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PCAOB Developments: What’s Happening in the Auditing Arena?

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Recorded on: Jun. 24, 2015

CPE credit (NASBA 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. Taken from the Web Program PCAOB Developments: What’s Happening in the Auditing Arena? Recorded June 2015 in New York Upon ...

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. 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. Lecture Topics [00:59:47] Upon the successful completion of this program, the participant will be able to: Recognize ...

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 ...

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 ...

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 Compliance Officer Roundtable

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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 Compliance Officer Roundtable [00:58:41] Compliance Officers will review the challenges they face managing their compliance programs. They will discuss current regulatory issues and priorities and offer lessons learned from recent examinations and/or enforcement actions. Topics will include: Approaches for assessing ...

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, ...

Recent Compliance Developments and What to Expect in 2017 and Beyond

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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. Recent Compliance Developments and What to Expect in 2017 and Beyond [00:57:22] The latest guidance from the Department of Justice and deferred prosecution agreements Significant whistleblower updates Lessons from recent case law, including lawsuits against directors and officers Anti-corruption, NLRB, and ...

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 ...

The Current State of Hedge Fund Activism

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Recorded on: Nov. 7, 2017

Taken from the Web Program Taken from the Web Program Preparing For Shareholder Activism: What You Need To Be Doing Now 2017 recorded November 2017 in New York The Current State of Hedge Fund Activism [00:55:29] What was new in 2017 and what to expect in 2018 How the market and regulatory environment has changed for activists and targets David A. Hunker, Mario A. Ponce The purchase price of this Web Program segment includes the ...

Private Offerings and Public Offerings by Smaller Reporting Companies

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Recorded on: Nov. 13, 2017

Taken from the Web Program 49th Annual Institute on Securities Regulation recorded November 2017 Private Offerings and Public Offerings by Smaller Reporting Companies [01:04:19] General solicitation and private offerings under Rule 506 Integration of private to private and private to public offerings – what will it take to fix the uncertainty? Regulation A and Crowdfunding – are they working and where do they work ...

Compliance and Legal Supervisory Liability in Financial Services

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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 Supervisory Liability in Financial Services [01:00:02] Ethical responsibilities of legal and compliance professionals in regulated companies What actions cause one to become a supervisor? What is a supervisor’s responsibility for a subordinate’s ethical and regulatory lapses? Ethical ...

Corporate Government Relations in the Age of Trump

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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. Corporate Government Relations in the Age of Trump [00:58:49] Current state of play in Washington – what is and is not likely to happen this year and next.  A look at Congress and the agencies Corporate government affairs in the Age of Trump – how are America’s leading companies approaching the Administration?  ...

Basics of Export Controls 2017

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Recorded on: Dec. 1, 2017

Taken from the One Hour Briefing Recorded December 2017 Basics of Export Controls 2017 [01:07:25] U.S. and multinational corporations, investors and even governments are increasingly affected by the range of U.S. laws and regulations governing international trade. The Commerce Department's Bureau of Industry and Security (BIS), the State Department's Directorate of Defense Trade Controls (DDTC), and the Treasury Department's Office of Foreign ...

What Audit Committees Need to Know

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Recorded on: Dec. 5, 2017

Taken from the Web Program Fifteenth Annual Directors' Institute on Corporate Governance Recorded November 2017 in New York What Audit Committees Need to Know [00:59:37] Implementation of new accounting standards on revenue recognition and lease accounting, and what comes next Non-GAAP Financial Measures – Are We Done Yet? What else does the SEC accounting staff have in store for public companies? Developments at ...

Quantitative, Systemic and Algorithmic Trading - Regulatory Pitfalls and Concerns

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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 Quantitative, Systemic and Algorithmic Trading - Regulatory Pitfalls and Concerns [01:04:43] Effective supervision of quantitative and systematic trading strategies Managing trade errors in a systematic context Marketing considerations for quantitative managers Managing exposure arising ...

How to Draft, Update and Launch a Multinational’s Global Code of Conduct

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Recorded on: Dec. 5, 2017

Taken from One-hour briefing Recorded December 2017 in New York How to Draft, Update and Launch a Multinational’s Global Code of Conduct [01:06:51] In today’s compliance-obsessed environment, a multinational would be naked without a robust and user-friendly global code of conduct or ethics. But these global codes are complex. After all, they have to address many topics, they have to serve many constituencies, they have to dovetail ...

Integrating Automation, Data, and Technology into Your Compliance Program

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Recorded on: Dec. 7, 2017

Taken from the One Hour Briefing Recorded December 2017 in New York Integrating Automation, Data, and Technology into Your Compliance Program [01:06:10] Regulators and enforcement authorities have made clear that, in order to be credible, compliance programs must integrate automation, data, and technology solutions.  Even setting aside regulators’ expectations, integrating these tools into your compliance program is critical to increasing ...


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