Developments Audit Committee Members Need to Know About

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Recorded on: Jun. 20, 2017

CPE credit (NASBA QAS Self-Study) is available by completing and passing the program’s CPE Review & Exam. Lecture Topics [01:05:43] Upon the successful completion of this program, the participant will be able to: Recognize key Securities and Exchange Commission (SEC) developments currently confronting audit committee members. Recall the Trump administration’s potential impact on developments at the Securities and Exchange ...

Securitization and Secondary Markets, and the Equity Crowdfunding Platform

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Recorded on: Sep. 8, 2017

Taken from the Web Program Marketplace Lending and Crowdfunding 2017 recorded September 2017 in New York. Securitization and Secondary Markets, and the Equity Crowdfunding Platform [00:45:16] Securitization and Secondary Markets (45 minutes) Securitization issues after Madden Asset models and loan-level disclosure “Skin in the game” and impact on risk retention requirements Role of rating agencies Controlling ...

Deconstructing the Registration Statement; the Securities Regulatory Process

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Recorded on: Sep. 13, 2017

Taken from the Web Program Securities Filings 2017: Practical Guidance in a Changing Environment recorded September 2017 in New York. Deconstructing the Registration Statement; the Securities Regulatory Process [03:14:36] Form eligibility considerations (e.g., S-1, S-3) The drafting process and how to add value The confidential review process for “emerging growth companies” Making the initial filing Responding ...

Hedge Fund Regulatory Update

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Recorded on: Sep. 14, 2017

Taken from the Web Program Recorded September 13, 2017 in New YorkHedge Fund Regulatory Update [01:02:25] U.S. regulatory update and hot topics EU/U.K. regulatory update and hot topics The purchase price of this Web Program segment includes the following article from the Course Handbook available online:Davis Polk, Lex et Brexit—The Law and Brexit, Issue 8 (October 24, 2016)Leor LandaDavis Polk, AIFMD and Brexit (July 14, 2017)Michael ...

Cybersecurity: U.S. and Global Legal Landscape

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Recorded on: Sep. 15, 2017

Taken from the Web Program Cybersecurity 2017: Managing Cybersecurity Incidents recorded September 2017 in New York. Cybersecurity: U.S. and Global Legal Landscape [01:05:00] Overview of the cybersecurity legal landscape in the U.S. and beyond CISA and its ramifications for the private sector U.S. breach notification laws update SEC activity EU developments on breach notification in the GDPR and NIS Directive  ...

Creating a Culture of Cyber Compliance

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Recorded on: Sep. 15, 2017

Taken from the Web Program Think Like a Lawyer, Talk Like a Geek 2017: Get Fluent in Technology recorded September 2017 in New York. Creating a Culture of Cyber Compliance [01:13:21] Legal/compliance – overlapping regulatory regimes, board issues Business/finance – cost-effective resource deployment Technology – ensuring, improving and testing optimal security Personnel – architecting legal, compliance, ...

The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals

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Recorded on: Sep. 29, 2017

Taken from the Web Program Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2017 recorded September 2017 in New York. The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals [01:30:58] The government’s view on how in-house counsel and compliance officers can and should discharge their duties What does the DOJ consider in evaluating the conduct of in-house ...

2017 Proxy Season Roundtable and Outlook for 2018 Proxy Season

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Recorded on: Oct. 13, 2017

Taken from the briefing 2017 Proxy Season Roundtable and Outlook for 2018 Proxy Season recorded October 2017 in New York. Listen to experts for a One-Hour Briefing to help you prepare for the 2018 proxy season. Panelists will provide an in-depth analysis of the 2017 proxy season and lead a practical discussion on key governance and disclosure trends and considerations as you head into the 2018 proxy season. Speakers will include Lillian Brown, ...

Broker/Dealer: State Enforcement Initiatives, Developments and Priorities

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Recorded on: Oct. 17, 2017

Taken from the Web Program Broker/Dealer Regulation and Enforcement 2017 recorded October 2017 in New York. Broker/Dealer: State Enforcement Initiatives, Developments and Priorities [01:29:22] State regulators will review regulatory initiatives, developments and priorities and offer insights for avoiding and responding to state regulatory matters. Sale of non-traditional products to retail investors (gold & precious metals, oil & ...

Innovator and Generic Drug Manufacturers: Implications of Legal, Regulatory and Political Updates on Safety Oversight, REMS and Product Liability Risk

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Recorded on: Oct. 17, 2017

Taken from the briefing Innovator and Generic Drug Manufacturers: Implications of Legal, Regulatory and Political Updates on Safety Oversight, REMS and Product Liability Risk recorded October 2017 in New York. FDA, fueled by concerns about drug pricing, is adopting measures to expedite generic drug approval. Meanwhile, the continuing growth of the generic drug market, has exacerbated conflicts between innovator and generic drug manufacturers. ...

Federal Supply Schedule Contracting: Navigating the Government Marketplace for Commercial Goods and Services

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Recorded on: Oct. 20, 2017

Taken from the briefing Federal Supply Schedule Contracting: Navigating the Government Marketplace for Commercial Goods and Services recorded October 2017 in New York. Governmental entities often engage in large scale buying of commercial goods and services as well as pharmaceuticals and medical devices through negotiated catalogs where pricing is set relative to a commercial benchmark within the supplier's business base. While the market ...

Financial Improprieties, Fraud & Other Threats to Business

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Recorded on: Oct. 23, 2017

Taken from the Web Program Pocket MBA 2017: Finance for Lawyers and Other Professionals (SF) recorded October 2017 in San Francisco. Financial Improprieties, Fraud & Other Threats to Business [01:17:10] Recent enforcement developments and examples of financial improprieties What steps should in-house lawyers and outside counsel take when financial improprieties are uncovered? Threats companies face today: FCPA, Sanctions, ...

Preparing for the New CEO Pay Ratio Disclosure -- What You Need to Know

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Recorded on: Oct. 25, 2017

Taken from the briefing Preparing for the New CEO Pay Ratio Disclosure -- What You Need to Know recorded October 2017 in New York. The disclosure of the ratio of the compensation of the CEO to the compensation of the median employee (as contemplated by the Dodd-Frank Wall Street Reform and Consumer Protection Act) will be required for most public companies beginning in 2018. While the SEC adopted rules to implement this requirement in 2015, ...

Compliance Program Auditing, Metrics and Assessment

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Recorded on: Nov. 1, 2017

Taken from the Web Program Advanced Compliance and Ethics Workshop 2017 New York recorded October 2017 in New York. Compliance Program Auditing, Metrics and Assessment [01:01:12] Assessment methodologies Compliance auditing and monitoring “Deep dives” assessments Using metrics to advance your program Stacey Babson-Smith, Jeffrey M. Kaplan The purchase price of this segment includes the following article ...

International Sanctions Law – Russia, Cuba, Iran and North Korea – Recent Developments from a U.S. and EU Perspective

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Recorded on: Nov. 1, 2017

Taken from the briefing International Sanctions Law – Russia, Cuba, Iran and North Korea – Recent Developments recorded November 2017 in New York. With rapid-fire developments occurring on the international scene, sanctions laws have been quickly developing tensions between the United States, Russia, Iran and North Korea and have created a risky and rapidly changing sanctions arena. In addition, similar developments have been occurring ...

Competition Law Compliance from an In-House Perspective

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Recorded on: Nov. 2, 2017

Taken from the Web Program Antitrust Counseling & Compliance 2017 recorded November 2017 in New York. Competition Law Compliance from an In-House Perspective [00:58:21] Global competition law environment Goals and elements of a successful competition law compliance program Importance of a global program for global operations Potential risk areas Leniency programs The purchase price of this segment includes ...

CFIUS Process, Risks, Opportunities, and Change

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Recorded on: Nov. 3, 2017

Taken from the briefing CFIUS Process, Risks, Opportunities, and Change recorded November 2017 in New York The Committee on Foreign Investment in the United States (“CFIUS”) is a United States Government interagency committee that evaluates the national security impact of certain foreign investments in U.S. companies. When CFIUS determines that a transaction presents a national security risk, it may require mitigation measures intended ...

Who and Why: The Targets and the Theses of Shareholder Activists

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Recorded on: Nov. 7, 2017

Taken from the Web Program Preparing For Shareholder Activism: What You Need To Be Doing Now 2017 recorded November 2017 Who and Why: The Targets and the Theses of Shareholder Activists [00:53:25] The characteristics of a target company The typical activist theses to create value Mark A. DiPaolo, Shane Goodwin, William L. Taylor The purchase price of this Web Program segment includes the following article from the Course Handbook ...

Roundtable: What’s Keeping In-House Counsel Up at Night?

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Recorded on: Nov. 13, 2017

Taken from the Web Program 49th Annual Institute on Securities Regulation recorded November 2017 Roundtable: What’s Keeping In-House Counsel Up at Night? [01:01:08] Cybersecurity: What you don’t know can hurt you Fintech developments: How they are reshaping our financial world Managing a cross-border legal compliance program The role of reputation management in the legal and compliance process Deregulation ...

Compliance and Legal Challenges Regarding Fintech

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Recorded on: Nov. 13, 2017

Taken from the Web Program Financial Services Industry Regulatory Compliance Forum 2017 recorded November 2017 Compliance and Legal Challenges Regarding Fintech [00:59:56] Regulatory Guidance FINRA’s Digital Advice Release Collaborating with IT James R. Burns, Peter Santori The purchase price of this Web Program segment includes the following article from the Course Handbook available online: Compliance ...

Shareholder Activism – What the GC Needs to Know

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Recorded on: Nov. 20, 2017

Taken from the Web Program Hot Topics for In-House Counsel 2017 recorded November 2017 in New York. Shareholder Activism – What the GC Needs to Know [00:59:57] State of activism today – what are the trends     o Changing face of activism     o New alliances     o New tactics View from inside the boardroom – what happens when ...


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