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Showing 1 - 25 of 288 Results


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Audit Committees and Financial Reporting 2015: Recent Developments and Current Issues

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: Audit Committees and Financial Reporting 2015: Recent Developments and Current Issues

Released on: Jul. 7, 2015

CPE credit (NASBA 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 CLE certificate will be issued if credit has expired in your state. As we continue to see many new regulations from the SEC, PCAOB and financial institution regulators, we also continue to see ...

Financial Reporting Developments: What Audit Committees Need to Know

Transcripts  Transcripts    

Recorded on: Jun. 24, 2015

CATHERINE BROMILOW: Good afternoon, everyone, and welcome back from lunch. We have a number of developments to address in our financial reporting panel. So one of the things, as moderator, I'm really happy about is that four of the people on my panel, Jim, Linda, Don, and Joe, you already know. And I don't even have to introduce them. But let me spend a few minutes. welcoming Glen Davison. Glen is a national partner with KPMG's Department of Professional ...

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. 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 CLE certificate will be issued if credit has expired in your state. Lecture Topics [00:59:47] Upon the successful completion of this program, the participant will be able to: Recognize ...

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 ...

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 ...

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 ...

Hedge Fund Registration and Compliance

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

Recorded on: Sep. 14, 2017

Taken from the Web Program Recorded September 13, 2017 in New YorkHedge Fund Registration and Compliance [01:31:33] Registration requirements for hedge fund managers Operational issues and compliance overview Compliance hot topics The purchase price of this Web Program segment includes the following article from the Course Handbook available online:Scott H. Moss and George Danenhauer, Lowenstein Sandler, Investment Management, SEC ...

The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals

MP4 - Mobile Video Seg  Video Download (MP4)    

Recorded on: Sep. 29, 2017

Taken from the Web Program Recorded September 27, 2017 in New YorkThe Government’s Perspective: Duties of In-House Counsel and Compliance Professionals [01:31:39] The government’s view on how in-house counsel and compliance officers can and should discharge their duties What does the DOJ consider in evaluating the conduct of in-house counsel and compliance personnel? How does the SEC scrutinize the knowledge and actions of in-house ...

Conflicts of Interest, Corruption and Compliance Risks

MP3 Audio  Audio Download (MP3)    

Recorded on: Nov. 1, 2017

Taken from the Web Program Recorded October 30 - 31, 2017 in New YorkConflicts of Interest, Corruption and Compliance Risks [01:00:54]Explore compliance risks and controls related to two of the higher-risk compliance areas Conflicts of Interest  Drafting workable policies and creating effective training  Questionnaires, certifications and approval procedures  Auditing and monitoring for conflicts   ...

Hot Button Enforcement Issues for Private Funds

MP4 - Mobile Video Seg  Video Download (MP4)    

Recorded on: Dec. 5, 2017

Taken from the Web Program Recorded November 30, 2017 in New YorkHot Button Enforcement Issues for Private Funds [01:02:28] FINRA enforcement initiatives and cases in the hedge fund space The Clayton SEC – what has changed and what remains the same Use of political intelligence networks and insider trading – lessons from recent cases SEC use of big data in developing enforcement cases FCPA issues for private funds  ...

Marijuana Compliance Challenges in 2018 and Beyond

MP3 Audio  Audio Download (MP3)    

Recorded on: Feb. 12, 2018

Social Media 2018: Addressing Corporate Risks (NY)

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: Social Media 2018: Addressing Corporate Risks

Released on: Feb. 21, 2018

Facebook, Instagram, LinkedIn, Pinterest, Snapchat, Twitter, Yelp, YouTube and other social media sites are transforming not only the daily lives of consumers, but also how companies interact with consumers. Indeed, even the largest, most conservative blue-chip corporations have embraced social media; one recent study reveals that, of the Fortune Global 500, 97% are on LinkedIn; 86% have Twitter accounts; 84% have a presence on Facebook; 66% have ...

Social Media in the Workplace: Emerging Issues (NY)

Transcripts  Transcripts    

Recorded on: Feb. 15, 2018

JOHN F. DELANEY: Thank you. And I just reiterate we need your feedback, so don't be shy. Let us know what you liked, and other topics to address next year. So, several times throughout the morning we heard reference to company employees, maybe even CEOs, doing things they came to regret on social media-- which leads us to the topic of social media in the workplace. As social media becomes more prevalent in our lives, it's becoming very prevalent ...

An Overview of Social Media Law and Best Practices: What Every Company Needs to Know (NY)

Transcripts  Transcripts    

Recorded on: Feb. 15, 2018

JOHN DELANEY: So my co-speaker is Aaron Rubin. He's a partner at Morrison and Foerster San Francisco office. And he's co-chair of the firm's Technology Transactions Group. Aaron and I co-edit a blog focused on the types of issues we're discussing today. It's called Socially Aware. You can find it at sociallyaware.com. And what we try to do is capture best practices, emerging case law, and try to help educate our readers and alert them to new developments ...

Privacy Law Considerations for Social Media and Mobile Apps (NY)

Transcripts  Transcripts    

Recorded on: Feb. 15, 2018

JOHN F. DELANEY: So we're very fortunate to have two experts on privacy and data security issues helping us through the legal issues and connection with privacy and social media. To my immediate left is Lydia Parnes, who's a partner in the Washington DC office of Wilson Sonsini Goodrich & Rosati, where she serves as Chair of that firm's privacy and data security protection practice-- sorry [INAUDIBLE] protection practice. Lydia represents companies ...

Hot Issues in Social Media Marketing (NY)

Transcripts  Transcripts    

Recorded on: Feb. 15, 2018

JOHN F. DELANEY: Great Welcome back. It's 11:30. We're going to push forward and continue on, addressing another set of really important issues, if you are using social media to interact with customers and potential customers. And so we call this session Hot Topics in Social Media Advertising. Just very quickly, we got two web questions on the last panel. I'm just going to give quick answers. One person asked. "How does the DMCA safe harbor apply ...

A View from the Trenches: Hot Issues, Creative Solutions (NY)

Transcripts  Transcripts    

Recorded on: Feb. 15, 2018

JOHN F. DELANEY: Thank you, Willis. Congratulations, Victor. So we're in the final session. And again, as I mentioned, we always save the best for the last, since we first started this conference a couple of years ago. Because we have to cover so much ground in one day, we thought a good way to do that was to end with what we call the View from the Trenches, where some of the leading social media experts in the country-- these are the folks who at ...

Primer on the Foreign Agents Registration Act ("FARA") 2018

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

Recorded on: Feb. 21, 2018

Taken from the One-Hour Briefing Recorded February 2018 in New York Primer on the Foreign Agents Registration Act ("FARA") 2018 [01:03:03] The Foreign Agents Registration Act ("FARA") is a criminal statute enacted in 1938 that only very recently has become the focus of a crackdown by the U.S. Department of Justice.  In addition to high profile FARA cases related to Special Counsel Robert Mueller's investigation of the Trump Administration, practitioners ...

The SEC Speaks in 2018

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 SEC Speaks in 2018

Released on: Mar. 3, 2018

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. The SEC Speaks in 2018 has been approved for 15.75 CCTS and 15.75 CSOP credits. This statement should not be viewed as an endorsement of this program or its sponsor. At the beginning of each year, PLI presents, in cooperation with the U.S. Securities and Exchange Commission, The SEC Speaks program, which provides an essential update ...

Trading and Markets

Transcripts  Transcripts    

Recorded on: Feb. 27, 2018

SPEAKER 1: Our next panel is going to be led by Brett Redfern, the Director of the Division of Trading and Markets. Brett has a long history in the US equity markets, having worked with investors, exchanges, and broker-dealers. During his career, Bret is focused on how technology, regulation, and business trends are changing trading patterns across asset classes and geographic regions. Brett joined the SEC from JP Morgan where he was global head ...

Corporation Finance

Transcripts  Transcripts    

Recorded on: Feb. 27, 2018

STEPHANIE AVAKIAN: Before I hand things over to Bill for the Corporation Finance panel, I'd like to introduce the esteemed commentators for the panel, Paul Atkins, Ed Fleischman, and Troy Paredes. Paul Atkins served as Commissioner from July 2002 to August 2008. During which time, he advocated for better transparency and consistency in the SEC's decision making and enforcement activities. As a Commissioner, Paul represented the SEC at various meetings ...

Investment Management

Transcripts  Transcripts    

Recorded on: Feb. 27, 2018

SPEAKER 1: Dalia Blass, the director of the Division of Investment Management will lead our next panel. Dalia previously served in a number of leadership roles in IM, most recently as assistant chief counsel. She returned to the SEC as director of Investment Management in September, 2017 from Ropes and Gray where she advised on a broad range of investment fund, private equity, and regulatory matters, including ETFs. Earlier in her career she practiced ...


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