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Securities Filings 2016: Practical Guidance in a Changing Environment -- Ethical Dilemmas in Preparation and Review of SEC Filings

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

From the program: Securities Filings 2016: Practical Guidance in a Changing Environment

Recorded on: Sep. 9, 2016

CPE credit (NASBA QAS Self-Study) is available by completing and passing the program’s CPE Review & Exam. Lecture Topics [00:59:47] Upon the successful completion of this program, the participant will be able to: Recognize the public policy framework underlying the gatekeeper concept. Recall the legal framework governing the rules of conduct for professionals appearing and practicing before the Securities and Exchange ...

Ethical Dilemmas in Preparation and Review of SEC Filings

Transcripts  Transcripts    

Recorded on: Sep. 9, 2016

STEVEN V. BERNARD: I'm joined up here by Chuck Walker. Chuck is co-chair of Skadden's Litigation Group in Washington DC, has substantial experience representing individuals and corporations in investigations by the FCC, FINRA, Department of Justice, and state regulatory agencies. He joined Skadden after serving as Securities Commissioner for the State of Delaware from '96 to '99. Earlier in his career, he served as Deputy Attorney General for the ...

Key Compensation Committee Developments: What Boards Need to Know

MP3 Audio  Audio Download (MP3)    

Recorded on: Dec. 2, 2016

Taken from the Web Program Directors' Institute on Corporate Governance (Fourteenth Annual) recorded November, 2016 in New York. Key Compensation Committee Developments: What Boards Need to Know [01:00:52] Preparing for say on pay, pay for performance, clawback and hedging requirements Nuts and bolts - best practices in executive compensation, employee benefit plan design and approval Recent litigation developments involving ...

Cybersecurity: Data Breach Scenario

Interactive Learning Center  Interactive Learning Center    

Recorded on: Feb. 6, 2017

This course is not currently eligible for CLE Credit. Why You Should Attend Cyber-attacks have wreaked havoc on organizations in nearly every industry sector.  A thorough understanding of this area is particularly important for companies that have not previously been in cyber attackers’ crosshairs and need to consider strategies to confront these sophisticated and persistent threats. The case scenario created by our faculty member, ...

Antitrust Institute 2017: Developments & Hot Topics

On-Demand Web Programs  On-Demand Web Programs    

From the program: Antitrust Institute 2017: Developments & Hot Topics

Released on: Apr. 21, 2017

This year’s Institute will examine recent developments in several key areas of antitrust reflected in recent decisions as well as vigorous enforcement in the US and around the world.  Panels or nationally known practitioners and senior government enforcement officials will report on and explore developments in competitor relationships, including cartels and other per se antitrust violations as well as the antitrust implications of joint ...

China’s New Cybersecurity Law

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

Recorded on: Apr. 26, 2017

Taken from the briefing China’s New Cybersecurity Law recorded April, 2017 in New York. China’s new Cybersecurity Law will impose new restrictions on information flows from operators of key information infrastructure, and will become effective in June 2017. Lecture Topics [01:06:12] Listen to Manuel E. Maisog of Hunton & Williams LLP as he: Discusses key aspects of the new Cybersecurity Law; Addresses data localization ...

China’s New Cybersecurity Law

Transcripts  Transcripts    

Recorded on: Apr. 27, 2017

AMY TAUB: It is now my pleasure to turn this briefing over to Manuel Maisog. MANUEL E. MAISOG: Good afternoon, everyone, and thanks for joining us today for this one-hour briefing from PLI on China's new cybersecurity law. My name is Manuel Maisog and I'm the resident partner of the Beijing office of Hunton & Williams and a member of our firm's global privacy and cybersecurity team. Next slide, please. This first slide has some information about ...

The Foreign Corrupt Practices Act and International Anti-Corruption Developments 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: The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2017

Released on: May. 1, 2017

The Foreign Corrupt Practices Act (“FCPA”) is at the top of most companies’ key risk areas. DOJ and SEC resources devoted to it remain at an all-time high. Recent FCPA and bribery enforcement actions demonstrate that no industry is immune from scrutiny and this past year has seen record settlements.  Beyond the FCPA, more countries and international organizations, are ramping up anti-corruption enforcement and adding to the ...

Unresolved Issues under the FCPA

Transcripts  Transcripts    

Recorded on: Apr. 28, 2017

RICHARD W. GRIME: We got to start the second session today. I realized that we went a little bit over on the first session. So people are going to still be joining as we get underway. But this session is really trying to ground the FCPA a little bit more around what the law actually says as opposed to what the agencies believe, perhaps they feel, what should be done. In other words, there are many legal issues that still remain to be resolved under ...

Key Issues in Developing and Maintaining an Effective Compliance Program: Taking Your Program to the Next Level

Transcripts  Transcripts    

Recorded on: Apr. 28, 2017

KIMBERLY A. PARKER: This is the first of two panels that we have during the conference. The next one is going to be tomorrow. That is really focused deeply on compliance, building compliance programs in companies. And specifically, this panel is on taking your program to the next level. And we have a great group to talk about that, people who are very steeped in compliance, both from an in-house perspective and as outside counsel. And in some cases, ...

Anti-Corruption Issues When Doing Business in China

Transcripts  Transcripts    

Recorded on: Apr. 28, 2017

RICHARD W GRIME: Good morning, everybody. Welcome to day two of PLI's FCPA Conference 2017. I want to welcome everyone back, both in the room here in New York and on the webcast around the country, and potentially around the world as well. Just a few administrative items before we get under way. Like you to please fill in the evaluation forms. Tell us whether you like us, or whether you like the subjects, whether you prefer things done in a different ...

Anti-Corruption Issues Facing Financial Institutions

Transcripts  Transcripts    

Recorded on: Apr. 28, 2017

RICHARD W. GRIME: OK. Good afternoon, everybody. Welcome back to the afternoon of the first day. We are going to spend the next hour talking about anti-corruption issues that specifically face financial institutions. And so we're going to walk through some of the key points that financial institutions in particular face in this particular FCPA area. So we are just waiting on Anirudh, who is caught in some New York traffic, but in the meantime, I ...

One Size Does Not Fit All: FCPA Compliance for Small and Medium-Sized Companies

Transcripts  Transcripts    

Recorded on: Apr. 28, 2017

KIMBERLY A. PARKER: Good morning, everyone. Good to see everyone. So the idea for this panel actually came from some feedback we received on this program in evaluations from years past, which is that we often talk about compliance and we get distinguished speakers to come up here and talk to you. But often, they are from very large kind of household name companies with huge compliance departments. You hear from financial institutions who have, I ...

Internal Investigation Game

Interactive Learning Center  Interactive Learning Center    

Recorded on: May. 1, 2017

  ACLEA 2016 Award of Outstanding Achievement in Technology Why you should participate Knowing how to conduct efficient and effective internal investigations is crucial to protecting your clients or company. Properly conducted, an internal investigation will help to identify risks and remedy potential issues. During this entertaining and immersive “serious game” you will plan and conduct an internal investigation as a member of ...

Drug Pricing and the Trump Administration: Legal and Practical Implications

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

Recorded on: May. 3, 2017

Taken from the briefing Drug Pricing and the Trump Administration: Legal and Practical Implications recorded May, 2017 in New York. You cannot turn on the news or read the paper today without hearing about the extraordinary cost of prescription drugs and many pharmaceutical manufacturers raising the list price of their drugs year after year. On January 31, 2017, President Trump met with representatives from the Pharmaceutical Research and Manufacturers ...

Fashion and Retail Law 2017: Trends and Developments -- International Trade Developments

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

From the program: Fashion and Retail Law 2017: Trends and Developments

Recorded on: May. 4, 2017

Taken from the Web Program Fashion and Retail Law 2017: Trends and Developments recorded May, 2017 in New York. International Trade Developments [00:59:13] Responsibilities for importing for fashion and retail Current issues for exporters Country of origin rules and marking How the evolving trade policy environment is likely to affect fashion and retail Speakers: Frances P. Hadfield, Stephen Lamar, Hun Quach The ...

International Trade Developments

Transcripts  Transcripts    

Recorded on: May. 4, 2017

HOWARD HOGAN: Good morning. We are back for our next session as part of the "Fashion and Retail 2017-- Trends and Developments." Our next session is focused on the very timely issue of international trade, which is very much in the news. Our panel consists of three leading practitioners and voices on this subject, with a great depth of experience. First up is Frances Hadfield, who's counsel in Crowell & Moring's international trade group in the firm's ...

The Volcker Rule 2017: What it Means for Financial Institutions and Markets -- The Volcker Rule - Funds

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

From the program: The Volcker Rule 2017: What it Means for Financial Institutions and Markets

Recorded on: May. 11, 2017

Taken from the Web Program The Volcker Rule 2017: What it Means for Financial Institutions and Markets recorded May, 2017 in New York. The Volcker Rule - Funds [01:13:20] Relevant definitions: covered fund, an ownership interest, “held as principal”, and sponsorship Exclusions for foreign funds, RICs, securitizations and joint ventures Treatment of securitizations, including CLOs Organization and operation of ...

The Volcker Rule - Foreign Banks

Transcripts  Transcripts    

Recorded on: May. 11, 2017

DEREK M. BUSH: Great. Well, let's start our last panel of the day. This is the foreign bank panel. And once again, I won't go through all the bios. You have them already. But we have Satish Kini from Debevoise & Plimpton doing double duty today, back on our panel, Sally Miller, CEO of the Institute of International Bankers, who has really been at the forefront of a lot of the industry advocacy on foreign bank issues, and Joerg Riegel from Societe ...

The Volcker Rule - Proprietary Trading

Transcripts  Transcripts    

Recorded on: May. 11, 2017

DEREK BUSH: OK. I think we're about ready to get started if you can take your seats. Our next panel is our prop panel, which again is something of a reunion from last year. I won't bother summarizing their bios because you have them in the packet and online. But just to run down our row here, we have Jonathan Gould from BlackRock, Mary Lou Guttmann from Wells Fargo, Camille Orme from Sullivan and Cromwell, Meg Tyre from Davis Polk, and Curtis Tao ...

The Volcker Rule - Compliance and Conformance

Transcripts  Transcripts    

Recorded on: May. 11, 2017

WILLIAM J. SWEET JR: So thank you for joining us this afternoon for the second half of our program where we'll be hearing even more interesting things than we heard this morning, which was a great morning. This is our compliance panel. And on my left is Bob Maxant, who is a partner at Deloitte where he's in charge of the governance risk and regulatory practice, and he's also the managing partner leading the Volcker Rule service. To his left is Chris ...

Drug Pricing and the Trump Administration: Legal and Practical Implications

Transcripts  Transcripts    

Recorded on: May. 11, 2017

AMY TAUB: It is now my pleasure to turn this briefing over to Stephanie Trunk. STEPHANIE TRUNK: Thanks, Amy. As Amy mentioned, I am a partner in the Health Law practice at Arent Fox in Washington, DC, and I focus my practice primarily on the pharmaceutical supply chain with a specialty in counseling manufacturers relating to drug pricing and government price reporting related to pharmaceuticals. And we're going to start off with just a roadmap of ...

The Volcker Rule - Funds

Transcripts  Transcripts    

Recorded on: May. 11, 2017

WILLIAM J. SWEET: Well, we are now shifting to the other major focus of the Volcker Rule. And as Anna, who is staying with us, has indicated, Phil, the good news here is this is pretty cut and dried. This is not a [INAUDIBLE]. I think there is a big difference in my experience, in that I think there is a lot less interaction with the agencies on this subject. But there's a lot of action. It just happens to be self-help between the institutions and ...

Enforcement 2017: Perspectives from Government Agencies

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: Enforcement 2017: Perspectives from Government Agencies

Released on: May. 18, 2017

We continue to see unprecedented changes in our economic, business and regulatory regimes in general, and in enforcement efforts in particular. This unique program brings together panels of senior staff from the various enforcement and regulatory agencies, including the U.S. Commodity Futures Trading Commission, FINRA, New York State Department of Financial Services, U.S. Securities and Exchange Commission, U.S. Attorney’s Office, U.S. Department ...

The 100 Day Mark – Where are EEOC and OFCCP Heading?

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

Recorded on: May. 23, 2017

Taken from the briefing The 100 Day Mark – Where are EEOC and OFCCP Heading? recorded May, 2017 in New York. The Trump Administration has reached the 100 day mark, but many questions remain unanswered. This One-Hour Briefing is for lawyers and senior human resources and affirmative action professionals. The panel is comprised of three seasoned lawyers. With extensive Agency experience, and active roles providing advice, counsel and representation ...


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