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Understanding the Securities Laws 2018

Program  Program

Why You Should Attend 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 ...

Corporate Political Activities 2018: Complying with Campaign Finance, Lobbying and

Program  ProgramWebcast  Webcast

Please note: this program does not offer legal ethics credit. Why You Should Attend As we head into the 2018 election season, developments in federal and state lobbying, campaign finance and ethics rules are making corporate compliance more challenging than ever. Led by high-level officials from the Federal Election Commission, Congressional ethics committees, state ethics agencies, corporate compliance officers, and private practitioners, this program’s ...

Hedge Fund and Private Equity Enforcement & Regulatory Developments 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend The SEC and other government agencies continue to focus enforcement and examination efforts on managers of private hedge funds and private equity funds.  This program will bring together top regulators, leading in-house legal and compliance professionals and expert outside counsel, to discuss the latest issues, trends and risks in regulatory compliance oversight.  The list of risk areas continues to grow, with examiners ...

Broker/Dealer Regulation and Enforcement 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Stay Ever Current: Subscribe today to  PLI’s blog edited by Clifford E. Kirsch. Why You Should Attend This program will address the many significant developments and trends in the regulation and oversight of broker-dealers.  As uncertainty remains around whether any major regulatory change will  be forthcoming,  the regulators are forging  ahead with their regulatory agendas and priorities.  The DOJ, SEC, CFTC, ...

Fundamentals of Swaps & Other Derivatives 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Over-the-counter (OTC) derivatives are key elements in many of our financial markets.  The Dodd-Frank Act and other regulations have changed and are continuing to change how these important instruments are regulated and transacted.  This program will introduce you to both the instruments and their current environment. A derivative is a financial instrument that allocates the risks and price exposures associated with ...

FinCEN’s Customer Due Diligence Rule – What You Need to Know Now

One-Hour Briefing  One-Hour Briefing

On May 11, 2018, a new rule implemented by Financial Crimes Enforcement Network (FinCEN) went into effect that requires U.S. financial institutions to identify certain beneficial ownership information about legal entity customers.  The rule, knowns as the Customer Due Diligence Rule (CDD Rule) applies to all new accounts as well as existing accounts in some circumstances.  Since its implementation date, some banks have taken differing approaches ...

Advanced Swaps & Other Derivatives 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend The Dodd-Frank Act established a novel, comprehensive framework for the regulation of over-the-counter (OTC) derivatives and the market participants who transact in these products.  That regulatory framework, split primarily between the SEC and CFTC, has been substantially implemented by the CFTC.  For their part, the SEC has made substantial progress and has most recently focused on finalizing the rules applicable ...

Financial Services RegTech and Regulatory Compliance Forum 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Stay Ever Current: Subscribe today to  PLI’s blog edited by Clifford E. Kirsch. Why You Should Attend Financial services firms’ corporate compliance programs continue to be under intense regulatory scrutiny and face immense challenges brought upon the FinTech revolution. Many new rules have been issued which impact the manner in which financial services firms operate. At the same time, these programs have to adapt to financial ...

Coping with U.S. Export Controls and Sanctions 2018

Program  Program

Why You Should Attend The Trump administration is making its mark on export controls and sanctions policy, and it is more important than ever for institutions in all sectors of the economy to stay on top of key developments. Companies and financial institutions must be aware of their compliance and disclosure obligations, enforcement trends and priorities, and emerging risks. Implementing and strengthening compliance programs is an increasingly important ...

Private Fund Regulatory Developments and Compliance Challenges 2019

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend PLI’s Private Fund Regulatory Developments and Compliance Challenges carries on a tradition as one of PLI’s first programs of the new year 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 2019 program ...

The SEC Speaks in 2019

Program  ProgramWebcast  Webcast

Mark Your Calendar. More Information to Come!

Investment Management Institute 2019

Program  ProgramWebcast  WebcastGroupcast  Groupcast

At this program, you will hear expert panelists discuss significant business, legal, and technological developments in the investment management area over the past year and learn about important regulatory initiatives. This program is designed for attorneys in law firms, in-house counsel, private fund lawyers, compliance officers and others involved in current issues affected by the Investment Company Act of 1940, the Investment Advisers Act of 1940, ...

Fundamentals of Broker-Dealer Regulation 2019

Program  ProgramWebcast  Webcast

Mark Your Calendar. More information to Come!


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