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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

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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 ...

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 ...

Audit Committees and Financial Reporting 2017: 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 2017: Recent Developments and Current Issues

Released on: Jun. 26, 2017

As we continue to see many new regulations from the SEC, PCAOB and financial institution regulators, we also continue to see numerous challenges emerge for the audit committee.  If you are a director or member of an audit committee, or if you advise audit committees, this program will help you understand what is required of the audit committee, and those who advise them, in this rapidly changing environment.  You will hear from an expert ...

Marketplace Lending and Crowdfunding 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: Marketplace Lending and Crowdfunding 2017

Released on: Sep. 14, 2017

With the Title III federal public crowdfunding provisions of the JOBS Act finally becoming fully effective in May 2016 and a new administration, what does the future hold for marketplace lending and crowdfunding?  Will it be a boom or bust?  Will Regulation A+ start to pick up speed and grow into the potential many predicted?  Will Marketplace Lending finally have a principal regulator or will it continue to have its heels nipped ...

Marketplace Lending Matures; Investment Structures

Transcripts  Transcripts    

Recorded on: Sep. 8, 2017

BRIAN KORN: OK, welcome back. Our next panel, we're going to shift gears a little bit, and go to marketplace lending. The title is Marketplace Lending Matures and Investment Structures. When we started this conference a few years ago, we usually spend half a day explaining exactly what marketplace lending is, or peer to peer lending. And now it seems like we're getting into much more sophisticated structuring issues, and issues with respect to secondary ...

Warehouse Facilities and Small Business Lending; Real Estate Marketplace Lending

Transcripts  Transcripts    

Recorded on: Sep. 8, 2017

BRIAN KORN: OK, welcome back. Thanks to all of you stalwarts still hanging around with us. The last two panels of the day are going to be taking us right up to 5:00. The first is warehouse facilities and small business lending. We're very fortunate to have two experts in the field. On my far right is Conor French. Conor leads US Legal Regulatory, and Government Affairs at Funding Circle, the world's leading marketplace for business financing. Funding ...

Securities Filings 2017: Practical Guidance in a Changing Environment

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: Securities Filings 2017: Practical Guidance in a Changing Environment

Released on: Sep. 17, 2017

This popular program will analyze in detail the forms used for filings with the SEC under the Securities Act of 1933 (“Securities Act”), and the Securities Exchange Act of 1934 (“Exchange Act”), with particular emphasis on the mechanics of and timing for assembling particular filings. Each segment of the program will incorporate practical tips and/or interactive drafting exercises. Ethics credit and recent legislation ...

Ethical Dilemmas in Preparation and Review of SEC Filings

Transcripts  Transcripts    

Recorded on: Sep. 13, 2017

STEVEN V. BERNARD: I want to welcome the next and final member of our panel. Making his way up here right now is Chuck Walker. Chuck's a partner at Skadden, Arps in Washington DC and co-chair of their DC litigation group. He's got substantial experience representing individuals and corporations in investigations by the SEC, FINRA, and the DOJ, as well as state regulatory agencies and conducting internal investigations. He rejoined Skadden after serving ...

Overview of the Federal Securities Laws

Transcripts  Transcripts    

Recorded on: Sep. 13, 2017

STEVEN BERNARD: So it's about this time that in past years, I would try and start off with a joke. And I'm not going to do that this year because the joke has in past years had mixed reactions, anything from marginally humorous to oh my god, that's terrible. But the punchline of the joke was taking a swipe at conflict minerals. And the reason I pulled it is not just because it's not funny, but because with any luck we will get conflict minerals pulled ...

Filings Under the ’34 Securities Act

Transcripts  Transcripts    

Recorded on: Sep. 13, 2017

STEVEN BERNARD: Welcome our next speaker to the panel. Joining us now is Keir Gumbs. Keir is a partner in corporate security practice at Covington and Burling in Washington, DC. He started his career at the SEC, where he served for six years, first as a staff attorney, later as a special counsel in the Office of Chief Counsel in the SEC's Division of Corporation Finance. And finally was counsel to SEC commissioner Roel Campos. Thank you very much. ...

SEC Filings: MD&A and the Annual Report to Shareholders

Transcripts  Transcripts    

Recorded on: Sep. 13, 2017

STEVEN BERNARD: We're going to move on to our next topic, and our next topic is the annual report to shareholders, not to be confused with the annual report on form 10-K, the annual report to shareholders and with particular focus on MD&A. For that, we welcome one of the veterans of the panel here, Jeff Hochman. Jeff's a partner at Willkie Farr here in New York, specializes in M&A of both public and private companies, private offerings, private equity ...

Securities Filings in M&A Transactions

Transcripts  Transcripts    

Recorded on: Sep. 13, 2017

STEVEN BERNARD: OK, so we're going to turn to our next topic. I'd like to introduce the newest member of our panel. To my left is Bill Chudd. Bill's a member of Davis Polk's corporate department-- partner at Davis Polk here, concentrating on mergers and acquisitions, joint ventures and related matters, specialist in our US international IPOs. And he's going to talk with us about the issuance of securities and acquisitions, as one of the filings around ...

Current Report on Securities Filing Form 8-K

Transcripts  Transcripts    

Recorded on: Sep. 13, 2017

STEVEN BERNARD: OK, welcome back. We're going to get started again. Hope you all had a nice lunch. So this morning, we talked a little bit about the interaction between the 33 Act and the 34 Act. We reviewed Reg S-K, which, as we said, is the backbone [? of ?] disclosure under both the 33 Act and the 34 Act. We talked about how you become a reporting company under 12b, 12g, and 15d. And then we looked at duty to disclose and some of our filings. ...

The Disclosure Cycle and Related Securities Filings

Transcripts  Transcripts    

Recorded on: Sep. 13, 2017

STEVEN V. BERNARD: OK, we're going to go ahead and get started. So we're going to turn now to what the disclosure cycle is. So we're going to talk a little bit about the quarterly disclosure cycle. We're going to get into the annual disclosure cycle. But prior to that, we have to talk about when do we have to disclose things. So I got a phone call one time. CEO called me and said, Steve, Steve, X just happened. We've got to put out a press release. ...

SEC Filings: Proxy Statements

Transcripts  Transcripts    

Recorded on: Sep. 13, 2017

STEVEN BERNARD: Thanks, Willis. And I'll add one more thing to what Willis said. He said please tell us what you liked and what else you would like to see. And I will say please tell us what you didn't like as well, because that is also very helpful criticism to us. And I welcome the good with the bad as we try and figure out how to make programs more helpful and enjoyable in the future. So we're now going to turn to our final topic for the day. ...

Current Issues in Securities Practice

Transcripts  Transcripts    

Recorded on: Sep. 13, 2017

STEVEN BERNARD: Great. Thank you, Willis. And welcome back, everyone. Hope you had a good lunch. This is what we call our current issues segment. So for the next, call it, hour and 15 minutes, we're going to talk about what we call the current developments. So this program is given every year about this time. What we try and do is we pick up, what are some of the changes that have happened over the last year, some new adopted releases, new rule ...

Hedge Fund Management 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: Hedge Fund Management 2017

Released on: Sep. 20, 2017

In this program, our expert faculty will focus on common structures for hedge funds, SEC priorities for and the regulatory environment surrounding hedge funds, and the day to day operational issues of running a hedge fund operation. The faculty will also explore strategies for addressing issues for when a hedge fund is in distress, issues relating to expansion into the registered fund business and issues and selling a portion of their business to ...

Hedge Fund Structures

Transcripts  Transcripts    

Recorded on: Sep. 14, 2017

LEOR LANDA: OK, let's get started again. Try to stay on time. Thanks everyone for coming back. We have this next panelist, again going back to basics, talking about hedge fund structures, what drives hedge fund structures, then also turning a little bit to common hedge fund terms and how they've been evolving and what revelation we're also expecting in hedge fund terms. We are very lucky with the panelists that we have. To my immediate left is Caroline ...


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