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Foreign Account Tax Compliance Act 2017: What Financial Institutions and Withholding Agents Need to Know Now

MP3 Audio  Audio Download (MP3)    On-Demand Web Briefing  On-Demand One-Hour Briefing    

Recorded on: Mar. 7, 2017

CPE credit (NASBA QAS Self-Study) is available by completing and passing the program’s CPE Review & Exam. Lecture Topics [01:07:54] Upon the successful completion of this program, the participant will be able to: Recall the implementation and present status of the Foreign Account Tax Compliance Act (FATCA). Recognize key provisions contained in the final and temporary regulations issued under Internal Revenue Code (IRC) §§1471-1474 ...

Foreign Account Tax Compliance Act 2017: What Financial Institutions and Withholding Agents Need to Know Now

Transcripts  Transcripts    

Recorded on: Mar. 9, 2017

AMY TAUB: Hello. My name is Amy Taub. And I'm a program attorney with PLI, a nonprofit learning organization dedicated to keeping attorneys and other professionals at the forefront of knowledge and expertise, as well as preparing them to fulfill their pro bono responsibilities. I'd like to welcome you to today's briefing; "Foreign Account Tax Compliance Act 2017, What Financial Institutions and Withholding Agents Need to Know Now." Before we begin, ...

Accessing the U.S. Capital Markets from Europe Without SEC Registration: Understanding the Interplay Between Different Regulatory Regimes and Market Practice

MP3 Audio  Audio Download (MP3)    On-Demand Web Briefing  On-Demand One-Hour Briefing    

Recorded on: Sep. 25, 2017

Taken from the briefing Accessing the U.S. Capital Markets from Europe without SEC Registration: Understanding the Interplay between Different Regulatory Regimes and Market Practice recorded September 2017 in New York. London-based Paul, Weiss, Rifkind, Wharton & Garrison LLP partner Mark S. Bergman will provide an overview of the issues U.S. securities counsel should be aware of when representing European issuers, which are not SEC reporting ...

Shadow-Boxing in 2017: An Update on Shadow Banking Reform

MP3 Audio  Audio Download (MP3)    On-Demand Web Briefing  On-Demand One-Hour Briefing    

Recorded on: Sep. 26, 2017

Taken from the briefing Shadow-Boxing in 2017: An Update on Shadow Banking Reform recorded September 2017 in New York. The Financial Stability Board has been spearheading a review of “shadow banking” entities and activities since the onset of the financial crisis. Pursuant to the FSB’s work, many regulatory reforms have been introduced at both the national and international level in a wide-range of different areas. At the recent ...

Shadow-Boxing in 2017: An Update on Shadow Banking Reform

Transcripts  Transcripts    

Recorded on: Sep. 26, 2017

AMY TAUB: Hello, my name is Amy Taum, and I'm a Program Attorney with PLI, a nonprofit learning organization. I would like to welcome you to today's briefing, "Shadow-boxing in 2017. An Update on Shadow Banking Reform." Before I begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to materials for this briefing ...

Accessing the U.S. Capital Markets from Europe Without SEC Registration: Understanding the Interplay Between Different Regulatory Regimes and Market Practice

Transcripts  Transcripts    

Recorded on: Sep. 26, 2017

AMY TAUB: Hello. My name is Amy Taub. And I'm a program attorney with PLI, a nonprofit learning organization. I would like to welcome you to today's briefing-- accessing the US capital markets from Europe without SEC registration, understanding the interplay between different regulatory regimes and market practice. Before I begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions ...

FASB’s New Financial Instrument Impairment (CECL) Standard

SEC Institute MP3 Seminar  SEC Institute MP3 Seminar    SECI OD Briefing  SECI On-Demand OHB    

Recorded on: Sep. 28, 2017

Taken from the briefing FASB’s New Financial Instrument Impairment (CECL) Standard recorded September 2017 in New York. This One-Hour Briefing will help you build an understanding of the underlying principles, processes and implementation challenges in the FASB’s new financial instrument impairment standard. The standard’s current expected credit loss (or CECL) model requires complex new judgments and estimates. This new approach ...

Planning for Financings in Volatile Markets

MP3 Audio  Audio Download (MP3)    On-Demand Web Briefing  On-Demand One-Hour Briefing    

Recorded on: Oct. 3, 2017

Taken from the briefing Planning for Financings in Volatile Markets recorded October 2017 in New York. The session will focus on the need for already public companies, both domestic and foreign, to plan their capital-raising strategy carefully while preserving flexibility. Lecture Topics [01:05:26] Listen to Anna T. Pinedo and James R. Tanenbaum of Morrison & Foerster LLP as they address: Current market conditions; Financing ...

FASB’s New Financial Instrument Impairment (CECL) Standard

Transcripts  Transcripts    

Recorded on: Oct. 3, 2017

AMY TAUB: It is now my pleasure to turn this briefing over to George Wilson. GEORGE M. WILSON: Thank you very much, Amy. And Lou and I would both like to thank everybody for listening in to the program today as we explore the magic of CECL. Now Lou, as we advance to slide number 2 here, Lou, you actually worked at the FASB for a while. What's your perspective on how this whole new approach came about, and how it evolved with the FASB and the IASB? LOUIS ...

Planning for Financings in Volatile Markets

Transcripts  Transcripts    

Recorded on: Oct. 4, 2017

AMY TAUB: Thank you. Hello, my name is Amy Taub. And I'm a program attorney with PLI, a nonprofit learning organization. I would like to welcome you to today's briefing, Planning for Financings in Volatile Markets. Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to material for this briefing ...

Commodity Exchange Act Basics for Lawyers

MP3 Audio  Audio Download (MP3)    On-Demand Web Briefing  On-Demand One-Hour Briefing    

Recorded on: Oct. 10, 2017

Taken from the briefing Commodity Exchange Act Basics for Lawyers recorded October 2017 in New York. This One-Hour Briefing provides all the basics a lawyer needs to be conversant in and familiar with the Commodity Exchange Act and the regulatory framework for futures, commodity options, swaps, and retail foreign exchange. Lecture Topics [01:05:37] Listen to Julian E. Hammar of Morrison & Foerster LLP and Gary Kalbaugh of ING Financial ...

Commodity Exchange Act Basics for Lawyers

Transcripts  Transcripts    

Recorded on: Oct. 11, 2017

AMY TAUB: It is now my pleasure to turn this briefing over to Julian Hammar. JULIAN HAMMAR: Thanks, Amy. Today we are going to talk about Commodity Exchange Act basics for lawyers. We thought of this course as a basic overview of the Commodity Exchange Act and what it is. The first thing we're going to talk about is what is the Commodity Exchange Act. Then we'll talk a little bit about the agency that administers it-- the CFTC, the Commodity Futures ...

Leveraged Finance – Commitment Papers Basics and Best Practices

MP3 Audio  Audio Download (MP3)    On-Demand Web Briefing  On-Demand One-Hour Briefing    

Recorded on: Oct. 18, 2017

Taken from the briefing Leveraged Finance – Commitment Papers Basics and Best Practices recorded October 2017 in New York. This One-Hour Briefing will provide lawyers with an understanding of the mechanics of commitment papers in leveraged acquisitions. Lecture Topics [01:02:49] Listen to Katarina Molnarova and Scott B. Selinger of Debevoise & Plimpton LLP as they discuss: An overview of commitment letters, fee letters ...

Leveraged Finance – Commitment Papers Basics and Best Practices

Transcripts  Transcripts    

Recorded on: Oct. 20, 2017

AMY TAUB: It is now my pleasure to turn this briefing over to Scott Selinger. SCOTT SELINGER: Thank you, Amy. Good afternoon to everybody. Today we are going to be talking about commitment letters, with a particular focus on their interplay with an acquisition financing context. A brief note about mine and Kat's practice before we get started so that folks understand the perspective we come to this topic from, we are going to approach it, try to ...

International Sanctions Law – Russia, Cuba, Iran and North Korea – Recent Developments from a U.S. and EU Perspective

MP3 Audio  Audio Download (MP3)    On-Demand Web Briefing  On-Demand One-Hour Briefing    

Recorded on: Nov. 1, 2017

Taken from the briefing International Sanctions Law – Russia, Cuba, Iran and North Korea – Recent Developments recorded November 2017 in New York. With rapid-fire developments occurring on the international scene, sanctions laws have been quickly developing tensions between the United States, Russia, Iran and North Korea and have created a risky and rapidly changing sanctions arena. In addition, similar developments have been occurring ...

International Sanctions Law – Russia, Cuba, Iran and North Korea – Recent Developments

Transcripts  Transcripts    

Recorded on: Nov. 3, 2017

AMY TAUB: Thank you. Hello. My name is Amy Taub and I'm a program attorney with PLI, a nonprofit learning organization. I would like to welcome you to today's briefing, International Sanctions Law-- Russia, Cuba, Iran, and North Korea, Recent Developments From a US and EU Perspective. Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. ...

Financial Services Industry Regulatory Compliance Forum 2017

On-Demand Web Programs  On-Demand Web Programs    Web Segment  Web Segment    MP3 Audio  Audio Download (MP3)    MP4 - Mobile Video Seg  Video Download (MP4)    

From the program: Financial Services Industry Regulatory Compliance Forum 2017

Released on: Nov. 15, 2017

In addition to the credits listed , this program also offers credit for ABA professional certification. Financial Services Industry Regulatory Compliance Forum 2017 has been approved for 8.25 CRCM credits. This statement should not be viewed as an endorsement of this program or its sponsor. Financial services firms’ corporate compliance and ethics programs continue to be under intense regulatory scrutiny. Many new rules have been issued which ...

The Financial Services Industry: Laying the Foundation

Transcripts  Transcripts    

Recorded on: Nov. 13, 2017

CLIFFORD KIRSCH: Couldn't ask for a better person to follow those remarks and be here for giving us the foundation-- Carole Basri. Carole is the corporate compliance-- she has a rich bio that you should read, so I'm going to mention a couple of things-- Carole is the Corporate Compliance Program Advisor at Fordham University Law School. She's also an Adjunct Professor at Fordham University Law School, a Visiting Professor at Peking University School ...

Compliance and Legal Challenges Regarding Fintech

Transcripts  Transcripts    

Recorded on: Nov. 13, 2017

JAMES BURNS: Thanks very much. Welcome back to the program today. My name is Jim Burns. I'm a partner at the firm of Willkie Farr &Gallagher. And I am a former SEC official. I was the deputy director of trading and markets for about three years until about two years ago, working on market structure issues. And prior to that, I was the deputy chief of staff under chairman Shapiro. So a lot of the things that we're going to be talking about over the ...

The Role of Data and Other Elements in Assessing Risk: A Regulatory Perspective

Transcripts  Transcripts    

Recorded on: Nov. 13, 2017

CLIFFORD KIRSCH: Welcome back. And welcome to our next panel. With the emergence of data analytics and its application to regulation, I wanted to add to the program a panel looking at data analytics from a regulatory perspective. And I'm very, very pleased to introduce Scott Bauguess and Carlo di Florio and Scott Kirwin. Scott Bauguess is the Deputy Chief Economist at the SEC and Deputy Director of the SEC's DERA office, which is the Division of ...

Approaching Conflicts in Financial Services Firms

Transcripts  Transcripts    

Recorded on: Nov. 13, 2017

CLIFFORD E. KIRSCH: Great. Well, thank you and welcome back. Our next session is dealing with conflicts, and it's looking at, in a comprehensive manner, how we think about, approach, and deal with conflicts. And I'm very pleased to welcome back Scott Kirwin. Scott, just to remind you, is vice president and associate general counsel, Brokerage and Wealth Management at Fidelity Investments. And I'm also pleased to welcome Scott Weinstein. Scott is ...

Compliance and Legal Supervisory Liability in Financial Services

Transcripts  Transcripts    

Recorded on: Nov. 13, 2017

BRIAN RUBIN: Good afternoon. I am Brian Rubin, a partner with Sutherland. And for the folks here-- we have some quiz questions for the folks everywhere-- but for the folks here, we have some water bottles from Eversheds Sutherland. So if you get the correct answer, afterwards you can come back, and I'll give you your excellent water bottle. And I'm a partner of Cliff Kirsch. Jeanine, why don't you introduce yourself. JEANINE GIRALDO MCHUGH: Sure. ...

Providing Legal Assistance in the Aftermath of the NorCal Wildfires -- Consumer Rights, Responsibilities and Protections After a Disaster

Web Segment  Web Segment    MP3 Audio  Audio Download (MP3)    MP4 - Mobile Video Seg  Video Download (MP4)    

From the program: Providing Legal Assistance in the Aftermath of the NorCal Wildfires

Recorded on: Nov. 28, 2017

Taken from the Web Program Providing Legal Assistance in the Aftermath of the NorCal Wildfires Recorded November 2017 in San Francisco Consumer Rights, Responsibilities and Protections After a Disaster [00:33:40] Debt collection issues Obligations when personal property purchased on credit or leased is destroyed in a disaster Avoiding scams and home repair fraud Addressing identity theft Price gouging Credit reporting Claire ...

Robo-Advisers and Digital Advice: Preparing for an SEC Exam

MP3 Audio  Audio Download (MP3)    On-Demand Web Briefing  On-Demand One-Hour Briefing    

Recorded on: Nov. 28, 2017

Taken from the One-Hour Briefing Recorded November 2017 Robo-Advisers and Digital Advice: Preparing for an SEC Exam [01:05:19] The dramatic rise in automated investment platforms (including robo-advisers) is drastically changing the traditional landscape for registered advisers.  These services, which may be offered together in a more traditional model or as a stand-alone service, are appealing to younger generations of millennial ...

Consumer Rights, Responsibilities and Protections After a Disaster

Transcripts  Transcripts    

Recorded on: Nov. 28, 2017

SPEAKER 1: Hello, everybody. Thanks for continuing to stay with us. We are turning now to the question of consumer law issues After: a disaster. And we are joined by Claire Johnson Raba from Bay Area Legal Aid. She is a staff attorney and the consumer law unit coordinator at Bay Are Legal Aid. She has done a lot of work on consumer issues, including bankruptcy issues, debt defense, Fair Debt collection, and so forth. In 2011, she founded the Bay ...


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