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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

Fundamentals of Swaps & Other Derivatives 2018	Oct. 22, 2018 New York, NY
Advanced Swaps & Other Derivatives 2018	Oct. 23 - 24, 2018 New York, NY
Financial Services RegTech and Regulatory Compliance Forum 2018	Nov. 12, 2018 New York, NY
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

View all Corporate & Securities - Enforcement Programs

Fundamentals of Swaps & Other Derivatives 2018	Oct. 22, 2018
Advanced Swaps & Other Derivatives 2018	Oct. 23 - 24, 2018
Financial Services RegTech and Regulatory Compliance Forum 2018	Nov. 12, 2018
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

View all Corporate & Securities - Enforcement Webcasts

FinCEN’s Customer Due Diligence Rule – What You Need to Know Now

Oct. 22, 2018

View all Corporate & Securities - Enforcement One-Hour Briefings

Broker/Dealer Regulation and Enforcement 2017	Oct. 18, 2017	[06:54:03]
Fundamentals of Swaps & Other Derivatives 2017	Oct. 27, 2017	[06:07:58]
Advanced Swaps & Other Derivatives 2017	Nov. 6, 2017	[12:08:32]
Financial Services Industry Regulatory Compliance Forum 2017	Nov. 15, 2017	[06:33:45]
49th Annual Institute on Securities Regulation	Dec. 3, 2017	[19:55:28]

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	Jun 5, 2018

View all Corporate & Securities - Enforcement Treatises

Dually-Registered Broker-Dealers and Advisers—Regulatory, Compliance and Enforcement 2019		Oct 17, 2018
Broker/Dealer Regulation and Enforcement 2018	Colleen P. Mahoney	Sep 28, 2018
Advanced Swaps & Other Derivatives 2018	Gary Barnett	Oct 10, 2018
Hedge Fund and Private Equity Enforcement & Regulatory Developments 2018	Barry R. Goldsmith	Sep 27, 2018

View all Corporate & Securities - Enforcement Course Handbooks

Who's Speaking?

Clifford E. Kirsch ~ Eversheds Sutherland (US) LLP
Speaking at Financial Services RegTech and Regulatory Compliance Forum 2018 Practising Law Institute Nov. 12, 2018

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PLI’s ...

Featured Program

Fundamentals of Swaps & Other Derivatives 2018

Oct. 22, 2018

Practising Law Institute - New York, NY

Why You Should Attend 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 wit... Read More

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Featured Program

Fundamentals of Swaps & Other Derivatives 2018


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