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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.

See detailed information on:

Upcoming Programs

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

Internal Investigations 2018	Jun. 22, 2018 New York, NY
Fundamentals of Investment Adviser Regulation 2018	Jun. 25, 2018 New York, NY
Understanding the Securities Laws 2018	Jul. 19 - 20, 2018 New York, NY
Fundamentals of Broker-Dealer Regulation 2018	Jul. 23, 2018 New York, NY
Corporate Political Activities 2018: Complying with Campaign Finance, Lobbying and Ethics Laws	Sep. 6 - 7, 2018 Washington, DC

View all Corporate & Securities - Enforcement Programs

Fundamentals of Investment Adviser Regulation 2018	Jun. 25, 2018
Fundamentals of Broker-Dealer Regulation 2018	Jul. 23, 2018
Insider Trading Law 2018	Sep. 20, 2018
Corporate Political Activities 2018: Complying with Campaign Finance, Lobbying and	Oct. 4 - 5, 2018
Hedge and Private Fund Enforcement & Regulatory Developments 2018	Oct. 9, 2018

View all Corporate & Securities - Enforcement Webcasts

Spoofing Enforcement – Recent Developments

Jun. 28, 2018

View all Corporate & Securities - Enforcement One-Hour Briefings

Internal Investigations 2017	Jun. 26, 2017	[05:59:16]
Fundamentals of Investment Adviser Regulation 2017	Jun. 29, 2017	[06:32:34]
Understanding the Securities Laws 2017	Jul. 19, 2017	[12:30:52]
Fundamentals of Broker-Dealer Regulation 2017	Jul. 25, 2017	[06:42:47]
Insider Trading Law 2017	Jul. 28, 2017	[03:13:51]

View all Corporate & Securities - Enforcement On-Demand Learning

Treatises
Course Handbooks

Anti-Money Laundering Deskbook: A Practical Guide to Law and Compliance (Looseleaf)	Nicole S Healy	May 31, 2018
Sinclair on Federal Civil Practice (Fifth Edition)	Kent Sinclair	Mar 30, 2018

View all Corporate & Securities - Enforcement Treatises

Fundamentals of Investment Adviser Regulation 2018	Clifford E Kirsch	Jun 13, 2018
Financial Services Industry Regulatory Compliance Forum 2017	Clifford E Kirsch	Jun 5, 2018
Anti-Money Laundering 2018: Risks, Due Diligence and Compliance in an Evolving Legal and Technological World	Nicole S Healy	May 30, 2018

View all Corporate & Securities - Enforcement Course Handbooks

Who's Speaking?

Clifford E. Kirsch ~ Eversheds Sutherland (US) LLP
Speaking at Fundamentals of Broker-Dealer Regulation 2018 Practising Law Institute Jul. 23, 2018

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Fundamentals

...

N. Adele Hogan ~ Baker Tilly Virchow Krause, LLP
Speaking at Understanding the Securities Laws 2018 Practising Law Institute Jul. 19 - 20, 2018

Why You Should Attend

Whether you are new to the field or seeking a quick refresher or an update, this is the securities law ...

Featured Program

Internal Investigations 2018

Jun. 22, 2018

Practising Law Institute - New York, NY

Why You Should Attend From commencement to conclusion, lawyers face numerous issues when conducting an internal investigation. Allegations by a whistleblower, ethical dilemmas, and managing the costs of an investigation are just some of the challenges that may arise. Companies and their counsel must anticipate potential risks and quickly resolve all issues that arise before, during, and after the investigation. At this program, an expert faculty ... Read More

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Corporate & Securities - Enforcement

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Internal Investigations 2018


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