On-Demand   On-Demand Web Programs

Global Capital Markets & the U.S. Securities Laws 2017

Released on: Apr. 25, 2017
Running Time: 06:02:25

Capital markets are adjusting to a wide range of evolving regulatory standards which affect the way in which offerings are conducted around the world.  At the same time, issuers around the world are subject to changing accounting and corporate governance standards, while market participants navigate new ground in derivative product regulation.  Issuers and market participants also face an increasingly active global enforcement environment targeting activities taking place around the world.  This program will keep securities lawyers up-to-date on domestic and international regulatory and market developments, bringing together an engaging group of expert practitioners and senior regulators for an in-depth look at how the U.S. securities laws work in the context of a rapidly evolving global regulatory environment.

You will learn:

  • The latest developments with global regulatory efforts
  • Efforts to promote capital formation through private and public offerings
  • Evolving accounting, disclosure and governance standards for issuers
  • Current developments with private and public offering practices
  • Global regulation of alternative investment vehicles
  • Significant changes in global derivatives product regulation
  • Securities enforcement in an increasingly global regulatory environment

 

This program is aimed at the lawyer with practices involving securities regulation and capital markets.  It will be valuable to lawyers in law firms, financial institutions or multinational companies.  The material is advanced, so it is suitable for an experienced practitioner who needs to keep current with developments in international securities regulation.

Lecture Topics [Total time 06:02:25]

Segments with an asterisk (*) are available only with the purchase of the entire program.


  • Introduction and Opening Remarks* [00:10:47]
    Paul M. Dudek, David M. Lynn
  • Global Capital Markets Perspectives in 2017 [00:54:27]
    Annemarie Tierney, Emily S. Pierce
  • Hot Topics in Global Capital Markets [00:56:53]
    Martin P. Dunn, Nicolas Grabar, Roderick O. Branch
  • IFRS and Other Accounting Matters [01:01:17]
    Wayne E. Carnall, Patrick M. Finnegan, CFA, CPA
  • A Global Perspective on Corporate Governance [01:01:01]
    Eric W. Blanchard, Mats Isaksson, Barry Rosenfeld
  • Alternative Global Investment Vehicles and Derivatives Regulation [00:58:05]
    Alison M. Fuller, Carol McGee, Barbara A. Stettner
  • Enforcement Developments in Global Capital Offerings [00:59:55]
    Michael D. Mann, Joan E. McKown, Linda Chatman Thomsen

The purchase price of this Web Program includes the following articles from the Course Handbook available online:


  • COMPLETE COURSE HANDBOOK
  • Financial Statement Requirements in US Securities Offerings: What Non-US Issuers Need to Know
    Paul M. Dudek
  • The Latham FPI Guide: Accessing the US Capital Markets From Outside the United States, 2015 Edition
    Paul M. Dudek
  • Securities Act Rules Compliance and Disclosure Interpretations
    Paul M. Dudek
  • Defining Foreign Private Issuers: Are You a Wizard or a Muggle? (February 8, 2017)
    Paul M. Dudek
  • Congress Rolls Back SEC Resource Extraction Payments Rule (February 3, 2017)
    Nicolas Grabar
  • Non-GAAP Financial Measures: The SEC’s Evolving Views (June 13, 2016)
    Nicolas Grabar
  • Pocket Guide to IFRS Standards: The Global Financial Reporting Language
    Patrick M. Finnegan, Paul Pacter
  • Update on IFRS Adoption (February 1, 2017) (PowerPoint slides)
    Patrick M. Finnegan
  • IASB® Work Plan (January 2017)
    Patrick M. Finnegan
  • Trustees’ Review of Structure and Effectiveness: Feedback Statement on the July 2015 Request for Views (June 2016)
    Patrick M. Finnegan
  • IASB® Work Plan 2017–2021: Feedback Statement on the 2015 Agenda Consultation (November 2016)
    Patrick M. Finnegan
  • Work Plan Guide
    Patrick M. Finnegan
  • Report: 19th Extract from the EECS’s Database of Enforcement (July 27, 2016)
  • IFRS 9 Financial Instruments (July 2014)
  • IFRS 15 Revenue from Contracts with Customers 15(May 2014)
  • IFRS 16 Leases
  • The Global Financial Reporting Language (May 2016)
  • EGC Corporate Governance Practices: A Survey and Related Resources (February 2017)
    David M. Lynn
  • The SEC’s Focus on Non-GAAP Financial Measures (February 2016)
    David M. Lynn
  • The Short Field Guide to IPOS (November 2016)
    David M. Lynn
  • Repeal of Resource Extraction Disclosure Rule (February 21, 2017)
    Scott Lesmes, David M. Lynn
  • FCPA 2016 Year in Review (January 2017)
    Joan E. McKown
  • SEC Enforcement in Financial Reporting and Disclosure—2016 Year in Review (January 2017)
    Joan E. McKown
  • 2016 DOJ and SEC FCPA Resolution Tracker
    Linda Chatman Thomsen
  • White Collar Update: Rolls-Royce Reaches Global $800 Million Resolution in Bribery Scheme (January 25, 2017)
    Linda Chatman Thomsen

Presentation Material


  • IFRS and Other Accounting Matters
    Wayne Carnall
  • A Global Perspective on Corporate Governance
    Mats Isaksson
  • Alternative Global Investment Vehicles and Derivatives Regulation
    Alison M. Fuller
  • Alternative Global Investment Vehicles and Derivatives Regulation
    Barbara A. Stettner
  • Alternative Global Investment Vehicles and Derivatives Regulation
    Barbara A. Stettner
Co-Chair(s)
Paul M. Dudek ~ Latham & Watkins LLP
David M. Lynn ~ Jenner & Block LLP
Speaker(s)
Eric W. Blanchard ~ Covington & Burling LLP
Roderick O. Branch ~ Partner, Latham & Watkins LLP
Wayne E. Carnall ~ Partner, National Professional Services Group, PwC
Martin P. Dunn ~ Morrison & Foerster LLP
Patrick M. Finnegan, CFA, CPA ~ Senior Director, Fitch Ratings
Alison M. Fuller ~ Stradley Ronon Stevens & Young LLP
Nicolas Grabar ~ Cleary Gottlieb Steen & Hamilton LLP
Mats Isaksson ~ Organisation for Economic Co-operation and Development (OECD)
Michael D. Mann ~ Richards Kibbe & Orbe LLP
Carol McGee ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Joan E. McKown ~ Jones Day
Emily S. Pierce ~ Branch Chief, Regulatory Policy, US Securities and Exchange Commission
Barry Rosenfeld ~ Vice President & General Counsel, Novartis Finance Corporation
Barbara A. Stettner ~ Allen & Overy LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Annemarie Tierney ~ Vice President, Head of Strategy and New Markets, Nasdaq Private Market
General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

PLI’s live and on-demand webcasts are single-user license products intended for an individual registrant only. Credit will be issued only to the individual registered.


U.S. MCLE States

Alabama:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s on-demand web programs qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s on-demand web programs are not approved for Arkansas CLE credit.

California:  PLI’s on-demand web programs qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s on-demand web programs qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period, no more than 6 of which may be audio-only.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s on-demand web programs qualify as “in-house” credit. Attorneys are limited to 6 in-house credits per reporting period.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s on-demand web programs qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period.

Iowa:  PLI’s on-demand web programs qualify as “unmoderated” credit. Attorneys are limited to 6 credits of unmoderated programs per reporting period.

Kansas:  PLI’s on-demand web programs qualify as “prerecorded” credit. Attorneys are limited to 6 credits of prerecorded programs per reporting period.

Kentucky:  PLI’s on-demand web programs qualify as “non-live” credit. Attorneys are limited to 6 non-live credits per reporting period.

Louisiana:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

Maine:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5.5 credits of self-study per reporting period.

Minnesota:  PLI’s on-demand web programs qualify as “on-demand” credit. Attorneys are limited to 15 on-demand credits per reporting period.

Mississippi:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.

Montana:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5 credits of self-study per reporting period.

Nebraska:  PLI’s on-demand web programs qualify as “computer-based learning” credit. Attorneys are limited to 5 credits of computer-based learning per reporting period.

Nevada:  PLI’s on-demand web programs qualify as “self-study” credit. There is no limit to the number of credits an attorney can earn via self-study programs.

New Hampshire:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.

New Jersey:  PLI’s on-demand web programs qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional on-demand web programs can be used to fulfill the requirements for New York newly admitted attorneys. Only professional practice and law practice management credits may be earned via transitional on-demand web programs. Ethics and skills credits may not be earned via on-demand web programs.

North Carolina:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

North Dakota:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

Ohio:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Oklahoma:  PLI’s on-demand web programs qualify as “online, on-demand” credit. Attorneys are limited to 6 credits of online, on-demand programs per reporting period.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Puerto Rico:  PLI’s on-demand web programs qualify as “non-traditional” credit. Attorneys are limited to 8 credits of non-traditional programs per reporting period.

Rhode Island:  PLI’s on-demand web programs qualify as “on-demand” credit. Attorneys are limited to 3 on-demand credits per reporting period.

South Carolina:  PLI’s on-demand web programs qualify as “alternatively delivered” credit. Attorneys are limited to 6 credits of alternatively delivered programs per reporting period.

Tennessee:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 8 credits of distance learning per reporting period.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 10 credits of self-study per reporting period.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s on-demand web programs qualify as “pre-recorded” credit. Attorneys are limited to 8 credits of pre-recorded programs per reporting period.

Washington:  PLI’s on-demand web programs qualify as “A/V” credit. Attorneys are limited to 22.5 credits of A/V programs per reporting period.

West Virginia:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  PLI’s on-demand web programs qualify as “repeated, on-demand” credit. Attorneys are limited to 15 credits of repeated, on-demand programs per reporting period. No ethics credits can be earned via on-demand web programs.

Wyoming:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s on-demand web programs are not eligible for CPD-BC credit unless viewed with at least one other attorney or an articled student. In this case, the credit must be recorded as a “study group.”

Ontario (CPD-ON):  PLI’s on-demand web programs qualify as “recorded” credit. If viewed without a colleague, attorneys are limited to 6 credits of recorded programs per year. If viewed with at least one colleague, there is no limit to the number of credits that can be earned via recorded programs.

Quebec (CPD-QC):  PLI’s on-demand web programs can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s on-demand web programs are not approved for CPD-HK credit.

United Kingdom (CPD-UK):  PLI’s on-demand web programs can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s on-demand web programs may fulfill Australia’s CPD requirements. Credit limits for on-demand web programs vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  Select on-demand web programs qualify as “QAS Self-Study” credit. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  PLI’s on-demand web programs may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s on-demand web programs may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s on-demand web programs may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s on-demand web programs may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s on-demand web programs qualify as "self-paced" credit. SHRM professionals are limited to 30 credits of self-paced programs per recertification period.

Compliance Certification Board (CCB):  PLI’s on-demand web programs qualify as “self-study” credit. Candidates are limited to 10 self-study credits per 12-month period, and certification holders are limited to 20 self-study credits per 2-year renewal period.

Certified Anti-Money Laundering Specialists Certification (CAMS):  PLI’s on-demand web programs are not approved for CAMS credit.

New York State Social Worker Continuing Education (SW CPE):  PLI’s on-demand web programs are not approved for SW CPE credit.

American Bankers Association Professional Certification (ABA):  PLI’s on-demand web programs may fulfill ABA credit requirements.

 

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