Course Handbook  Course Handbook

Financial Services Industry Regulatory Compliance & Ethics Forum 2016

Publication Date: November 2016 Number of Volumes: 1
ISBN Number: 9781402427879 Page Count: 382 pages

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Download: Table of Contents    Index

Table of Contents
Chapter 1: U.S. Securities and Exchange Commission Speech: “The SEC’s Whistleblower Program: The Successful Early Years” by Andrew Ceresney, Director, Division of Enforcement at the Sixteenth Annual Taxpayers Against Fraud Conference, Washington, D.C. (September 14, 2016) Clifford E Kirsch ~ Sutherland Asbill & Brennan LLP
Chapter 2: U.S. Securities and Exchange Commission Speech: “Securities Enforcement Forum West 2016 Keynote Address: Private Equity Enforcement” by Andrew Ceresney, Director, Division of Enforcement at the Securities Enforcement Forum West, San Francisco, California (May 12, 2016) Clifford E Kirsch ~ Sutherland Asbill & Brennan LLP
Chapter 3: Corporate Compliance Programs, Chapter 11 from Corporate Legal Departments, a PLI Treatise Carole L Basri ~ President, Corporate Lawyering Group LLC, Adjunct Professor, Fordham Law School, Corporate Compliance Advisor and Visiting Professor, Peking University, School of Transnational Law, Corporate Lawyering Group LLC
Irving Kagan ~ Kagan Consultants
Chapter 4: Practising Law Institute, Corporate Law and Practice, Course Handbook Series, Ethics in Context: July 2016, Chapter 2: Ethics and In-House Counsel (July 2016) Carole L Basri ~ President, Corporate Lawyering Group LLC, Adjunct Professor, Fordham Law School, Corporate Compliance Advisor and Visiting Professor, Peking University, School of Transnational Law, Corporate Lawyering Group LLC
Chapter 5: International Attorney-Client Privilege, Chapter 2 from International Corporate Practice, a PLI Treatise Carole L Basri ~ President, Corporate Lawyering Group LLC, Adjunct Professor, Fordham Law School, Corporate Compliance Advisor and Visiting Professor, Peking University, School of Transnational Law, Corporate Lawyering Group LLC
Isabel C Franco ~ KLA-Koury Lopes Advogados
Chapter 6: Beginning with the End in Mind: Planning for a Purpose-Built, Cost-Effective Risk Assessment, Chapter 35 from Corporate Law and Practice, a PLI Treatise Clifford E Kirsch ~ Sutherland Asbill & Brennan LLP
Scott Killingsworth ~ Bryan Cave LLP
Chapter 7: Compliance Challenges: Regulation SCI, Fintech, Information Technology and Cybersecurity (September 14, 2016) James R Burns ~ Willkie Farr & Gallagher LLP
Peter D Santori ~ Chicago Stock Exchange
Chapter 8: With Great Power, Comes Great Responsibility… and (Possibly) Liability (September 2016) Brian L Rubin ~ Sutherland Asbill & Brennan LLP
Rebekah R Runyon ~ Sutherland Asbill & Brennan LLP
Chapter 9: RSCR: An Analysis of Current Laws and Regulations Affecting the Securities and Futures Industries: Swap Dealer Chief Compliance Officer Requirements—Recent Developments; Vol. 49, No. 4 (February 24, 2016) Gail C Bernstein ~ WilmerHale
Dan M Berkovitz ~ WilmerHale LLP
Chapter 10: Dodd-Frank Implementation Update: Key Differences Between the CFTC and SEC Final Business Conduct Standards and Related Cross-Border Requirements (May 26, 2016) Gail C Bernstein ~ WilmerHale
Dan M Berkovitz ~ WilmerHale LLP
Paul M Architzel ~ WilmerHale LLP
Seth Davis ~ WilmerHale
Ted Serafini ~ WilmerHale
Chapter 11: DOL Fiduciary Rule: Designating a Conflicts Officer or Conflicts Committee Maria Gattuso ~ Deloitte & Touche LLP
Chapter 12: The Final Rule: DOL’s Expanded Definition of Investment Advice Fiduciary Under ERISA and Revised Complex of Exemptions: Analysis and Critical Issues Clifford E Kirsch ~ Sutherland Asbill & Brennan LLP
Chapter 13: Laying the Foundation: The Regulatory Landscape Savaria B Harris ~ Senior Counsel, Regulatory Law, Johnson & Johnson
Index

This Course Handbook was compiled for the program, Financial Services Industry Regulatory Compliance Ethics Forum 2016.

PLI’s nationally acclaimed course handbooks represent the definitive thinking of the nation’s finest legal minds on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Chairperson(s)
Clifford E Kirsch, Sutherland Asbill & Brennan LLP
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