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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

MP3 Audio  Audio Download (MP3)    On-Demand Web Briefing  On-Demand One-Hour Briefing    

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

MP3 Audio  Audio Download (MP3)    On-Demand Web Briefing  On-Demand One-Hour Briefing    

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’ ...

Disaster Relief Funding: FEMA Grants – Key Considerations for Contractors

Transcripts  Transcripts    

Recorded on: Jan. 22, 2018

AMY TAUB: Hello, My name is Amy Taub, and I'm a program attorney with PLI, a nonprofit learning organization. I would like to welcome you to today's briefing, disaster relief funding, FEMA grants, key considerations for contractors. Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to materials ...

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 ...

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

Transcripts  Transcripts    

Recorded on: Jan. 23, 2018

SPEAKER: So why don't we begin. We're trying to keep on schedule, more or less, and don't want to cut too short because we've got a great program, great panel, just now that's going to require the full amount of time. So one of the things that we try to do in organizing the program-- Peter and I-- is to-- as I mentioned at the beginning, focus on not only on policy and regulatory interpretation but also the practical aspects of export control and ...

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 ...

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, ...

Securitized Products

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

ROBERT S. RISOLEO: Good morning to everyone here in the room and also on the webcast. This morning, continuing our survey of selected capital markets financial products, we will cover asset-backed products of various topics and securitization now. Then after the break this morning, consider convertible securities and then some other structures such as REITs and special purpose acquisition companies and business development companies. Joining me this ...

Ethical Challenges

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

MARGERY NEALE: So welcome to Ethical Challenges. Our speaker is Charles Walker. Chuck is co-chair of Skadden's Litigation Group in the Washington, DC office. He has substantial experience representing individuals and corporations in investigations by the SEC, the Financial Industry Regulatory Authority, the US Department of Justice, and state regulatory agencies, and in conducting corporate internal investigations. Prior to joining Skadden-- or I ...

Derivatives Products

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

ROBERT S. RISOLEO: Hi. Welcome back, everyone in the room and on the web. This segment will be devoted to a discussion of derivatives-- further discussion of derivatives. I made some brief introductory remarks in the opening. Now we'll be spending the next 90 minutes going in more depth about how derivatives-- what they are, how they're put together, how they're regulated. And to do that for us, we have two panelists, both veterans. To my immediate ...

Converts, SPACS, P/CAPS and more

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

ROBERT RISOLEO: Welcome back, everyone for the next 90 minutes, we are going to talk about first, convertible notes, and related hedging transactions. And then turn to a discussion of some specialty structures that are in some ways, hybrids between capital markets, products, and collective investment arrangements. With me for this segment, Jim Barri to my immediate left. And Bethany Knight to Jim's left. Jim is one of the co-chairs of Goodwin Proctor's ...

Capital Markets Products

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

ROBERT RISOLEO: This afternoon, we're going to talk about some capital markets-- more capital markets products, specifically structured notes and life settlements. Very different-- very different types of instruments. And then we're going to talk a little bit about what happens when issuers change their mind and want to buy back their products rather than sell them. So we will start with the discussion of structured notes or securitized derivatives, ...

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

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

AMY: It is now my pleasure to turn this briefing over to Laura Oswell. LAURA OSWELL: Hi, everyone. Thank you so much for joining us today. As Amy said, my name is Laura Oswell. I'm a partner of Sullivan & Cromwell, resident in our Palo Alto office. I also happen to be one of the co-leaders of our FCPA practice and have worked for the last three years or so with Stanford Law School on the FCPA Clearinghouse, which is a repository of FCPA resolutions ...

Litigation Issues in Financial Products – What Can Go Wrong?

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

SPEAKER 1: Welcome back everyone. I apologize for the slightly abbreviated break. To finish off the day, we're going to hear from a trio of litigators, which is a feature that we introduced to the program a number of years ago. We've also had accountants and tax lawyers on this program in some years, but we didn't go there this year. Returning this year is in the center for those here in the room is Hannah Berkowitz, who's a partner at Murphy and ...

Mutual Funds, Closed End Funds, and ETFs

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

MARGERY K. NEALE: Thank you, Willis. Good afternoon. Let me introduce my co-panelists first. To my immediate left is Laurie Blumenthal Kleiman. Laurie and I have worked together in the registered fund space for a long time. Laurie is the global co-leader of Sidley Austin's-- Sidley or Sidley Austin? Sidley? LAURIN BLUMENTHAL KLEIMAN: Either is fine. MARGERY K. NEALE: --Sidley's investment funds, advisors, and derivatives practice team. She represents ...

Hedge Funds and Other Private Funds

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

MARGERY K. NEALE: Thank you very much, Willis. So welcome to hedge funds. To my immediate left is Scott Lederman. Scott is the President and Chief Executive Officer of the Grosvenor-- did I say that right-- Grosvenor Registered Multi-Strategy Fund's Complex, a member of the Public Market Seeding Investment Committee. And he's responsible for the legislative and regulatory affairs of the firm. In addition, he manages regulatory and administrative ...

Laying the Foundation - Financial Product Fundamentals

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

ROBERT S. RISOLEO: Now, though, I would like to begin, as I have for the past several years, with a general discussion that covers some concepts that are applicable to many or most, I should say, of the products that the panelists will be talking about today and tomorrow and also to give you all a bit of a framework for thinking about how new products might be developed, why they're developed, what some of the considerations are-- and not just strictly ...

Private Fund Regulatory Developments and Compliance Challenges 2018

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From the program: Private Fund Regulatory Developments and Compliance Challenges 2018

Released on: Feb. 7, 2018

PLI’s Private Fund Regulatory Developments and Compliance Challenges carries on it’s tradition to review the private fund regulatory landscape, offering a first look at what the balance of the calendar will bring.  Led by an expert faculty of private fund in-house counsel and leading firm lawyers, the discussion is always lively and informative. The 2018 program starts with a review of derivatives-related compliance challenges, including ...

Derivatives-Related Regulatory Developments and Compliance Challenges

Transcripts  Transcripts    

Recorded on: Feb. 1, 2018

REGINA G. THOELE: There's a couple of key areas that I'm just going to focus on in no particular order. But I think supervision is something that we're really looking at. I think we don't look at in on all exams, but in this year we're talking about making sure that the firms are adequately maintaining their records, that you're reviewing your records, and especially when it comes to utilizing outside administrators. So are you comfortable with what ...

Private Fund General Counsels' Roundtable

Transcripts  Transcripts    

Recorded on: Feb. 1, 2018

SUSAN GRAFTON: Hi, everybody. Welcome back. So, I want to announce that we have a winner for the private equity book, which is Camilla [? Colajenska. ?] And I'm sorry if I massacred your last name. So, congratulations on winning that excellent book. On this panel, we're going to have a roundtable discussion of general counsels, including what keeps them up at night. Which hopefully is a shorter list this year than last year. To my immediate right ...

Regulatory Developments and Compliance Challenges Facing SEC-Regulated Private Funds

Transcripts  Transcripts    

Recorded on: Feb. 1, 2018

K. SUSAN GRAFTON: Got it. OK. Great. All right, so now we're going to talk about FCC challenges particularly facing private funds. And we're going to have a discussion of some of the exam priorities from the SEC, and particularly from its private funds unit. Going to just talk a little bit of what the exam program looks like. We'll speak about some of the key regulatory developments, talk about some compliance challenges, and then talk about conflicts ...

False Claims Act: 2017 Year in Review

Transcripts  Transcripts    

Recorded on: Feb. 1, 2018

SPEAKER 1: It's now my pleasure to turn this briefing over to Oli Ireland. OLI IRELAND: Thank you, Amy. We're here today to talk about the Fed's TLAC rule. And TLAC is an acronym for total loss absorbing capacity. And this is a component of a series of different loss absorbing requirements that are established under Basel III and/or the Dodd-Frank Act in the US in response to the most recent financial crisis. I had a conversation with the regulator ...

Social Media 2018: Addressing Corporate Risks (San Francisco)

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From the program: Social Media 2018: Addressing Corporate Risks

Released on: Feb. 8, 2018

Along with the exciting new marketing opportunities presented by social media comes challenging new legal issues. In seeking to capitalize on the social media gold rush, is your company taking the time to identify and address the attendant legal risks? The good news is that, merely by undertaking simple, low-cost precautions, companies seeking to use social media can significantly reduce their potential liability exposure.   You Will Learn  ...


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