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Corporate & Securities - Enforcement

PLI offers in-depth programs, topical briefings, and various publications in the area of Corporate & Securities - Enforcement. Explore our offerings below to select those most relevant to your practice.

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Upcoming Programs

Programs
Webcasts
SEC Institute
One-Hour Briefings
On-Demand
Interactive Learning Center

Coping with U.S. Export Controls and Sanctions 2018	Dec. 13 - 14, 2018 Washington, DC
Private Fund Regulatory Developments and Compliance Challenges 2019	Jan. 31, 2019 New York, NY
Government Investigations 2019: Investigations Arising From Data Breach and Privacy Concerns and Parallel Proceedings	Feb. 1, 2019 New York, NY
Dually Registered Broker-Dealers and Advisers—Regulatory, Compliance and Enforcement 2019	Feb. 6, 2019 New York, NY
The SEC Speaks in 2019	Feb. 21 - 22, 2019 Washington, DC

View all Corporate & Securities - Enforcement Programs

Private Fund Regulatory Developments and Compliance Challenges 2019	Jan. 31, 2019
Government Investigations 2019: Investigations Arising From Data Breach and Privacy Concerns and Parallel Proceedings	Feb. 1, 2019
Dually Registered Broker-Dealers and Advisers—Regulatory, Compliance and Enforcement 2019	Feb. 6, 2019
The SEC Speaks in 2019	Feb. 21 - 22, 2019
Corporate Governance - A Master Class 2019	Mar. 8, 2019

View all Corporate & Securities - Enforcement Webcasts

Annual Disclosure Documents 2017	Dec. 19, 2017	[12:58:40]
Private Fund Regulatory Developments and Compliance Challenges 2018	Feb. 7, 2018	[03:51:47]
Seventeenth Annual Institute on Securities Regulation in Europe: Practical Implications of U.S. Law on EU Practice	Feb. 9, 2018	[12:12:11]
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants	Feb. 14, 2018	[04:04:56]
Government Investigations 2018: Investigations Arising From Data Breach and Privacy Concerns and Parallel Proceedings	Feb. 20, 2018	[03:11:54]

View all Corporate & Securities - Enforcement On-Demand Learning

Treatises
Course Handbooks

FDA Deskbook: A Compliance and Enforcement Guide	Anne K. Walsh	Nov 14, 2018
Anti-Money Laundering Deskbook: A Practical Guide to Law and Compliance (2018) (Hardbound)	Nicole S. Healy	Nov 9, 2018

View all Corporate & Securities - Enforcement Treatises

Fundamentals of Investment Adviser Regulation 2019		Dec 5, 2018
Coping with U.S. Export Controls and Sanctions 2018	Christopher R. Wall	Dec 4, 2018
The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2019		Nov 20, 2018

View all Corporate & Securities - Enforcement Course Handbooks

Who's Speaking?

K. Susan Grafton ~ Dechert LLP
Speaking at Private Fund Regulatory Developments and Compliance Challenges 2019 Practising Law Institute Jan. 31, 2019

Why You Should Attend

PLI’s Private Fund Regulatory Developments and Compliance Challenges carries on a tradition as one of PLI’s ...

Featured Program

Coping with U.S. Export Controls and Sanctions 2018

Dec. 13 - 14, 2018

Four Seasons Hotel - Washington, DC

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 i... Read More

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Corporate & Securities - Enforcement

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Who's Speaking?

Featured Program

Coping with U.S. Export Controls and Sanctions 2018


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