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New Developments in Securitization 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: New Developments in Securitization 2017

Released on: Dec. 20, 2017

The securitization market continues to develop and innovate, while also being subject to new regulations. Traditional asset-backed securities (ABS) markets, including auto securitizations, commercial mortgage-backed securities (CMBS) and credit card receivables continue with steady issuance volumes. New markets, such as marketplace lending, continue to be developed. Other markets, such as private-label residential mortgage-backed securities (RMBS), ...

ERISA Plans in the Financial Markets 2018

On-Demand Web Programs  On-Demand Web Programs    

From the program: ERISA Plan Investments in Financial Markets 2018: The Fundamentals

Released on: Mar. 23, 2018

ERISA plans are major investors in a constantly evolving financial marketplace. Both financial firms designing and selling financial products and plans purchasing financial products need to understand the inner workings of the products in order to analyze them under ERISA and ensure compliance. This course provides an in-depth look at the nuts and bolts of various financial instruments and investment vehicles and the ERISA issues that arise in connection ...

Global Capital Markets & the U.S. Securities Laws 2018

On-Demand Web Programs  On-Demand Web Programs    

From the program: Global Capital Markets & the U.S. Securities Laws 2018

Released on: Apr. 25, 2018

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Global Capital Markets & the U.S. Securities Laws 2018 has been approved for 7.25 CSOP credits. This statement should not be viewed as an endorsement of this program or its sponsor. Capital markets are adjusting to a wide range of evolving regulatory standards that affect the way in which offerings are conducted around the world. ...

Investment Management Institute 2018

On-Demand Web Programs  On-Demand Web Programs    

From the program: Investment Management Institute 2018

Released on: May. 7, 2018

This program also offers credit for ABA professional certification. Investment Management Institute 2018 has been approved for 9.50 CSOP, 9.50 CTFA credits. This statement should not be viewed as an endorsement of this program or its sponsor. Special Feature Earn one hour of Ethics credit Lecture Topics [Total time 08:07:56] Segments with an asterisk (*) are available only with the purchase of the entire program. Opening Remarks* [00:07:16]  ...

Basics of Mutual Funds and Other Registered Investment Companies 2018

On-Demand Web Programs  On-Demand Web Programs    

From the program: Basics of Mutual Funds and Other Registered Investment Companies 2018

Released on: May. 21, 2018

This program is designed to provide attendees with a basic overview of the legal, regulatory and operational issues affecting “registered investment companies” – the universe of publicly offered pooled investment vehicles that include mutual funds, closed-end funds, exchange-traded funds (“ETFs”) and others.  Attendees will learn the fundamentals of the extensive regulatory framework that dictates the structure ...

Pension Plan Investments 2018: Current Perspectives

On-Demand Web Programs  On-Demand Web Programs    

From the program: Pension Plan Investments 2018: Current Perspectives

Released on: May. 22, 2018

Experienced practitioners in the area of pension investment law, together with senior representatives of the Department of Labor, will give their perspectives, and illuminate issues, on current topics and recent developments. Continued statutory, regulatory and market changes ensure a full agenda of new developments to be debated and analyzed by the panelists. The Dodd-Frank financial reform legislation brought a new regulatory structure for pension ...

Fundamentals of Investment Adviser Regulation 2018

On-Demand Web Programs  On-Demand Web Programs    

From the program: Fundamentals of Investment Adviser Regulation 2018

Released on: Jul. 2, 2018

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Fundamentals of Investment Adviser Regulation 2018 has been approved for 7.5 CTFA credits. This statement should not be viewed as an endorsement of this program or its sponsor. Stay Ever Current: Subscribe today to PLI’s blog edited by Clifford E. Kirsch. Over the past few years, the SEC has put the regulation of investment ...

Nineteenth Annual Private Equity Forum

On-Demand Web Programs  On-Demand Web Programs    

From the program: Nineteenth Annual Private Equity Forum

Released on: Jul. 24, 2018

At this program, a distinguished panel of experts will discuss the basics and hot topics of the private equity fund practice.  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, current regulatory and compliance hot buttons, current issues in negotiating the terms of private equity funds, GP-led fund restructurings, sponsor stake ...

Fundamentals of Broker-Dealer Regulation 2018

On-Demand Web Programs  On-Demand Web Programs    

From the program: Fundamentals of Broker-Dealer Regulation 2018

Released on: Jul. 30, 2018

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Fundamentals of Broker-Dealer Regulation 2018 has been approved for 8 CRCM, 8 CSOP, 8 CTFA credits. This statement should not be viewed as an endorsement of this program or its sponsor. Stay Ever Current: Subscribe today to , PLI’s new blog edited by Clifford E. Kirsch. Major changes in the broker-dealer industry and regulatory ...

Securities Filings 2018: Practical Guidance in a Changing Environment

On-Demand Web Programs  On-Demand Web Programs    

From the program: Securities Filings 2018: Practical Guidance in a Changing Environment

Released on: Aug. 24, 2018

This popular two-day 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 ...

Securities Law and Practice 2018: How the SEC Works

On-Demand Web Programs  On-Demand Web Programs    

From the program: Securities Law and Practice 2018: How the SEC Works

Released on: Oct. 29, 2018

Securities lawyers need to have a firm grasp of not only the federal securities laws, but also how the SEC works to administer these laws. In this program, you will be given an introduction to the federal securities laws as well as the operating divisions at the SEC that administer the laws. You will be provided with what you need to know about how the SEC administers the securities laws — and the other agencies that the SEC interacts with on ...

Fundamentals of Swaps & Other Derivatives 2018

On-Demand Web Programs  On-Demand Web Programs    

From the program: Fundamentals of Swaps & Other Derivatives 2018

Released on: Oct. 29, 2018

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 a designated reference asset or ...

Advanced Swaps & Other Derivatives 2018

On-Demand Web Programs  On-Demand Web Programs    

From the program: Advanced Swaps & Other Derivatives 2018

Released on: Oct. 31, 2018

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 to security-based swap dealers and ...

Hedge Fund Management 2018

On-Demand Web Programs  On-Demand Web Programs    

From the program: Hedge Fund Management 2018

Released on: Nov. 23, 2018

At this program, our expert faculty will focus on common structures for hedge funds, SEC priorities, the regulatory environment surrounding hedge funds, and the day-to-day operational issues of running hedge funds.   There will also be in depth analysis of data privacy issues and the evolving cryptocurrency space.  Attorneys, hedge fund counsel, compliance and other professionals currently working in or interested in the hedge fund ...

New Developments in Securitization 2018

On-Demand Web Programs  On-Demand Web Programs    

From the program: New Developments in Securitization 2018

Released on: Dec. 19, 2018

Traditional asset-backed securities markets, such as auto securitizations, commercial mortgage-backed securities, and credit card receivables continue with steady issuance volumes, while new markets, such marketplace lending, continue to develop. Other markets, such as private-label residential mortgage-backed securities, remain below historic levels, but show signs of increased activity. Join our expert faculty as they discuss key developments in ...

Applying ERISA Fiduciary Rules to Health Plans, Services and Products 2019

On-Demand Web Programs  On-Demand Web Programs    

From the program: Applying ERISA Fiduciary Rules to Health Plans, Services and Products 2019

Released on: Jan. 22, 2019

ERISA applies to health and welfare plans as well as to retirement plans.  However, since its enactment, the predominant focus of ERISA related regulatory activity, plan sponsor compliance and litigation has been on retirement plans.  The period following the enactment of the Affordable Care Act has seen a growth in awareness of ERISA: (i) health plan related compliance requirements; as well as (ii) fiduciary provisions, and liability for ...

Understanding Financial Products 2019

On-Demand Web Programs  On-Demand Web Programs    

From the program: Understanding Financial Products 2019

Released on: Jan. 31, 2019

The explosion of new financial products over the past decade like the emergence of cryptocurrencies, the implosion of the credit markets and the resulting significant regulatory requirements underline the importance of a basic understanding of financial products. While these instruments have been invaluable investment tools, with enormous potential for product manufacturers and investors, they also create potentially significant legal risks and challenges ...


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