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List View Table View

Basic Building Blocks of UCC Article 9

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Recorded on: Jan. 13, 2017

Taken from the Web Program Secured Transactions 2017: What Lawyers Need to Know About UCC Article 9 recorded January, 2017 in New York. Basic Building Blocks of UCC Article 9 [01:23:02] A. Attachment, Perfection, and Priority Does Article 9 apply to the transaction? What does a security agreement require? When does an oral security agreement work? How specific does the collateral description have to be? When does ...

Introduction to the Law of Securities Offerings

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Recorded on: Mar. 6, 2017

Taken from the Web Program Securities Offerings 2017: A Public Offering: How it is Done recorded March, 2017 in New York. Introduction to the Law of Securities Offerings [00:58:40] Understand the legal framework for securities offerings under the Securities Act, including definitions and regulations of “offers” and “sales” of “securities” Understand the different types of issuers recognized under ...

Basics of Mutual Funds and Other Registered Investment Companies 2017

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From the program: Basics of Mutual Funds and Other Registered Investment Companies 2017

Released on: May. 1, 2017

This program is designed to provide you with a basic overview of the legal, regulatory and operational issues affecting “registered investment companies” – the universe of publicly offered pooled investment vehicles that include mutual funds, closed-end funds, exchange-traded funds (“ETFs”) and others.  You will learn the fundamentals of the extensive regulatory framework that dictates the structure and ...

The Evolution of an Industry: 75 Years of Retail Fund Regulation … and Counting

Transcripts  Transcripts    

Recorded on: Apr. 21, 2017

CLIFFORD KIRSCH: For our opening remark, we're very, very pleased, especially since we weren't quite sure if, yeah, you were going to make it on time, so we're all very, very pleased to see you, Jay. Professor Facciolo has practiced for 10 years as transactional corporate attorney in several major New York City law firms before becoming a professor. Jay is now the assistant director of the Securities Arbitration Clinic at the St. Johns University's ...

Fund Anatomy

Transcripts  Transcripts    

Recorded on: Apr. 21, 2017

CLIFFORD E. KIRSCH: OK. Thanks, and welcome back everyone. And on this panel, we're going to take a deeper dive into looking at fund anatomy, looking at the board of directors, the advisors, and a host of related requirements. And we have a great, great panel to help us do that. To my left is Greg Bressler. Greg serves as General Counsel of SunAmerica Asset Management and Chief Counsel for the AIG Consumer Distribution Organization supporting the ...

Current Trends and Developments Related to Funds

Transcripts  Transcripts    

Recorded on: Apr. 21, 2017

JAMES C. MUNSELL: Hello, everybody. My name is Jim Munsell. I've been promoted to the position of moderator on a battlefield basis, because Laurie has to run. EDWARD BAER: Say demoted. JAMES C. MUNSELL: Demoted. [LAUGHTER] So I'll be trying to contribute substantively as well. But please bear with me. We're here today to talk about current trends and developments relating to mutual funds and ETFs. I know ETFs have not gotten a lot of attention ...

Fund Litigation

Transcripts  Transcripts    

Recorded on: Apr. 21, 2017

LAURIN BLUMENTHAL KLEIMAN: Thanks, Lon. All right, we're back. And continuing the theme of showing off my best friends in the industry, we're going to talk about mutual fund litigation. This is, I think, a really fascinating topic, because as sort of continuing to what's on the exam from the regulatory standpoint, from the last panel, now we're going to talk about what's on the exam if you get sued. And so we're lucky to have two of the leading lights ...

Fund Regulation

Transcripts  Transcripts    

Recorded on: Apr. 21, 2017

LAURIN BLUMENTHAL KLEIMAN: All right, here we are. One of the great joys of doing these programs is you get to showcase your best friends across the industry. So this panel, which is going to be about a registered investment company regulation and compliance, I've invited two of my very best friends, but they also, thankfully for you, happen to be real experts in this area. So, to my left, is Shannon Behara, who is a partner at ACA Compliance Group, ...

Fund Marketing and Sale of Fund Shares

Transcripts  Transcripts    

Recorded on: Apr. 21, 2017

CLIFFORD E. KIRSCH: All right thanks, we are back. On this next panel we're looking to examine, speak about the regulatory framework, applying to fund sales. And we'll look at it both from the Investment Company Act and the things and the FINRA end of things. Bibb and Greg are back. So welcome back. BIBB L. STRENCH: Thanks. CLIFFORD E. KIRSCH: And I'm also very, very pleased to introduce and welcome back to this faculty Cynthia BA Cindy is my colleague, ...

Bankruptcy & Reorganizations 2017: Current Developments -- DIP Financing and Other Lending Issues; First Day Orders

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From the program: Bankruptcy & Reorganizations 2017: Current Developments

Recorded on: May. 1, 2017

Taken from the Web Program Bankruptcy & Reorganizations 2017: Current Developments recorded April, 2017 in New York. DIP Financing and Other Lending Issues; First Day Orders [01:01:27] First day orders DIP financing, first lien, priming and super priority lending Subordinating existing secured debt “Loan to Own” strategy Use of cash collateral and surcharge Expense of administration priority ...

DIP Financing and Other Lending Issues; First Day Orders

Transcripts  Transcripts    

Recorded on: May. 1, 2017

JOSEPH SAMET: Welcome back. It's 11:30, now, Eastern. And-- delighted to introduce, to my left, Michael Cook. Mike, of Schulte Roth & Zabel, has been involved in business reorganization, creditors'-rights litigation, mediation, and arbitration, mainstream bankruptcy and reorganizations for the last several decades. Mike has been involved in a whole range of major cases, has taught extensively, not only for PLI and other organizations but also at NYU, ...

Leveraged Financing 2017

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From the program: Leveraged Financing 2017

Released on: May. 12, 2017

In this program, the country’s leading experts in leveraged finance will examine key concepts and strategies in serving leveraged companies, including portfolio companies of private equity firms. You will learn about the leveraged finance marketplace, including new deal activity, continuing refinancing needs, evolving trends in leveraged finance, funding sources and product offerings, the impact of macro-economic, regulatory and political ...

Fashion and Retail Law 2017: Trends and Developments -- Investing in Fashion and Fashion Tech Companies

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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. Investing in Fashion and Fashion Tech Companies [00:59:43] The state of global venture capital and private equity activity Business trends and new concepts Key negotiation points Best practices Speaker: Lois F. Herzeca  The purchase price of this segment includes the following article from the ...

Ethical Considerations in Leveraged Financings

Transcripts  Transcripts    

Recorded on: May. 4, 2017

PATRICK J. RYAN: So our next-- hi, Julian. So our next panel is Ethical Issues and Leverage Financing Transactions. We have two panelists. Our first immediately to David's left, you may remember him for those of you who have been here in the past from prior years is Edwin Smith. He's a partner at Morgan Lewis. He concentrates his practice in commercial law, debt financing, structured financings, work out bankruptcies, and international transactions. ...

Financing an Acquisition

Transcripts  Transcripts    

Recorded on: May. 4, 2017

DAVID A. BRITTENHAM: Well, before I introduce the panel, I have a news flash from the OCC. Controller Thomas Currie is stepping down May 5th. So apropos of our regulatory discussion this morning, the OCC, which has been quite vigorous in the leveraged lending guidance space, is going to have a new head. We are blessed now with another panel of all stars. To my immediate left is-- I'm making sure. Jen is a member of Cahill Gordon's corporate practice ...

Direct Lending and Other Alternative Capital

Transcripts  Transcripts    

Recorded on: May. 4, 2017

PATRICK J. RYAN: Good. Welcome back, everybody. We're going to move on to our next panel. Direct lending and alternative capital. So we'll start with the introductions of the panelists. To David's left is Stephen Boyko. He's a partner in the corporate department, and co-head of the private credit finance group, at Proskauer. And he focuses primarily on finance transactions, particularly those involving private sources of capital. Very germane to ...

Investing in Fashion and Fashion Tech Companies

Transcripts  Transcripts    

Recorded on: May. 4, 2017

SEEMA LAL MEEHAN: So I'd like to just take a moment to introduce Lois. She's a partner in the New York office of Gibson, Dunn, and Crutcher and is co-chair with Howard Hogan of the firm's fashion, retail, and consumer products practice groups. Lois advises public and private companies, private equity firms, and investment banks on significant legal and business matters including, M&As, equity investments, license agreements, and joint ventures. And ...

Leveraged Financing in 2017

Transcripts  Transcripts    

Recorded on: May. 4, 2017

PATRICK RYAN: Wanted to introduce our other two panelists. To David's left is Michele Penzer. She's the managing partner of the New York office of Latham and Watkins and is a member of the firm's finance department and the banking and project finance practices. She has built a successful finance practice navigating clients through some of the most volatile market conditions over the past two decades. And to her left is Tony McMahon, who is an executive ...

Leveraged Finance Restructuring

Transcripts  Transcripts    

Recorded on: May. 4, 2017

DAVID A. BRITTENHAM: We are back with our second panel of the day on Leverage Finance and Restructuring. We are privileged to have with us two preeminent practitioners in these two areas. To my left is Angela Fontana. Angela's a corporate partner in the Dallas office of Sidley Austin, and member of the firm's Global Finance and Private Equity Groups, and co-head of the Private Equity Group. Her practice focuses on financing transactions and debt restructuring ...

Private Placement and Hybrid Securities Offerings 2017

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From the program: Private Placements and Hybrid Securities Offerings 2017

Released on: May. 26, 2017

Stay Ever Current: Subscribe today to , PLI’s new blog edited by Clifford E. Kirsch. Gain an understanding of the changing regulatory framework and market for private offerings. Our expert faculty will address the changes to private and exempt offerings brought about by the JOBS Act, including matchmaking platforms, “accredited investor” crowdfunding, offerings using general solicitation, Rule 144A offerings, and the practical ...

PIPE Transactions, Change of Control Transactions

Transcripts  Transcripts    

Recorded on: May. 24, 2017

ANNA PINEDO: And so with that, we're going to segue into a discussion of pipe transactions, and the rules and regulations, SEC and Securities Exchange rules, that affect those. And so with us this morning, we have a great group of panelists to help walk us through that. I'm going to go from the far left and introduce them before we get into the next set of slides. So we're very pleased to have Lori Arz with us. Lori is the executive director and ...

Resales of Restricted Securities and Secondary Sales of Securities of Privately Held Companies

Transcripts  Transcripts    

Recorded on: May. 24, 2017

ANNA PINEDO: OK, well, we're going to resume our session. And we start the afternoon with interesting discussions on resales of restricted securities, the private secondary markets, late stage private placements, and continuing on in a discussion of a lot of the developments we tried to flesh out this morning affecting more and more companies as companies choose to stay private and defer public offerings. So with us today from my far left, Annemarie ...

Considerations for Broker-Dealers Selling Private Placements

Transcripts  Transcripts    

Recorded on: May. 24, 2017

ANNA PINDEDO: OK, we're resuming our session. And we have the last two sessions of the day. So with us to discuss considerations that arise for broker-dealers in connection with private placements and hybrid offerings, we have Suzanne Rothwell from Rothwell Consulting. And Suzanne has had an over a 20 year career at FINRA, which was then NASD, working in the corporate financing department, and then went on to Skadden before now advising at Rockwell ...

Overview of 4(a)(2) and Regulation D

Transcripts  Transcripts    

Recorded on: May. 24, 2017

ANNA PINEDO: So with now does the background, I'm going to introduce our two speakers for the first panel. I'm very pleased to introduce my partner Marty Dunn Marty is in our Washington office. And before coming to private practice, Marty was at the SEC for about 20 years where he held a variety of different positions, including serving as the chief counsel in the Division of Corporation Finance, deputy director and acting director of the SEC's Division ...

Registered Directs, Confidentially Marketed Public Offerings and At-the-Market Offerings

Transcripts  Transcripts    

Recorded on: May. 24, 2017

ANNA T. PINEDO: Welcome back. So we have our final two sessions coming up and we're going to continue our discussion of hybrid financing transactions with registered directs, confidentially marketed and public offerings, and At-The-Market offerings. And with us we have a wonderful panel. I'm going to introduce them from my far left, Priya Velamoor, a Director and Assistant General Counsel in the Equity Capital Markets Group at Bank of America Merrill ...


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