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Showing 1 - 25 of 99 Results

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Broker/Dealer Regulation and Enforcement 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: Broker/Dealer Regulation and Enforcement 2017

Released on: Oct. 18, 2017

Stay Ever Current: Subscribe today to , PLI’s new blog edited by Clifford E. Kirsch.   This program will focus on the many significant developments in the regulation and oversight of broker-dealers. With a new administration, what regulatory changes can broker-dealers and the industry expect to see? Will there continue to be significant regulatory focus on cybersecurity, alternative trading systems and high-frequency trading, and wide-ranging ...

White Collar Crime 2017: Prosecutors and Regulators Speak

On-Demand Web Programs  On-Demand Web Programs    

From the program: White Collar Crime 2017: Prosecutors and Regulators Speak

Released on: Oct. 7, 2017

In recent years, the Department of Justice, the SEC, the CFTC, and other U.S. and foreign agencies have pressed forward with a white collar enforcement program of unprecedented scope and severity. The recent changes in the U.S. administration have created additional uncertainty about what to expect in this arena.  With a spotlight on the financial services sector, the authorities have advanced novel theories and have exacting draconian penalties. ...

Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2017

Released on: Oct. 4, 2017

In recent years, the government has sharply focused on compliance professionals and in-house counsel, the gatekeepers who are tasked with identifying corporate misconduct. If you are a gatekeeper or represent them, it is time to hear from experienced in-house and outside counsel, chief compliance officers and government officials as they discuss a variety of topics stemming from the government’s scrutiny of the function, responsibilities and ...

Securities Arbitration 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: Securities Arbitration 2017

Released on: Oct. 4, 2017

This year’s Securities Arbitration program will feature FINRA Dispute Resolution leadership and arbitrators, as well as noted academics and experienced attorneys who represent both customers and industry.  Our faculty will provide practical tips for preparing for expungement proceedings. They will explore the ethical issues involved in litigating against pro se parties and handling financial fraud cases involving senior citizens. Finally, ...

Hot Topics in Mergers & Acquisitions 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: Hot Topics in Mergers & Acquisitions 2017

Released on: Sep. 27, 2017

In 2016, M&A activity, whether measured by deal volume or the aggregate value of deals, sustained the robust pace set in 2015.  In the U.S., 2016 also saw a near-record number of broken deals, some blocked by a more active regulatory regime.  The impact of the U.S. election results and the UK Brexit is still unfolding. In this quickly evolving and uncertain environment, it is critical for dealmakers and their counsel to stay abreast ...

Cybersecurity 2017: Managing Cybersecurity Incidents

On-Demand Web Programs  On-Demand Web Programs    

From the program: Cybersecurity 2017: Managing Cybersecurity Incidents

Released on: Sep. 21, 2017

Cyber attacks have wreaked havoc on organizations in nearly every industry sector. C-suites and boards of directors alike rank this issue to be of the highest concern — and for good reason. From the technology sector to financial services, cyber criminals have made it clear that no entity is immune. In today’s interconnected world, cybercrime targets go beyond those that maintain personal information; many entities are targeted for ...

Hot Issues in Executive Compensation 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: Hot Issues in Executive Compensation 2017

Released on: Sep. 21, 2017

As the economy shifts and the legislature, SEC, and shareholders respond, the design, implementation and disclosure of executive compensation undergoes continual change. In this program, experts in the area – from major corporations, the SEC, the IRS and shareholder activist groups, as well as from leading law and consulting firms – will lead you through the emerging best practices and the current reactions to the changing landscape. You ...

Hedge Fund Management 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: Hedge Fund Management 2017

Released on: Sep. 20, 2017

In this program, our expert faculty will focus on common structures for hedge funds, SEC priorities for and the regulatory environment surrounding hedge funds, and the day to day operational issues of running a hedge fund operation. The faculty will also explore strategies for addressing issues for when a hedge fund is in distress, issues relating to expansion into the registered fund business and issues and selling a portion of their business to ...

Securities Filings 2017: Practical Guidance in a Changing Environment

On-Demand Web Programs  On-Demand Web Programs    

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 ...

Marketplace Lending and Crowdfunding 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: Marketplace Lending and Crowdfunding 2017

Released on: Sep. 14, 2017

With the Title III federal public crowdfunding provisions of the JOBS Act finally becoming fully effective in May 2016 and a new administration, what does the future hold for marketplace lending and crowdfunding?  Will it be a boom or bust?  Will Regulation A+ start to pick up speed and grow into the potential many predicted?  Will Marketplace Lending finally have a principal regulator or will it continue to have its heels nipped ...

The Rapidly Shifting Law Firm and Company Legal Department Relationship

On-Demand Web Programs  On-Demand Web Programs    

From the program: The Rapidly Shifting Law Firm and Company Legal Department Relationship

Released on: Aug. 15, 2017

This program offers partial credit where available. Please check the credit information box at right to confirm the credit available in your jurisdiction. After working for corporate legal departments for several years as both the General Counsel and Chief Operating Officer, Brackett B. Denniston, Senior Counsel and Michael R. Caplan, COO of Goodwin Procter LLP understand the value of collaboration, partnership, mutual understanding of risk, and ...

The Attorney-Client Privilege and Internal Investigations 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: The Attorney-Client Privilege and Internal Investigations 2017

Released on: Aug. 10, 2017

A concise review of the latest developments and practical insights regarding the attorney-client privilege and internal investigations. The intersection of the attorney-client privilege and an internal investigation is fraught with ethical pitfalls for lawyers.  Conflicts can arise swiftly and there are a variety of privilege issues to beware of, especially if the government is involved in the investigation.  Every year, our program faculty ...

Ethics and Conflicts of Interest in Law Practice 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: Ethics and Conflicts of Interest in Law Practice 2017

Released on: Aug. 8, 2017

A practical review of how conflicts of interest in law practice arise and helpful approaches in managing them. An experienced faculty, including law firm general counsel, will review current developments in conflicts of interest and their practical takeaways, delivering useful insights for attorneys of all backgrounds.  The agenda will address how to spot potential and actual conflicts, determine if such conflicts can be waived, as well as how ...

Writing for Transactional Lawyers 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: Writing for Transactional Lawyers 2017

Released on: Aug. 3, 2017

In Writing for Transactional Lawyers you will learn principles of effective writing and drafting to enhance your transactional practice.  Particular emphasis will be given to the perspectives of the end users: your clients and those who litigate commercial disputes.  You will learn: Crisp and clear drafting techniques, including the use of “Plain English” Tailoring your writing to suit different purposes ...

Delaware Law Developments 2017: What All Business Lawyers Need to Know

On-Demand Web Programs  On-Demand Web Programs    

From the program: Delaware Law Developments 2017: What All Business Lawyers Need to Know

Released on: Aug. 3, 2017

Delaware law continues to play a critical role in U.S. corporate and securities law, particularly in today’s challenging and changing business environment.  This unique annual program focuses on the important Delaware corporate law developments over the past year and the practical impact on your corporate or legal practice. The very top Delaware corporate law experts from the Delaware judiciary, leading law firms and corporations, and academia, ...

Ethics in Banking and Financial Services 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: Ethics in Banking and Financial Services 2017

Released on: Aug. 3, 2017

An expert faculty will review and provide practical guidance on current ethical issues faced by attorneys working in banking and financial services. You will learn: Confidentiality issues when representing banking and financial services clients Ethical issues in internal investigations Ethical concerns when representing multinational clients Whistleblower remedies for corporate counsel Current issues involving ...

Insider Trading Law 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: Insider Trading Law 2017

Released on: Jul. 28, 2017

In recent years, insider trading has been a critical area of criminal and civil enforcement, and it will likely remain so for some time to come.  Following the Second Circuit’s ground-breaking decision on tippee liability in United States v. Newman, and the Ninth Circuit’s decision on the same issue in United States v. Salman, the law’s contours were in flux.  Enter the Supreme Court, which agreed to hear the Salman appeal, ...

Basics of Accounting for Lawyers 2017: What Every Practicing Lawyer Needs to Know

On-Demand Web Programs  On-Demand Web Programs    

From the program: Basics of Accounting for Lawyers 2017: What Every Practicing Lawyer Needs to Know

Released on: Jul. 26, 2017

Follow the money.  Whether you’re about to start the due diligence process in an M&A deal or you’re investigating an accounting fraud, knowing key accounting concepts will help you in legal matters like these where accounting lies at the heart of the issue.  So when you’re poring over financial statements and "following the money," looking for that crucial piece of information for your transaction or investigation, ...

Fundamentals of Broker-Dealer Regulation 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: Fundamentals of Broker-Dealer Regulation 2017

Released on: Jul. 25, 2017

Stay Ever Current: Subscribe today to , PLI’s new blog edited by Clifford E. Kirsch. Major changes in the broker-dealer industry and regulatory framework continue as a result of the financial services crisis, the resulting regulatory reform and a new Administration that is providing a fresh and comprehensive examination of financial services regulation.  At the same time, broker-dealers are subject to intense regulatory exam and ...

Understanding the Securities Laws 2017

On-Demand Web Programs  On-Demand Web Programs    

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 ...

Acquiring or Selling the Privately Held Company 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: Acquiring or Selling the Privately Held Company 2017

Released on: Jul. 18, 2017

In this perennial favorite, our experienced faculty will walk you through all of the steps associated with acquiring and selling a privately held company, whether it is a large independent corporation, a division or subsidiary of a large public company, or a smaller venture capital-backed or family-owned entrepreneurial enterprise. You will learn about the special issues that apply when a private equity firm is the buyer or owns the target ...

Eighteenth Annual Private Equity Forum

On-Demand Web Programs  On-Demand Web Programs    

From the program: Eighteenth Annual Private Equity Forum

Released on: Jul. 17, 2017

Stay Ever Current: Subscribe today to , PLI’s new blog edited by Clifford E. Kirsch. In this program, a distinguished panel of experts will discuss the basics of the private equity practice from fund formation to private equity M&A.  Experts will guide you through an array of key topics, including a general overview of the legal issues that need to be considered in marketing a private equity fund on a global basis, current regulatory ...

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 ...

Doing Business in and with Emerging Markets 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: Doing Business in and with Emerging Markets 2017

Released on: Jul. 16, 2017

Doing Business in and with Emerging Markets 2017 will provide a comprehensive overview of the most pressing legal issues involved in international deal making in and with emerging markets. Attorneys and other professionals in the field will benefit from the insights offered by a stellar, international faculty, who will draw on decades of combined experience to share the best practices and most effective strategies they have learned and successfully ...

The Ethics Game Show 2017: A Review of Ethical Issues

On-Demand Web Programs  On-Demand Web Programs    

From the program: The Ethics Game Show 2017: A Review of Ethical Issues

Released on: Jul. 14, 2017

Join us once again for this unique interactive program. Chair Katie M. Lachter will review a new set of hypotheticals to test your knowledge of the pertinent ethical rules, as you match wits with our expert faculty, and contestants. What would you do? What do the experts say you should do? This program had past attendees raving: “My favorite PLI program so far”; “Amusing cases and a fun and interactive way to do ethics training. ...


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