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Showing 1 - 25 of 84 Results


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

MP3 Audio  Audio Download (MP3)    

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

MP3 Audio  Audio Download (MP3)    

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

MP3 Audio  Audio Download (MP3)    

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 ...

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 ...

Hot Topics for Hedge Fund Managers

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Recorded on: Sep. 14, 2017

Taken from the Web Program Recorded September 13, 2017 in New YorkHot Topics for Hedge Fund Managers [01:16:15] Cybersecurity SEC exam and enforcement priorities Activist investing and reporting Use of Big Data Cayman LLCs and Cayman regulatory update The purchase price of this Web Program segment includes the following article from the Course Handbook available online:Hot Topics for Hedge Fund Managers (September 13, ...

Conflicts of Interest, Corruption and Compliance Risks

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Recorded on: Nov. 1, 2017

Taken from the Web Program Recorded October 30 - 31, 2017 in New YorkConflicts of Interest, Corruption and Compliance Risks [01:00:54]Explore compliance risks and controls related to two of the higher-risk compliance areas Conflicts of Interest  Drafting workable policies and creating effective training  Questionnaires, certifications and approval procedures  Auditing and monitoring for conflicts   ...

Disaster Relief Funding: FEMA Grants – Key Considerations for Contractors

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Recorded on: Jan. 12, 2018

Taken from the audio only One-Hour Briefing  Recorded January 2018 in New York Disaster Relief Funding: FEMA Grants – Key Considerations for Contractors [01:05:56] Over the past several months, the United States has been hit by many natural disasters leaving state and local communities devastated.  The Federal Emergency Management Agency (FEMA), which is the federal agency that manages the nation’s disaster relief efforts, ...

Global Advertising Law: Year in Review

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Recorded on: Jan. 18, 2018

Taken from the audio only One-Hour Briefing Recorded January 2018 in New York Global Advertising Law: Year in Review [01:02:49] With the ever-growing importance of social media, mobile marketing, and the internet, advertising has truly gone global.  Whether creating traditional advertising, innovative social media campaigns, or sweepstakes and contests with global reach, advising clients on global marketing campaigns is a challenge.  ...

Revisions to the U.S. Department of Justice’s FCPA Corporate Enforcement Policy and Other Current Trends in FCPA Investigations

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Recorded on: Jan. 19, 2018

Taken from the One-hour Briefing Recorded January 2018 in New York Revisions to the U.S. Department of Justice’s FCPA Corporate Enforcement Policy and Other Current Trends in FCPA Investigations [01:03:45] In November 2017,  Deputy Attorney General Rod Rosenstein announced a revised Department of Justice (“DOJ”) FCPA corporate enforcement policy.  The policy, which has been formally incorporated into the U.S. Attorneys’ ...

Compliance Best Practices: Designing, Implementing and Assessing Export Controls Compliance Programs

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Recorded on: Jan. 23, 2018

Taken from the One-Hour Briefing Recorded January 2018 in New York Compliance Best Practices: Designing, Implementing and Assessing Export Controls Compliance Programs [01:14:36] Designing and conducting risk assessments The role and authorities of compliance monitors Data privacy considerations Due diligence for screening counterparties and beneficial owners Compliance structure and reporting relationships  ...

How Much Compliance is Enough? An Enterprise Risk-Based Approach to Finding Your Compliance Investment Sweet Spot

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Recorded on: Jan. 23, 2018

Taken from the One-Hour Breifing Recorded January 2018 in New York How Much Compliance is Enough? An Enterprise Risk-Based Approach to Finding Your Compliance Investment Sweet Spot [01:07:12] A well-tailored compliance program typically makes good business sense. It reduces operating risk, helps insulate your organization and individual leadership from legal liability, protects your brand, increases employee engagement, and (over time) tends ...

False Claims Act: 2017 Year in Review

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Recorded on: Jan. 25, 2018

Taken from the One-Hour Briefing Recorded January 2018 in New York False Claims Act: 2017 Year in Review [01:03:37] The federal False Claims Act ("FCA") continued to be a significant focus of government and whistleblower activity in 2017, especially since the Supreme Court’s decision in Escobar.  Courts have spent significant time analyzing and addressing the FCA in light of that opinion   The U.S. Department of Justice ...

Mutual Funds, Closed End Funds, and ETFs

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Recorded on: Jan. 26, 2018

Taken from the Web Program Understanding Financial Products 2018 Recorded January 2018 in New York Mutual Funds, Closed End Funds, and ETFs [01:29:57] Mutual Funds and Other Investment Companies Overview of the regulatory structure Dodd-Frank; Impact of CFTC regulation of commodity pools and advisers Organizational structure Regulatory requirements under the Investment Company Act Closed End Funds ETFs ...

Derivatives-Related Regulatory Developments and Compliance Challenges

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Recorded on: Feb. 1, 2018

Taken from the Web Program Private Fund Regulatory Developments and Compliance Challenges 2018 Recorded January 2018 in New York Derivatives-Related Regulatory Developments and Compliance Challenges [01:18:49] NFA’s Exam Priorities for 2018 Surviving an NFA exam Hot issues, including leverage ratios,, new recordkeeping requirements, outsourcing, cryptocurrency and cybersecurity Position limits and position aggregation  ...

A View from the Trenches: Hot Issues, Creative Solutions

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Recorded on: Feb. 2, 2018

Taken from the Web Program Social Media 2018: Addressing Corporate Risks Recorded January 2018 in San Francisco A View from the Trenches: Hot Issues, Creative Solutions [01:16:13] Leaders in the social media field share their experiences in addressing potential liability concerns Practical tips for handling real-world issues Cutting-edge trends and emerging risks:  What to watch out for Moderator: Kathryn L. Ossian  Speakers: ...

TCPA Update 2018: Current Compliance Challenges for Companies

MP3 Audio  Audio Download (MP3)    

Recorded on: Feb. 6, 2018

Taken from the One-Hour Briefing Recorded February 2018 in New York TCPA Update 2018: Current Compliance Challenges for Companies [01:07:03] Since going into effect just over two years ago, many courts have addressed the thorny issues presented by the FCC’s July 2015 Declaratory Ruling and Order on the Telephone Consumer Protection Act with various and sometimes conflicting results. These holdings present challenges for companies in all ...

Overview of Advisory Programs

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Recorded on: Feb. 8, 2018

Taken from the Web Program Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants held February 2018 in New York Overview of Advisory Programs [00:59:42] Solicitor v. Advisory v. Co-Advisory programs Mutual fund asset allocation programs SMAs UMAs Joseph M. Gallo, Svetlana Milina The purchase price of this Web Program segment includes the following article from the Course ...

Coping with U.S. Export Controls and Sanctions 2017 - Identifying and Managing Trade Control Risks in Corporate Transactions

MP3 Audio  Audio Download (MP3)    

Recorded on: Feb. 9, 2018

Taken from the Web Program Recorded February  2018 in New York Coping with U.S. Export Controls and Sanctions 2017 - Identifying and Managing Trade Control Risks in Corporate Transactions [01:08:48] Structuring and executing trade controls diligence When and how to address sanctions-related compliance obstacles Key trade controls considerations in the CFIUS process ITAR 60-Day Notices: Best practices and agency expectations ...

Marijuana Compliance Challenges in 2018 and Beyond

MP3 Audio  Audio Download (MP3)    

Recorded on: Feb. 12, 2018

Integrating Enterprise Risk Management, Cybersecurity and Compliance in an Era of Big Data Breaches and Vulnerability

MP3 Audio  Audio Download (MP3)    

Recorded on: Feb. 14, 2018

Taken from the One-Hour Briefing Recorded February 2018 in New York Integrating Enterprise Risk Management, Cybersecurity and Compliance in an Era of Big Data Breaches and Vulnerability [01:03:51] We live in an era of persistent information insecurity:  cyber breaches, data leaks, and the often-crippling consequences of these events for organizations and individuals dominate headlines and the public’s conscious.  Policy makers, regulators, ...

Primer on the Foreign Agents Registration Act ("FARA") 2018

MP3 Audio  Audio Download (MP3)    

Recorded on: Feb. 21, 2018

Taken from the One-Hour Briefing Recorded February 2018 in New York Primer on the Foreign Agents Registration Act ("FARA") 2018 [01:03:03] The Foreign Agents Registration Act ("FARA") is a criminal statute enacted in 1938 that only very recently has become the focus of a crackdown by the U.S. Department of Justice.  In addition to high profile FARA cases related to Special Counsel Robert Mueller's investigation of the Trump Administration, practitioners ...

Trading and Markets

MP3 Audio  Audio Download (MP3)    

Recorded on: Feb. 27, 2018

Taken from the Program The SEC Speaks in 2018 Recorded February 2018 in Washington, D.C. Trading and Markets [01:09:04] Market structure Dodd-Frank implementation Clearance and settlement Risk analytics Broker-Dealer issues Speakers: Division of Trading and Markets Brett W. Redfearn, Director Michael A. Macchiaroli, Associate Director Thomas K. McGowan, Associate Director John C. Roeser, Associate Director Christian R. ...

Enforcement (The SEC Speaks in 2018: Workshop C)

MP3 Audio  Audio Download (MP3)    

Recorded on: Mar. 2, 2018

Taken from the Web Program The SEC Speaks in 2018 Recorded February 2018 in Washington, D.C. Enforcement (The SEC Speaks in 2018: Workshop C) - Audio - only [01:02:28] Retail strategy matters FCPA matters Financial fraud and audit matters Complex financial instruments matters Broker-Dealer practices Market abuse and market structure matters Public finance abuse Speakers: Division of Enforcement Jeffrey Boujoukos, ...

Compliance Inspections and Examinations (The SEC Speaks in 2018: Workshop E)

MP3 Audio  Audio Download (MP3)    

Recorded on: Mar. 2, 2018

Taken from the Web Program The SEC Speaks in 2018 Recorded February 2018 in Washington, D.C. Compliance Inspections and Examinations (The SEC Speaks in 2018: Workshop E) [00:59:38] Common risks and themes from 2017 exams and 2018 priorities Risk identification and industry trends Speakers: Office of Compliance Inspections and Examinations Everardo de Armas, Branch Chief Allison Fakhoury, Senior Regulatory Counsel, Office of Clearance and ...

How to Leverage HR Processes, Tools, and Data to Optimize Your Compliance Program

MP3 Audio  Audio Download (MP3)    

Recorded on: Mar. 7, 2018

Taken from the One-Hour Briefing Recorded March 2018 in New York How to Leverage HR Processes, Tools, and Data to Optimize Your Compliance Program [Total RunTime: 01:04:40] This One-Hour Briefing seeks to bridge the HR-compliance gap by illustrating the value that best practices in each discipline hold for the counterpart.  The presenters will draw on their interdisciplinary experience as labor strategy experts, in-house counsel and executive ...


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