On-Demand   On-Demand Web Programs

Understanding Financial Products 2018

Released on: Feb. 1, 2018
Running Time: 12:38:49

The explosion of new financial products over the past decade, the implosion of the credit markets and the resulting significant new regulatory requirements underline the importance of a basic understanding of financial products. While these instruments have been invaluable investment tools, with enormous potential for product manufacturers and investors, they also create potentially significant legal risks and challenges for their promoters, users, legal counsel and regulators. This seminar is designed as a hands-on learning tool to explain the fundamentals that you need to know when dealing with the more common financial investment products in the marketplace today.  


Lecture Topics [Total time 12:38:49]
Segments with an asterisk (*) are available only with the purchase of the entire program.


  • Opening Remarks* [00:04:28]
    Margery K. Neale, Robert S. Risoleo
  • Laying the Foundation - Financial Product Fundamentals [01:47:48]
    Lee Ann Anderson, Gary M. Brown, Robert S. Risoleo
  • Derivatives Products [01:30:13]
    Joyce A. Frost, Donna M. Parisi
  • Capital Markets Products [01:51:24]
    Lee Ann Anderson, Gary M. Brown, Kenneth L. Josselyn, Richard A. Kahn
  • Litigation Issues in Financial Products – What Can Go Wrong? [00:58:49]
    Hannah Berkowitz, Amelia A. Cottrell, Hilary M Williams
  • Securitized Products [01:14:30]
    Amanda L. Baker
  • Converts, SPACS, P/CAPS and more [01:29:20]
    Christopher M. Zochowski, James P.C. Barri, Bethany Knight
  • Mutual Funds, Closed End Funds, and ETFs [01:29:57]
    W Thomas Conner, Laurin Blumenthal Kleiman, Margery K. Neale
  • Hedge Funds and Other Private Funds [01:12:37]
    Scott J Lederman, Tram N. Nguyen, Margery K. Neale
  • Ethical Challenges [00:59:36]
    Charles F Walker

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


  • COMPLETE COURSE HANDBOOK
  • Regulatory Framework of Securities Act Registration
    Gary M. Brown
  • Securities Act Registration Exemptions
    Gary M. Brown
  • Resales of Securities Under the Securities Act
    Gary M. Brown
  • Donna M. Parisi, Geoffrey B. Goldman and Azam H. Aziz, SEC Extends Interim Final Rules Granting Exemptions for Security-Based Swaps (March 15, 2017)
    Donna M. Parisi
  • Donna M. Parisi, Geoffrey B. Goldman and Azam H. Aziz, Regulators Issue Guidance on Non-Compliance with Impending Variation Margin Requirements (March 29, 2017)
    Donna M. Parisi
  • Donna M. Parisi, Geoffrey B. Goldman and Azam H. Aziz, CFTC Provides Time-Limited No-Action Relief for Aggregation Notice Filings for Position Limits (March 29, 2017)
    Donna M. Parisi
  • Donna M. Parisi, Geoffrey B. Goldman, Azam H. Aziz and Nicholas Emguschowa, CFTC Extends and Revises Relief for Position Aggregation Requirements and Notice Filings (September 20, 2017)
    Donna M. Parisi
  • Joel Moss, Geoffrey B. Goldman and Reena Agrawal Sahni, Final Rule Issued on Qualified Financial Contracts: What You Need to Know (November 8, 2017)
    Donna M. Parisi
  • Second Treasury Report Issued: Implications for the Derivatives Market
    Donna M. Parisi
  • Introduction to Life Settlements
    Gary M. Brown
  • Supreme Court Holding that SEC Disgorgement is Subject to Five-Year Limitations Period Portends Significant Consequences for SEC, CFTC and FERC Enforcement Regimes (June 6, 2017)
    Amelia A. Cottrell
  • Kokesh v. Securities and Exchange Commission, No. 16-529, 581 U.S. ___ (2017)
  • Salman v. United States, No. 15-628, 580 U.S. ___ (2016)
  • In the Matter of Lynn Tilton, Administrative Proceeding Release No. 3-16462 (September 27, 2017)
  • Securitization of Equipment and Auto Leases
    Stuart M. Litwin
  • Real Estate Investment Trusts
    Marshall D. Feiring, Bartholomew A. Sheehan
  • Forming, Organizing and Operating a Mutual Fund: Legal and Practical Considerations
    Carla G. Teodoro, Laurin Blumenthal Kleiman
  • Distributing Mutual Funds Through Intermediaries: Practical Considerations Concerning Distribution Through Broker-Dealers, Fund Supermarkets and Retirement Plans
    Carol J. Whitesides, Laurin Blumenthal Kleiman
  • Regulation of ETFs and Other Exchange Traded Products
    W. Thomas Conner
  • Rationale for Regulation
    Scott J. Lederman
  • Hedge Funds
    Scott J Lederman
  • Appearing and Practicing Before the SEC: Ethical Considerations for Corporate Counsel
    Charles F. Walker, Katherine V. Lesker, Alexandra M. Arango, Sydney P. Sgambato

Presentation Material


  • Laying the Foundation - Financial Product Fundamentals
    Lee Ann Anderson
  • Laying the Foundation - Financial Product Fundamentals
    Gary M. Brown
  • Laying the Foundation - Financial Product Fundamentals
    Robert S. Risoleo
  • Derivatives Products
    Joyce A. Frost, Donna M. Parisi
  • Derivatives Products
    Joyce A. Frost, Donna M. Parisi
  • Capital Markets Products
    Gary M. Brown
  • Capital Markets Products
    Kenneth L. Josselyn
  • Capital Markets Products
    Richard A. Kahn
  • Securitized Products
    Amanda L. Baker
  • Converts, SPACS, and more
    James P.C. Barri, Bethany Knight
  • Converts, SPACS, and more
    Christopher M. Zochowski
  • Mutual Funds, Closed End Funds, and ETFs
    W Thomas Conner, Laurin Blumenthal Kleiman, Margery K. Neale
  • Hedge Funds and Other Private Funds
  • Ethical Challenges
    Charles F Walker
Co-Chair(s)
Margery K. Neale ~ Willkie Farr & Gallagher LLP
Robert S. Risoleo ~ Sullivan & Cromwell LLP
Speaker(s)
Lee Ann Anderson ~ Partner, Ashurst
Amanda L. Baker ~ Mayer Brown LLP
James P.C. Barri ~ Goodwin Procter LLP
Hannah Berkowitz ~ Murphy & McGonigle, P.C.
Gary M. Brown ~ Nelson Mullins Riley & Scarborough LLP
W Thomas Conner ~ Vedder Price
Amelia A. Cottrell ~ Partner, Willkie Farr & Gallagher LLP
Joyce A. Frost ~ Riverside Risk Advisors LLC
Kenneth L. Josselyn ~ Managing Director, General Counsel-Finance & Corporate, Goldman Sachs & Co. LLC
Richard A. Kahn ~ Special Counsel, Sullivan & Cromwell LLP
Laurin Blumenthal Kleiman ~ Sidley Austin LLP
Bethany Knight ~ Riverside Risk Advisors LLC
Scott J Lederman ~ Managing Director, Grosvenor Capital Management LP
Tram N. Nguyen ~ Paul Hastings LLP
Donna M. Parisi ~ Shearman & Sterling LLP
Charles F Walker ~ Skadden Arps Slate Meagher & Flom LLP
Hilary M Williams ~ Counsel, UBS Investment Bank
Christopher M. Zochowski ~ Winston & Strawn LLP
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:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

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

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.

Dubai (CLPD-DUBAI):  PLI’s on-demand web programs may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA):  Select on-demand web programs qualify as the “QAS Self-Study” delivery method. 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.

Certified Financial Planners (CFP):  PLI’s on-demand web programs are not approved for CFP credit.

 

Related Items

Handbook  Course Handbook Archive

Understanding Financial Products 2018 Margery K Neale, Willkie Farr & Gallagher LLP
Robert S Risoleo, Sullivan & Cromwell LLP
 
Share
Email

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • YouTube
  • RSS

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.