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Showing 1 - 25 of 26 Results

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Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017

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 conference 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 ...

Annual Disclosure Documents 2017: Current Developments and Best Practices

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Stay current on disclosure requirements and developments affecting annual disclosure documents and proxy soliciting materials prepared by SEC reporting companies. Hear from the SEC staff and our faculty, who will focus on anticipated changes to the SEC disclosure regime in 2017, current “hot issues,” best practices, and practical pointers. The priorities of the new administration and new chair of the SEC are expected to bring significant ...

Private Fund Regulatory Developments and Compliance Challenges 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend PLI’s Private Fund Regulatory Developments and Compliance Challenges carries on it’s 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 2018 ...

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

Program  ProgramWebcast  Webcast

We are proud to present Practising Law Institute’s Seventeenth Annual Institute on Securities Regulation in Europe, the most comprehensive securities programme available in Europe, with a unique focus on the application of U.S. securities law in the EU. The Institute will provide the important U.S. perspective relevant to UK and European practice, featuring leading practitioners active in the U.S. and Europe, as well as company management, investment ...

Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants

Program  ProgramWebcast  WebcastGroupcast  Groupcast

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 this program, attendees will be provided with expert analysis regarding today’s hot topics impacting the relevant regulatory framework, as well as practical considerations regarding the design and implementation ...

Government Investigations 2018: 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 ...

The SEC Speaks in 2018

Program  ProgramWebcast  Webcast

Mark Your Calendar. More Information to Come!

Investment Management Institute 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend 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.   What You Will Learn The SEC’s regulatory agenda under a new administration The impact of technology on investment management Liquidity management and derivatives regulation A review of new SEC staff ...

Understanding the Securities Laws 2018

Program  Program

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Fundamentals of Broker-Dealer Regulation 2018

Program  ProgramWebcast  Webcast

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Broker/Dealer Regulation and Enforcement 2018

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Mark Your Calendar. More Information to Come!

Fundamentals of Swaps & Other Derivatives 2018

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Mark Your Calendar.  More Information to Come!

50th Annual Institute on Securities Regulation

Program  Program

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Financial Services Industry Regulatory Compliance Forum 2018

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Mark Your Calendar.  More Information to Come!


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