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Showing 1 - 25 of 209 Results

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

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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 ...

Directors' Institute on Corporate Governance (Fourteenth Annual)

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From the program: Directors' Institute on Corporate Governance (Fourteenth Annual)

Released on: Dec. 12, 2016

In the past year, new expectations were being placed on boards in critical areas of governance, including disclosure, oversight of complex operational issues, risk management, board succession, audit committee oversight, executive compensation, and responsiveness to and communication with investors pressing different concerns. In addition, the Dodd-Frank Act, the Foreign Corrupt Practices Act and other anti-bribery laws have put new requirements on ...

Hedge and Private Fund Enforcement & Regulatory Developments 2016 -- Establishing an Effective Private Fund Compliance Program

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From the program: Hedge and Private Fund Enforcement & Regulatory Developments 2016

Recorded on: Dec. 2, 2016

Taken from the Web Program Hedge and Private Fund Enforcement & Regulatory Developments 2016 recorded December, 2016 in New York. Establishing an Effective Private Fund Compliance Program [01:00:17] CCO liability – where it stands with the regulators Conflicts of interest and related party transactions – identification, monitoring and testing Compliance’s role in valuations Oversight of expert networks ...

Cybersecurity and Boards: Understanding the Director's Role

Transcripts  Transcripts    

Recorded on: Dec. 2, 2016

KEIR GUMBS: Very quickly, we're going to get started. So we are at the tail end of our program. We're getting ready to do cybersecurity. SPEAKER 2: The last, but not the least [INAUDIBLE]. KEIR GUMBS: Let's see, make sure I've got people in order here for the bios. So let's see, so first to Mark's left, we've got Luke Dembosky. Luke joined Debevoise & Plimpton's Cybersecurity and Data practice in March of this year, where after serving as the Deputy ...

Related Party and Conflicts Transactions: What's a Board to Do?

Transcripts  Transcripts    

Recorded on: Dec. 2, 2016

Our next panel discussion addresses related party and conflict transaction's focusing principally on corporate directors and executive officers. And I'd first like to introduce the panel. I'm really pleased to have with us two really distinguished now practitioners. First, let me start with former chancellor, Bill Chandler, who was a member of the Delaware Judiciary for more years than he would admit to, but culminating-- starting with the Delaware ...

The Evolving Role of the Audit Committee

Transcripts  Transcripts    

Recorded on: Dec. 2, 2016

JEFFREY D. KARPF: I will introduce the moderator of our audit committee panel and he can then introduce the rest of our panelists. So, Mike Young. I'm happy to see Mike back here. Mike was a co-chair of this conference for many years. And so he's come back this year to chair the audit committee panel as he has often done in the past. And Mike is a litigation partner at Willkie Farr where he chairs the firm's securities litigation and enforcement ...

Is the Publicly Traded Corporation an Endangered Species? Reflections on the Decline in the Number of Publicly Traded Firms

Transcripts  Transcripts    

Recorded on: Dec. 2, 2016

SPEAKER 1: It's now my pleasure to introduce you to the co-chairs of today's program Jeff Karph, Keir Gumbs, and Mark Gentile. Jeff is a partner in Cleary Gottlieb's New York office. His practice focuses on corporate and financial transactions and matters. He represents issuers at investment banks and a variety of SEC-registered and private equity and debt offerings, as well as tender and exchange offers. He also has extensive experience in the development ...

Establishing an Effective Private Fund Compliance Program

Transcripts  Transcripts    

Recorded on: Dec. 2, 2016

BARRY GOLDSMITH: Before I start, I just wanted to say that this panel-- so we can make it is interesting as we can-- is going to be off the record. So if there are people from the press here, if you'd like to talk to any of the panelists afterwards and make other arrangements, please do. But the remarks up here will be off the record. Let me introduce the panel. To my left is Ken Burke. Ken is the deputy chief compliance officer of TPG Special Situations ...

Key Compensation Committee Developments: What Boards Need to Know

Transcripts  Transcripts    

Recorded on: Dec. 2, 2016

KEIR GUMBS: As our next panelists are getting seated, I'll go ahead and start with introductions. So on this panel we're going to talk about Key Compensation Committee Developments, What Boards Need to Know. We've got, as usual, a fantastic lineup of experts with us. To my left, two seats over, we've got Bindu Culas who's at Frederic Cook which is a compensation advisory company firm. She joined there in 2012 and is a principal in their New York office. ...

Basics of Export Controls 2016

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Recorded on: Dec. 5, 2016

Taken from the briefing Basics of Export Controls 2016 recorded December, 2016 in New York. U.S. and multinational corporations, investors and even governments are increasingly affected by the range of U.S. laws and regulations governing international trade. The Commerce Department's Bureau of Industry and Security (BIS), the State Department's Directorate of Defense Trade Controls (DDTC), and the Treasury Department's Office of Foreign Assets Control ...

Employment Law Compliance in Cross-Border M&A Deals and Outsourcings: The Human Side to International Transactions

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Recorded on: Dec. 6, 2016

Taken from the briefing Employment Law Compliance in Cross-Border M&A Deals and Outsourcings: The Human Side to International Transactions recorded December, 2016 in New York. A leading London corporate lawyer once told the New York Times that in “merging two regular companies…you just do it and sort out the people issues afterwards.” If that was ever true, it no longer is. In any merger, acquisition or large-scale outsourcing ...

What Every Government Contractor Needs to Know About Cybersecurity

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Recorded on: Dec. 7, 2016

Taken from the briefing What Every Government Contractor Needs to Know about Cybersecurity recorded December, 2016 in New York. A host of complicated and sometimes conflicting cybersecurity requirements apply to government contractors, and even sellers of only commercial items and services are not immune to their reach. This Briefing will help you understand the complex web of government cybersecurity regulation and learn what your company needs ...

Employment Law Compliance in Cross-Border M&A Deals and Outsourcings: The Human Side to International Transactions

Transcripts  Transcripts    

Recorded on: Dec. 12, 2016

AMY TAUB: It is now my pleasure to turn this briefing over to Don Dowling. DONALD C. DOWLING, JR.: Thank you very much, Amy. Thank you, PLI. And thanks, everyone, for joining. Yes, today's topic is employment law compliance in cross-border M&A deals and outsourcings, the human side to international transactions. Next slide, please. Here's kind of a roadmap or table of contents to what we want to talk about today. In the first part, I'll spend perhaps ...

Basics of Export Controls 2016

Transcripts  Transcripts    

Recorded on: Dec. 12, 2016

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. I would like to welcome you to today's briefing-- Basics of Export Controls 2016. 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 ...

What Every Government Contractor Needs to Know about Cybersecurity

Transcripts  Transcripts    

Recorded on: Dec. 12, 2016

AMY TAUB: Hello. My name is Amy Taub, and I am a program attorney with PLI, a nonprofit learning organization dedicated to keeping attorneys and other professionals at the forefront of knowledge and expertise. I would like to welcome you to today's briefing, What Every Government Contractor Needs To Know About Cybersecurity. Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send ...

Preparing For Shareholder Activism: What You Need To Be Doing Now 2016

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From the program: Preparing For Shareholder Activism: What You Need To Be Doing Now 2016

Released on: Dec. 16, 2016

Hedge fund activism has become a ubiquitous feature of the corporate landscape, affecting public companies of all sizes. As the phenomenon has become more commonplace, it has also become more diverse, and the means of addressing it and being prepared for it have evolved. Learn about the current state of hedge fund activism and best practices for preparing for and engaging with activists. You will learn: What was new in 2015 and what to expect ...

Annual Disclosure Documents 2016 -- The Current State of Clawback Requirements and Considerations

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From the program: Annual Disclosure Documents 2016

Recorded on: Dec. 14, 2016

Taken from the Web Program Annual Disclosure Documents 2016 recorded December, 2016 in New York. The Current State of Clawback Requirements and Considerations [01:00:38] Current status of SEC rulemaking Review of clawback policies Impact of other laws and regulations Practical considerations in implementing a clawback program  Speakers: Lillian Brown, Edward A. Hauder, Doreen E. Lilienfeld, Deborah C. Lofton, Mary ...

Learnings from Enforcement and the Impact on Disclosure Practices

Transcripts  Transcripts    

Recorded on: Dec. 14, 2016

MICHAEL HERMSEN: I think we'll get started with the last two panels of today's portion of the program. For the next hour, we're going to be talking about some of the lessons that we've learned from enforcement and the impact on disclosure practices. We have two new panelists joining us for this panel. On my immediate left is Ken Lench. Ken is a partner in the Government and Internal Investigations Practice Group with Kirkland & Ellis. His practice ...

The Current State of Clawback Requirements and Considerations

Transcripts  Transcripts    

Recorded on: Dec. 14, 2016

MARY MULLANY: Thank you, and welcome back from break. Now we're going to spend an hour talking about something that next year we might not talk about at all. But this is part of the vagaries of planning a program in the September time frame, you know June, July, August, September time frame for December. We're going to talk about clawbacks. And I guess, if we're all surprised and it isn't significantly changed, you'll thank us later. So-- so we'd ...

Ethics and Whistleblower Developments: Challenges to Be Aware of When Preparing and Reviewing Disclosure Documents

Transcripts  Transcripts    

Recorded on: Dec. 14, 2016

MICHAEL L. HERMSEN: We're just gonna slide right into the next panel, which is titled Ethics and Whistleblower Developments-- Challenges to be Aware of When Preparing and Reviewing Disclosure Documents. And I think we're going to focus on a couple of things in this panel. Hopefully that will come through and we'll have time for that. But we're going to focus on-- in part, as Ken mentioned, we're going to talk about whistleblower, whistleblower actions, ...

Corporate Governance and Shareholder Proposals

Transcripts  Transcripts    

Recorded on: Dec. 14, 2016

SANDRA FLOW: So welcome back. We are going to have an afternoon focusing a little bit more on governance issues. And we're starting off this afternoon with a panel on corporate governance and shareholder proposals. Let me introduce a couple of the new panelists. In fact, I think much of this panel is new. So I'll just go down the line. Lilly was up here this morning. But next to her is Rick Grubaugh. Rick is a senior vice president of D.F. King and ...

Developments in International Anti-Corruption Efforts

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Recorded on: Dec. 15, 2016

Taken from the briefing Developments in International Anti-Corruption Efforts recorded December, 2016 in New York. The Foreign Corrupt Practices Act (“FCPA”) has been a cornerstone of U.S. white collar crime enforcement activity for the last decade. In recent years, however, a significant increase in international anti-corruption enforcement has raised the stakes even higher for multinational companies. As enforcement authorities around ...

Developments in International Anti-Corruption Efforts

Transcripts  Transcripts    

Recorded on: Dec. 15, 2016

AMY TAUB: --clients. It is now my pleasure to turn this briefing over to Michael Diamant. MICHAEL DIAMANT: Thank you, Amy. Hi, this is Michael. Thanks, everyone, for joining. So we're going to do a session here today on developments in international anti-corruption efforts. The way that we've structured it is to start off, I'll talk a little bit about US enforcement. Of course, I'm a US lawyer. I'm in Washington DC. And I do focus on US enforcement. But ...

Private Fund Regulatory Developments and Compliance Challenges 2017

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From the program: Private Fund Regulatory Developments and Compliance Challenges 2017

Released on: Jan. 24, 2017

Every year, PLI’s Private Fund Regulatory Developments and Compliance Challenges delivers a uniquely thorough, yet concise analysis of the latest regulatory updates and practical guidance for legal and compliance professionals operating in the hedge fund and other private fund arena.  The 2017 program continues this tradition, featuring a diverse faculty who will share helpful insights from the regulatory, industry and outside counsel vantage ...


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