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Accounting Materiality: In Fraud or in Fair Weather

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

Recorded on: Nov. 19, 2015

CPE credit (NASBA QAS Self-Study) is available by completing and passing the program’s CPE Review & Exam. While this program offers CPE (NASBA) credit, it has expired for CLE credit in many states. Please check the credit calculator to the right. No certificate will be issued if credit has expired in your state. When is an error in a financial statement considered material? Hear from distinct perspectives during this program – ...

Accounting Materiality: In Fraud or in Fair Weather

Transcripts  Transcripts    

Recorded on: Nov. 20, 2015

AMY TAUB: Thank you. Hello My name is Amy Taub, and I'm a program attorney with PLI. I would like to welcome you to today's briefing, Accounting Materiality in Fraud or in Fair Weather. 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 materials for this briefing via the Course Materials tab ...

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, ...

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 ...

Treatment and Discharge of Environmental Liabilities in Bankruptcy and Implications for Cleanups and Corporate Transactions

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

Recorded on: Jun. 12, 2017

Taken from the Web Program Environmental Regulation 2017: Hot Topics, Regulatory Developments, and Practical Guidance for Corporate Compliance recorded June 2017 in New York. Treatment and Discharge of Environmental Liabilities in Bankruptcy and Implications for Cleanups and Corporate Transactions [01:00:41] The complex interaction of Environmental Laws with the Bankruptcy Code How are environmental liabilities addressed in bankruptcy ...

Audit Committees and Financial Reporting 2017: Recent Developments and Current Issues -- SEC Developments Audit Committee Members Need to Know About

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

From the program: Audit Committees and Financial Reporting 2017: Recent Developments and Current Issues

Recorded on: Jun. 20, 2017

CPE credit (NASBA QAS Self-Study) is available by completing and passing the program’s CPE Review & Exam. Lecture Topics [01:03:32] Upon the successful completion of this program, the participant will be able to: Recognize key Securities and Exchange Commission (SEC) developments currently confronting audit committee members. Recall the Trump administration’s potential impact on developments at the Securities and Exchange ...

Internal Investigations 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: Internal Investigations 2017

Released on: Jun. 26, 2017

Knowing how to conduct efficient and effective internal investigations is key to protecting your clients or company. Companies and their counsel need to be diligent and proactive in identifying risks and remedying potential issues. In this program, an expert faculty will review the fundamentals of conducting an effective and efficient investigation using a real-world hypothetical with a graphic novel illustration to bring the characters to life.  ...

Conducting the Internal Investigation

Transcripts  Transcripts    

Recorded on: Jun. 20, 2017

RICHARD J. MORVILLO: OK, everyone. Welcome back. Thank you for being back. I neglected to point out in the earlier panel that MaryJeanette Dee came in at the last minute to become our moderator. She was on the panel because Steve Peikin of Sullivan and Cromwell had the nerve to take the job of Deputy Director of the Enforcement Division, in order to get out of-- NANCY KESTENBAUM: Not Deputy Directory. CHRISTINA DUGGER: Co-- RICHARD J. MORVILLO: ...

Concluding the Internal Investigation

Transcripts  Transcripts    

Recorded on: Jun. 20, 2017

NANCY KESTENBAUM: Welcome back, everybody. I hope you had a nice lunch. It is my pleasure to introduce the moderator of our next panel, Martine Beamon, sitting here in the lovely white. Ms. Beamon, Martine, is a partner in Davis Polk's litigation department and a former federal prosecutor for the Southern District of New York. She has successfully represented individuals and institutions at their most critical situations, including grand jury and ...

Commencing the Internal Investigation: Considerations at the Outset

Transcripts  Transcripts    

Recorded on: Jun. 20, 2017

RICHARD MORVILLO: So without further ado, I'm going to turn this over to MaryJeanette Dee, who will be moderating the first panel. She is a partner in the government contracts, investigations, international trade, and every other thing that Sheppard Mullin does. And you must believe her because she's a member of her church choir. So she's only going to give you some practical advice that you must heed if you really care about the afterlife. In any ...

Fundamentals of Investment Adviser Regulation 2017 -- Brokerage and Trading Practices; Investment Adviser Compliance Programs

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

From the program: Fundamentals of Investment Adviser Regulation 2017

Recorded on: Jun. 28, 2017

Taken from the Web Program Fundamentals of Investment Adviser Regulation 2017 recorded June, 2017 in New York. Brokerage and Trading Practices; Investment Adviser Compliance Programs [00:59:33] Selecting the broker Soft dollars and trading conflicts Affiliated brokerage Requirements regarding adviser compliance programs Role of the Adviser CCO  Steven W. Stone, Steven A.  Yadegari The purchase price ...

Brokerage and Trading Practices; Investment Adviser Compliance Programs

Transcripts  Transcripts    

Recorded on: Jun. 28, 2017

CLIFFORD E. KIRSCH: All right, everybody, welcome back, and we are here for our next panel. On this next panel we're planning to cover trading practices and adviser compliance programs. A very, very welcome to-- welcome back to the faculty, Steven Yadegari and Steven Stone. Steve Yadegari to my left is chief operating officer and general counsel of Cramer Rosenthal McGlynn, a registered investment adviser located here in New York. Prior to joining ...

Doing Business in and with Emerging Markets 2017 -- Anti-Corruption Issues in Emerging Markets

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

From the program: Doing Business in and with Emerging Markets 2017

Recorded on: Jun. 29, 2017

Taken from the Web Program Doing Business in and with Emerging Markets 2017 recorded June, 2017 in New York. Anti-Corruption Issues in Emerging Markets [01:00:08] Corruption related threats facing businesses in emerging markets  How do companies confront corruption in emerging markets? How to tackle compliance issues in the due diligence process A review of developments in anti-corruption regulations and ...

Anti-Corruption Issues in Emerging Markets

Transcripts  Transcripts    

Recorded on: Jun. 29, 2017

DAVID GROSGOLD: Good afternoon. Over the next 60 minutes, we will be discussing anti-corruption issues in emerging markets. The focus of the panel will be, how do companies confront corruption in emerging markets? We have an excellent group of panelists that will be able to provide us with different perspectives on the issue. First, in the middle, we have Janette Filbert. Janette has been involved in compliance for approximately 30 years-- although ...

Ethics for In-House Corporate Counsel 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: Ethics for In-House Corporate Counsel 2017

Released on: Jul. 17, 2017

Hear from experienced practitioners, who will provide practical advice about a broad range of ethical issues confronting in-house counsel. This unique program will help you analyze relevant ethical obligations and understand best practices. You will learn: Representing the corporate entity: who is the client? Crisis management, corporate compliance, and litigation management: best practices and related professional conduct obligations ...

Understanding the Securities Laws 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: Understanding the Securities Laws 2017

Released on: Jul. 19, 2017

Whether you are new to the field or seeking a quick refresher or an update, this is the securities law primer that you won’t want to miss. This program will provide an overview and discussion of the basic aspects of the U.S. federal securities laws by leading in-house and law firm practitioners as well as SEC staff. Emphasis will be placed on the interplay among the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley ...

Introduction to Securities Laws

Transcripts  Transcripts    

Recorded on: Jul. 18, 2017

ADELE HOGAN: So with that, Ken, I'm going to turn it over to you and we're delighted to have you. KENNETH JOSSELYN: Thank you, Adele. So as Adele said, I'm going to do the general overview of several of the federal securities laws, principally the '33 Act, the Securities Act of 1933, and aspects of the Securities Exchange Act of 1934. I could spend an entire day on that and nobody's expert in all those sections because it's kind of if you have a ...

Liability for Securities Law Violations

Transcripts  Transcripts    

Recorded on: Jul. 18, 2017

ADELE HOGAN: OK. So we're going to bring it home today with a very exciting and interesting panel on liability for securities law. And we have three incredibly prominent, interesting speakers. To my left is Doug Koff. He's a partner Schulte Roth. And he really does represent high profile civil and criminal people and cases, and companies and cases. Everybody's bios are in your materials. But he is an outstanding dynamic lawyer. If you have a defense ...

Regulation of Proxy Solicitations

Transcripts  Transcripts    

Recorded on: Jul. 18, 2017

ADELE HOGAN: So we're going to turn immediately to our next panel, which is going to cover proxy statements and executive compensation. We have coming up first is Linda Rappoport. She's a partner at Shearman and Sterling. She is a true leader in this area, and has been a band one employee benefits and executive compensation recognized person in chambers since 2007. She has had a lot of leadership positions at her firm, which is Shearman and Sterling, ...

Navigating Ethics and Professionalism Requirements in Securities Law Practice

Transcripts  Transcripts    

Recorded on: Jul. 18, 2017

N. ADELE HOGAN: We're back now for our final stretch, which is going to be two hours of ethics with law as substance baked in. And I'm absolutely thrilled today to have two extremely prominent speakers. To my immediate left is Ashley Gillespie. He's an executive director at Morgan Stanley. He has a lot of expertise in a lot of corporate securities areas, including derivatives. So this is where we're going to bake in some derivatives things that people ...

“20 Questions” – What’s on Your Mind and What’s New in Securities Law?

Transcripts  Transcripts    

Recorded on: Jul. 18, 2017

N. ADELE HOGAN: All right. Well, thank you very much. We're back and ready to go into the homestretch. So we're first going to talk about 20 questions or 20 topics. We'll get through as much as we can that highlight some of the current things, things that you might be wondering about, or to highlight various things that are current and important now. But let me introduce my panelists. First, to my immediate left is Adam Fleisher. He's a partner at ...

Disgorgements by Corporate Executives Under the Federal Securities Laws

Transcripts  Transcripts    

Recorded on: Jul. 18, 2017

ADELE HOGAN: Good morning. Welcome back. We're delighted to be here for day two of understanding the securities laws. My name is Adele Hogan, and to my left we have starting off today Jennifer Nadborny. She is at Simpson Thatcher, and she's a member of the firm's public company advisory practice. She is the go-to expert on many highly technical areas. She's absolutely critical to the securities practice, the corporate governance practice and the M&A ...


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