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Showing 1 - 25 of 26 Results


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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 ...

Government Investigations 2019: Investigations Arising From Data Breach and Privacy Concerns and Parallel Proceedings

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Electronic information pervades our society. Corporations and other organizations create, store, and utilize that information in all facets of business. Unfortunately, security can be breached and any breach can lead to investigations by various government agencies at the federal and State levels. Those investigations may lead to disputes about scope, variety and volume of electronic information to be produced. This program will ...

Dually-Registered Broker-Dealers and Advisers—Regulatory, Compliance and Enforcement 2019

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Stay Ever Current: Subscribe today to  PLI’s blog edited by Clifford E. Kirsch. Why You Should Attend Broker-dealers that are dually registered as investment advisers are under intense regulatory scrutiny—including an increasingly demanding examination focus from the SEC, FINRA and the states.  At the same time, the regulatory framework applying to dual-registrants is about to change dramatically with the anticipated ...

The SEC Speaks in 2019

Program  ProgramWebcast  Webcast

Why You Should At the beginning of each year, PLI presents, in cooperation with the U.S. Securities and Exchange Commission, The SEC Speaks program, which provides an essential update on the current initiatives at the Commission, as well as the priorities of the Commission for the coming year. At this unique program, you will hear remarks by the Chairman, and Commissioners, and Investor Advocate, as well as panel discussions by senior staff at the ...

Corporate Governance - A Master Class 2019

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Corporate governance provides the framework within which directors and officers must operate in fulfilling their responsibilities. In-house and outside advisers are called on to provide day-to-day counseling and to address crisis situations in the corporate governance context. Our program will both highlight the fast-moving market and legal and regulatory developments that directors, officers and their advisers face, as well ...

Eighteenth Annual Institute on Securities Regulation in Europe: Practical Implications of U.S. Law on EU Practice

Program  ProgramWebcast  Webcast

We are delighted to present PLI’s Eighteenth Annual Institute on Securities Regulation in Europe, on 14-15 March 2019 in the offices of Allen & Overy in London. With a unique focus on the application of U.S. securities law in the EU, the Institute will feature a faculty of leading practitioners, in-house counsel and government regulators from the U.S. and the UK, who will address recent developments in market activity and ...

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. Topics of discussion will include the SEC’s regulatory agenda, fund and advisers reporting regimes, and current issues of the day for alternative asset managers. You will also examine Section 36(b) cases and other recent investment ...

Global Capital Markets & the U.S. Securities Laws 2019

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend  Capital markets are adjusting to a wide range of evolving regulatory standards that affect the way in which offerings are conducted around the world. At the same time, issuers across the globe are subject to changing accounting and corporate governance standards. Issuers and market participants also face an increasingly active global enforcement environment targeting activities taking place around the world, while managing ...

Fundamentals of Broker-Dealer Regulation 2019

Program  ProgramWebcast  Webcast

Stay Ever Current: Subscribe today to  PLI’s blog edited by Clifford E. Kirsch. Mark Your Calendar. More information to Come!

Global Investment Funds 2019

Program  ProgramWebcast  Webcast

Stay Ever Current: Subscribe today to  PLI’s blog edited by Clifford E. Kirsch. Mark Your Calendar. More Information to Come!

Broker/Dealer Regulation and Enforcement 2019

Program  ProgramWebcast  Webcast

Stay Ever Current: Subscribe today to  PLI’s blog edited by Clifford E. Kirsch. Mark Your Calendar. More Information to Come!

Fundamentals of Swaps & Other Derivatives 2019

Program  ProgramWebcast  Webcast

Mark Your Calendar. More Information to Come!

Advanced Swaps & Other Derivatives 2019

Program  ProgramWebcast  Webcast

Mark Your Calendar. More Information to Come!

Insider Trading Law 2019

Program  ProgramWebcast  Webcast

Mark Your Calendar. More Information to Come!

51st Annual Institute on Securities Regulation

Program  Program

Mark Your Calendar. More Information to Come!


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