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Showing 18 Results

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Robo-Advisers and Digital Advice: Preparing for an SEC Exam

One-Hour Briefing  One-Hour Briefing

The dramatic rise in automated investment platforms (including robo-advisers) is drastically changing the traditional landscape for registered advisers.  These services, which may be offered together in a more traditional model or as a stand-alone service, are appealing to younger generations of millennial investors by utilizing technologically-savvy online investment tools that operate seamlessly on personal devices, such as smart-phones and ...

The New Auditor’s Report – It’s Real This Year

One-Hour Briefing  One-Hour Briefing

November 28, 2017, 4:00 pm - 5:00 pm (E.T.) On June 1, 2017, after several years of work, including research and constituent feedback, the Public Company Accounting Oversight Board issued their new Audit Standard to significantly modify the Auditor’s Report.  On October 24, 2017, the SEC formally approved the new standard.  The standard will make several changes to the content and format of the auditor’s report for years ending ...

Basics of Export Controls 2017

One-Hour Briefing  One-Hour Briefing

U.S. and multinational corporations, investors and even governments are increasingly affected by the range of U.S. laws and regulations governing international trade. The Commerce Department's Bureau of Industry and Security (BIS), the State Department's Directorate of Defense Trade Controls (DDTC), and the Treasury Department's Office of Foreign Assets Control (OFAC) and Financial Crimes Enforcement Network (FinCEN) each plays an important role in ...

How to Draft, Update and Launch a Multinational’s Global Code of Conduct

One-Hour Briefing  One-Hour Briefing

In today’s compliance-obsessed environment, a multinational would be naked without a robust and user-friendly global code of conduct or ethics. But these global codes are complex. After all, they have to address many topics, they have to serve many constituencies, they have to dovetail with many various internal policies—and they have to comply with many laws across many jurisdictions.  Not surprisingly, some companies’ conduct ...

Delaware Blockchain Initiative and the Blockchain Legislation Project: Shaping the Future of Business

One-Hour Briefing  One-Hour Briefing

This briefing will focus on the key opportunities created by the Delaware Blockchain Initiative, as well as preview new technologies by the smart securities company that were the inspiration behind the Delaware Blockchain Initiative.  In addition the briefing will preview some activities of the Blockchain Legislation Project.  Please mark your calendar for a timely and lively discussion that will address:  What is the Delaware ...

Integrating Automation, Data, and Technology into Your Compliance Program

One-Hour Briefing  One-Hour Briefing

Regulators and enforcement authorities have made clear that, in order to be credible, compliance programs must integrate automation, data, and technology solutions.  Even setting aside regulators’ expectations, integrating these tools into your compliance program is critical to increasing transparency, optimizing performance and efficiency, and systematically reducing risk.  Moreover, automation, data, and technology competence are ...

Capitalizing on Changes in Patent Law

One-Hour Briefing  One-Hour Briefing

This lecture provides a strategy for the re-litigation of a patent-related issue (e.g., inequitable conduct) following a change in the law that previously governed the issue.  This presentation will focus on the renewed enforcement of patents held unenforceable prior to the en banc decision of Therasense, Inc. v. Becton, Dickinson & Co., a decision in which the Federal Circuit made substantially more difficult the burden of proving patent ...

NY Attorney General and NY Department of Financial Services: Statutory Authority and Recent Initiatives Impacting the Financial Services Industry

One-Hour Briefing  One-Hour Briefing

December 13, 2017, 3:00 p.m. - 4:00 p.m. (E.T.) In this One-Hour Briefing, we will explore the significant role New York’s Attorney General and its Department of Financial Services (DFS) play in the financial services industry and why these two state-level agencies will continue to exert significant power over the financial services industry, especially with federal oversight potentially shrinking.  Although President Trump has promised ...

Essentials of Maritime Law

One-Hour Briefing  One-Hour Briefing

90% of the world’s goods are carried in ships.  Accordingly, maritime commerce affects nearly every product bought or sold in the United States.  As the shipping industry has modernized, in addition to traditional bank finance, shipping companies have gained access to the public markets in the United States, and many shipping companies are now publicly listed here.  Further, because of the world economic crisis and downturn in ...

Fed’s TLAC Rule

One-Hour Briefing  One-Hour Briefing

In December of 2016, the Federal Reserve Board adopted final rules relating to a long-term debt, total loss absorbing capacity (TLAC), and clean holding company requirement. The rules apply to U.S. G-SIBs and for foreign banks that are G-SIBs and subject to an intermediate holding company requirement. Please join Oliver I. Ireland of Morrison & Foerster LLP for an overview.  Topics will include:  The Fed’s final rules; ...

Playing Well with Others: The Necessity of Professionalism Among Lawyers

One-Hour Briefing  One-Hour Briefing

Lawyers were once among the most trusted and well-regarded professionals in the country.  Over the last several decades, however, public opinion of the legal profession has declined.  Recent poll results show that only 18% of people rate the ethical standards of lawyers as "High" or "Very High," while 37% rate lawyers' ethical standards as "Low" or "Very low."    These statistics are troubling not only anecdotally but because ...

Request for Proposal (“RFP”) Process: Structure, Substance and Additional Considerations for Corporate and Outside Counsel

One-Hour Briefing  One-Hour Briefing

This Briefing will explore how in-house counsel can successfully master the Request for Proposal process when hiring counsel, experts, consultants, and vendors for litigation or transactions.  Our panel will guide attendees through the entire RFP process – the necessary preparation; the drafting process; best practices in analyzing information received (and following up regarding same); evaluating potential fees/expenses, required workload, ...

Helping Lawyers Look for Red Flags in Financial Statements

One-Hour Briefing  One-Hour Briefing

Understanding financial statements and their relevance in various litigations is becoming increasingly important in the aftermath of the financial crisis. It is imperative that attorneys develop a working understanding and analytical framework of accounting to strengthen their background. This one hour course is designed to give attorneys an overview of accounting standards, their relevance, and areas of the financial statements that are subject to ...

Disaster Relief Funding: FEMA Grants – Key Considerations for Contractors

One-Hour Briefing  One-Hour Briefing

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, has subsequently provided federal funds to both individuals and local and state governments to help aid their relief efforts.  As FEMA and other government agencies commit ...

Fourth Annual Form 10-K Tune-Up

One-Hour Briefing  One-Hour Briefing

As you draft your annual report on Form 10-K it is always a challenge to be sure that you effectively deal with new and emerging issues and the ever-evolving focus areas of the SEC.  Please join our SEC Institute workshop leaders D. Reed Wilson and George M. Wilson as they review the key issues to address in this year’s Form 10-K.  Topics addressed will include:  SEC focus on new accounting standards disclosures  ...

Blockchain and IP: Promoting and Protecting Innovation in Payments

One-Hour Briefing  One-Hour Briefing

Beginning with the basics of blockchain technology and IP topics ranging from patents, trade secrets, and copyrights, the One-Hour Briefing will walk through the key technical and IP components of blockchain-based payment solutions. We will also explore pragmatic IP approaches that promote innovation while allowing for widespread adoption and open usage.  Please join Jessie Cheng of Ripple Labs, Inc. and Aaron S. Kamlay of Morris & Kamlay ...

State of the Art D&O Insurance

One-Hour Briefing  One-Hour Briefing

Lawyers, whether in-house, or at a law firm, are routinely asked to review D&O insurance programs.  The request typically comes at the last minute, along an irritated insurance broker, who enthusiastically argues that appropriate changes to coverage have already been made.  In support, brokers typically provide a list of pre-approved “enhancements” to coverage.    These so-called policy enhancements, however, ...

Third Annual Dealing with MD&A Hot Topics

One-Hour Briefing  One-Hour Briefing

This One-Hour Briefing will help you effectively deal with current issues and the most challenging disclosures in MD&A.  The discussion will also include several ideas and tips to improve your MD&A and the related drafting process.   Please join our discussion leaders Gary M. Brown and George M. Wilson, both workshop leaders at SEC Institute, as they review the key issues to address in the 2017 annual MD&A and 2018 quarterly ...


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