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Global Capital Markets & the U.S. Securities Laws 2017

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From the program: Global Capital Markets & the U.S. Securities Laws 2017

Released on: Apr. 25, 2017

Capital markets are adjusting to a wide range of evolving regulatory standards which affect the way in which offerings are conducted around the world.  At the same time, issuers around the world are subject to changing accounting and corporate governance standards, while market participants navigate new ground in derivative product regulation.  Issuers and market participants also face an increasingly active global enforcement environment ...

Hot Topics in Global Capital Markets

Transcripts  Transcripts    

Recorded on: Apr. 20, 2017

PAUL DUDEK: OK, this is our hot topics panel of experienced capital markets international securities lawyers. So let's dive into it. And let me do some quick introductions. Next to David is Roderick Branch who's co-chair of the Chicago corporate department at Latham & Watkins. I have found in my short time there he represents a wide range of foreign companies that are involved in many transactions, Reg S, 144A. So he's certainly a particularly experienced ...

IFRS and Other Accounting Matters

Transcripts  Transcripts    

Recorded on: Apr. 20, 2017

PAUL DUDEK: OK. We're back. It's 11:30 here in New York, and we are going to talk about international financial reporting standards, IFRS, and other accounting matters. And, for that, we have two panelists. I can't think of anyone sort of bettered position to sort of talk about IFRS foreign private issuers and what's going on in terms of international accounting standards and developments there. First, next to David, we have Wayne Carnall who's done ...

A Global Perspective on Corporate Governance

Transcripts  Transcripts    

Recorded on: Apr. 20, 2017

DAVID LYNN: Welcome back. We're now going to turn our attention to corporate governance, and we have a great panel here to look at it from several different perspectives. I'm very pleased that we're able to have with us Mats Isaksson, who's the head of the Corporate Affairs Division of the OECD, who will offer some very interesting commentary on some of the things happening with the OECD and how the OECD operates. We have Barry Rosenfeld, who is the ...

Enforcement Developments in Global Capital Offerings

Transcripts  Transcripts    

Recorded on: Apr. 20, 2017

DAVID LYNN: Great, thank you all for joining us all day today. Now, our last panel today is Enforcement Developments in Global Capital Offerings, or, the Global Capital Environment. We're going to talk in some detail about some different concerns from the enforcement perspective. We have a fantastic panel here, assembled today. Joan McKown is a partner at Jones Day. Michael Mann is a partner at Richards Kibbe & Orbe. And Linda Chatman Thomsen, who's ...

Basics of Mutual Funds and Other Registered Investment Companies 2017 -- Current Trends and Developments Related to Funds

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

Recorded on: Apr. 21, 2017

Taken from the Web Program Basics of Mutual Funds and Other Registered Investment Companies 2017 recorded April , 2017 in New York. Current Trends and Developments Related to Funds [01:00:37] What are the major trends in the design and distribution of mutual funds? Will ETFs ever overtake mutual funds as the dominant pooled investment vehicle for the retail investor? Where do hedge funds fit in the investment fund landscape?  ...

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 ...

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 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, ...

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, ...

Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze

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From the program: Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze

Released on: Apr. 28, 2017

The legal framework applying to fiduciary investment advice is undergoing a sea change.  The DOL has finalized rulemaking that is dramatically changing the regulatory framework establishing fiduciary duties and obligations for broker-dealers, advisors and service providers in the retirement marketplace. At the same time, the SEC continues to advance its consideration of whether to subject broker-dealers and advisers to a harmonized uniform standard ...

The Advisers Act; Broker Dealer and Bank Fiduciary Requirements

Transcripts  Transcripts    

Recorded on: Apr. 27, 2017

CLIFFORD KIRSCH: Thanks. And we are ready for our next panel. And as I mentioned in the introduction, what we're looking to do on this panel is develop the framework more and flush it out with respect to advisers, broker dealers, and from the bank end of things. And you are in excellent hands. Priya, Mary, and Jen will walk us through this material. I'm very, very pleased to introduce Priya Udeshi Crick, who is Associate General Counsel at the Office ...

The DOL Conflicts Rule

Transcripts  Transcripts    

Recorded on: Apr. 27, 2017

CLIFFORD KIRSCH: All right. Welcome back to our final-- our final panel. And I asked the panelists to really take a deep dive into where we are today with the DOL rule, and how firms are reacting and thinking about it. And we have a good panel here. You're in good hands for the discussion. To my far right is Allison Wielobob. Allison is my colleague at Eversheds Sutherland and I work closely with her. I always enjoy working with Alison. She's a councilwoman ...

The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2017

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From the program: The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2017

Released on: May. 1, 2017

The Foreign Corrupt Practices Act (“FCPA”) is at the top of most companies’ key risk areas. DOJ and SEC resources devoted to it remain at an all-time high. Recent FCPA and bribery enforcement actions demonstrate that no industry is immune from scrutiny and this past year has seen record settlements.  Beyond the FCPA, more countries and international organizations, are ramping up anti-corruption enforcement and adding to the ...

Maximizing Leniency in Government FCPA Investigations

Transcripts  Transcripts    

Recorded on: Apr. 28, 2017

RICHARD W. GRIME: OK, good afternoon, everybody. We're in the homestretch. We have two sessions this afternoon. The first, we're gonna talk about essentially, how to maximize leniency in government investigations. And we have four experienced practitioners who have dealt with the government on many occasions, and certainly many of them have government backgrounds. And so we're really gonna try and tease out some issues that typically come up when ...

Unresolved Issues under the FCPA

Transcripts  Transcripts    

Recorded on: Apr. 28, 2017

RICHARD W. GRIME: We got to start the second session today. I realized that we went a little bit over on the first session. So people are going to still be joining as we get underway. But this session is really trying to ground the FCPA a little bit more around what the law actually says as opposed to what the agencies believe, perhaps they feel, what should be done. In other words, there are many legal issues that still remain to be resolved under ...

Anti-Corruption Issues When Doing Business in China

Transcripts  Transcripts    

Recorded on: Apr. 28, 2017

RICHARD W GRIME: Good morning, everybody. Welcome to day two of PLI's FCPA Conference 2017. I want to welcome everyone back, both in the room here in New York and on the webcast around the country, and potentially around the world as well. Just a few administrative items before we get under way. Like you to please fill in the evaluation forms. Tell us whether you like us, or whether you like the subjects, whether you prefer things done in a different ...

Anti-Corruption Issues Facing Financial Institutions

Transcripts  Transcripts    

Recorded on: Apr. 28, 2017

RICHARD W. GRIME: OK. Good afternoon, everybody. Welcome back to the afternoon of the first day. We are going to spend the next hour talking about anti-corruption issues that specifically face financial institutions. And so we're going to walk through some of the key points that financial institutions in particular face in this particular FCPA area. So we are just waiting on Anirudh, who is caught in some New York traffic, but in the meantime, I ...

One Size Does Not Fit All: FCPA Compliance for Small and Medium-Sized Companies

Transcripts  Transcripts    

Recorded on: Apr. 28, 2017

KIMBERLY A. PARKER: Good morning, everyone. Good to see everyone. So the idea for this panel actually came from some feedback we received on this program in evaluations from years past, which is that we often talk about compliance and we get distinguished speakers to come up here and talk to you. But often, they are from very large kind of household name companies with huge compliance departments. You hear from financial institutions who have, I ...

Crisis Management Hypothetical: How to Handle a Real World FCPA Problem

Transcripts  Transcripts    

Recorded on: Apr. 28, 2017

KIMBERLY A. PARKER: OK, everyone, hopefully people will make their way back into the room. The last panel, we hope to keep you on your toes. We actually have polling questions throughout to get your input on how the characters in this hypo should handle the situation they are faced with. And then, we have an expert panel here to give you their thoughts about that. But the way this works is, on your iPad, there will be polling questions throughout ...

Ethical Issues in FCPA Practice: Hypothetical on Whistleblowers

Transcripts  Transcripts    

Recorded on: Apr. 28, 2017

DANA M. BERMAN: I will turn the program over to Richard to start our final panel. RICHARD W. GRIME: OK, thanks, Dana. And the last panel is both a hypothetical, and it's an ethics panel. So we're going to not only talk about FCPA issues, but we're also going to focus on some of the more challenging ethical issues that come up during the course of investigation. So we're going to use a narrative to try and bring the process alive. We've also got some ...

Enforcement 2017: Perspectives from Government Agencies

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From the program: Enforcement 2017: Perspectives from Government Agencies

Released on: May. 18, 2017

We continue to see unprecedented changes in our economic, business and regulatory regimes in general, and in enforcement efforts in particular. This unique program brings together panels of senior staff from the various enforcement and regulatory agencies, including the U.S. Commodity Futures Trading Commission, FINRA, New York State Department of Financial Services, U.S. Securities and Exchange Commission, U.S. Attorney’s Office, U.S. Department ...

Anti-Money Laundering Due Diligence and Compliance 2017: What Lawyer, Accountants, and other Professional Service Providers Need to Know

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From the program: Anti-Money Laundering Due Diligence and Compliance 2017: What Lawyers, Accountants, and other Professional Service Providers Need to Know

Released on: Jun. 9, 2017

Money laundering is a fast-growing problem in today’s global economy. New technologies including online payment systems, virtual currency, and stored value cards have joined well-established methods of laundering the proceeds of criminal activity.      Because many white collar crimes are predicate offenses for money laundering, a wide array of violations can generate proceeds to be laundered before they can be freely spent. ...

AML/CFT Compliance: What do Lawyers and Their Clients Need to Know Now?

Transcripts  Transcripts    

Recorded on: Jun. 6, 2017

CHRISTINA THOMPSON: All right. I'm just going to quickly introduce our next panel while we're getting settled here, and then we'll move into the substantive content. First, let me introduce W. Hardy Callcott. His practice concentrates on enforcement defense and regulatory counseling concerning securities market and regulatory issues for broker-dealers, investment advisers, registered and private funds, and others in the financial services industry. ...

The Use and Misuse of Shell Companies and Offshore Entities: Panama Papers, 1MDB, and Other Scandals – What Does it All Mean for Legitimate Businesses?

Transcripts  Transcripts    

Recorded on: Jun. 6, 2017

NICOLE HEALY: So, I'll end with that. It's time now to turn to our first panel. And I'm going to introduce our panelists. We have two very distinguished panelists here today. First person on my right is Mikhail Reider-Gordon, she is a director of global disputes and investigations with Navigant Consulting. If you want to see her full bio, I believe it's available to you. I'm just going to give you a few of the highlights, because she has an extensive ...


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