transcript   Transcript

Liability for Securities Law Violations

Recorded on: Jul. 18, 2017
Running Time: 01:01:14

Full Transcript:



If you are a Privileged Member, just log in and start reading now! If you are not a Privileged Member, please click here to learn how unlimited access to PLI programs may be right for you and your firm.

To access the streaming media of this presentation, please purchase the corresponding seminar segment.

Taken from the Web Program Understanding the Securities Laws 2017 recorded July, 2017 in New York.

Liability for Securities Law Violations [01:01:14]
  • Securities Act
    – Sections 11, 12, 15 and 17
    – Indemnification and contribution
  • Exchange Act
    – Section 10 and Rule 10b-5
    – Insider trading and selective disclosure after Salman v. U.S.
  • “Controlling person” liability
  • Minimizing liability risk using 10b5-1 plans

Speakers: Douglas I. Koff, Joseph Salama, Aaron Schlaphoff


The purchase price of this segment includes the following article from the Course Handbook available online:

  • Liability for Securities Law Violations (Substantive Outline)
    Douglas I. Koff, Kelly Koscuiszka, Jacqueline Srour
  • Schulte Roth & Zabel LLP, Alert, Salman Spawns No Sweeping Change in Insider Trading Law (December 12, 2016)
    Douglas I. Koff
  • Joseph P. Vitale, NYDFS’ Revision of Proposed Cybersecurity Regulation for Financial Services Companies, Harvard Law School Forum on Corporate Governance and Financial Regulation (January 10, 2017)
    Douglas I. Koff
  • Michael L. Yaeger, et al., Cyber-SARS Anti-Money Laundering and Cybersecurity Rules, The Hedge Fund Journal (January 2017)
    Douglas I. Koff
  • Betty Santangelo and Melissa G.R. Goldstein, FinCEN’s Customer Due Diligence Final Rule, The Hedge Fund Journal (June 2016)
    Douglas I. Koff
  • Donald J. Mosher, et al., NYDFS Issues AML/Sanctions Programs and Annual Certification Requirements for Banks, Money Transmitters and Check Cashers, Westlaw Journal, Bank & Lender Liability, Volume 22, Issue 9 (September 19, 2016)
    Douglas I. Koff
  • Alston & Bird LLP, Private Securities Litigation Reform Act—Major Developments and Issues
    Lisa R. Bugni

Presentation Material

  • Liability for Securities Law Violations
    Douglas I. Koff, Joseph Salama, Aaron Schlaphoff
(s)
Douglas I Koff ~ Schulte Roth & Zabel LLP
Joseph Salama ~ Global Head of Litigation and Regulatory Enforcement, Deutsche Bank AG
Aaron Schlaphoff ~ Kirkland & Ellis LLP
Share
Email
Transcript FAQ's
  • How Can I Access Transcripts?
    You must be a Member in good standing.

  • Can I access the Video?
    Yes, you can access the video if you have the Adobe Flash plugin installed. Click on the video camera icon when you mouse over each paragraph. The media will begin playback at that point.

  • Can I get CLE credit for reading the transcript?
    No, CLE credit cannot be earned for reading a transcript. CLE credit is issued only for verified attendance while watching a web program. If seeking credit, please verify the program's eligibility for credit and expiration date in your jurisdiction on the web segment launch page before commencing the program.

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2017 Practising Law Institute. Continuing Legal Education since 1933.

© 2017 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.