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Showing 1 - 25 of 88 Results

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Hedge and Private Fund Enforcement & Regulatory Developments 2016

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

Released on: Dec. 12, 2016

The SEC and other government agencies continue to focus enforcement and examination efforts on hedge funds and private equity firms.  While insider trading remains a priority, examinations and investigations have turned to increasingly complex issues that private funds must deal with on a daily basis - valuation, conflicts of interest regarding fees, cybersecurity, big data and allocation of investment opportunities and expenses.  As the ...

Directors' Institute on Corporate Governance (Fourteenth Annual) -- Managing FCPA, Compliance and Enforcement Issues: Directors as Gatekeepers or Overseers

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

Recorded on: Dec. 2, 2016

Taken from the Web Program Directors' Institute on Corporate Governance (Fourteenth Annual) recorded November, 2016 in New York. Managing FCPA, Compliance and Enforcement Issues: Directors as Gatekeepers or Overseers [01:03:30] Setting the right tone Compliance Programs  Tabletop exercises Data Sources The Yates memo and individuals: what this means for Directors Ensuring an ...

Thorny Hedge Fund Hypotheticals - Ethical Issues

Transcripts  Transcripts    

Recorded on: Dec. 2, 2016

BARRY GOLDSMITH: OK, we're going to move into our last panel, which is our ethics panel, our thorny hedge fund hypotheticals. Let me introduce the panel. To my left is Susan Brune. Susan is a principal in the firm of Brune Law PC. Susan served as an AUSA for nine years before becoming the founding partner-- I'm sorry, before joining or forming Brune and Richard. And she was at that firm for 18 years. Susan is widely recognized as one of the leaders ...

Hot Button Enforcement Issues for Private Funds

Transcripts  Transcripts    

Recorded on: Dec. 2, 2016

BARRY R. GOLDSMITH: We're going to start the afternoon panels. This is our hot button issues. Sort of an eclectic mix of issues, but they're all, I think, quite important. And I will introduce the panel. To my left is Stephanie Brooker. Stephanie is a partner in the Washington office of Gibson Dunn and a member of the Financial Institutions in White Collar Defense and Investigations Practice Groups. Stephanie joined us in April of this year and she-- ...

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 ...

Annual Disclosure Documents 2016 -- Learnings from Enforcement and the Impact on Disclosure Practices

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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. Learnings from Enforcement and the Impact on Disclosure Practices [01:02:43] FCPA developments Insider trading Financial reporting cases Identifying enforcement priorities and their impact on disclosure practices           Speakers: Kenneth R. Lench, Deborah C. Lofton, Joan ...

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, ...

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 ...

New Developments in Securitization 2016 -- CFPB Roundup - Recent CFPB Actions of Importance to the Securitization Market

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From the program: New Developments in Securitization 2016

Recorded on: Dec. 16, 2016

Taken from the Web Program New Developments in Securitization 2016 recorded December, 2016 in New York. CFPB Roundup - Recent CFPB Actions of Importance to the Securitization Market [00:59:59] TRID update Mandatory Arbitration Structure and Constitutionality of CFPB Chris DiAngelo The purchase price of this segment includes the following article from the Course Handbook available online: Securitization and ...

CFPB Roundup - Recent CFPB Actions of Importance to the Securitization Market

Transcripts  Transcripts    

Recorded on: Dec. 16, 2016

FRANK POLVERINO: OK, welcome back everyone. I hope you had a good lunch. Our first panel this afternoon will be exploring the Consumer Financial Protection Bureau recent actions of importance to the securitization market. And our panelists today, to my left here is Chris DiAngelo. Chris is a partner at Katten Muchin Rosenman, and he's also the managing partner of the firm's New York office. Chris. CHRIS DIANGELO: Thank you. Let me first say a word ...

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 ...

Sixteenth Annual Institute on Securities Regulation in Europe: Practical Implications of U.S. Law on EU Practice -- Enforcement Programmes and Priorities in the U.S. and UK

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From the program: Sixteenth Annual Institute on Securities Regulation in Europe: Practical Implications of U.S. Law on EU Practice

Recorded on: Jan. 23, 2017

Taken from the Web Program Sixteenth Annual Institute on Securities Regulation in Europe: Practical Implications of U.S. Law on EU Practice recorded January, 2017 in London. Enforcement Programmes and Priorities in the U.S. and UK [00:59:59] Investigations, charging and settlement issues in cross-border investigations: Agency Coordination and Other Issues  Meaning of and Credit for Cooperation Deterrence Benefits from Increased ...

Developments in Securities Litigation for Corporate Lawyers

Transcripts  Transcripts    

Recorded on: Jan. 23, 2017

DAMIEN BYRNE HILL: Good morning, everyone. I'm Damien Byrne Hill, and I'm joined this morning by two other litigators. Deborah Finkler, who's head of investigation at Slaughter & May and Jim Windels, who's a litigator in Davis Polk in New York. Also, we're very honored to have one of our co-chairs, Brad Gans, who's going to join us for the assessment of transactional impact of some of the litigation developments, which I will be discussing with Jim ...

Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants

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From the program: Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants

Released on: Feb. 14, 2017

Broker-dealers that are dually registered as investment advisers are under intense regulatory scrutiny.  In this program, you will be provided with expert analysis regarding today’s hot topics impacting the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators will review current regulatory ...

Dual-Registrant Advice in the Retirement Marketplace

Transcripts  Transcripts    

Recorded on: Feb. 10, 2017

JASON ROBERTS: All right. While Jason is getting Mike, I'm going to just introduce him and say-- it's always a pleasure to introduce Jason. Jason Roberts is the CEO of Pension Resources Institute and a partner of the Retirement Law Group. Jason is the founder and CEO of the PRI, which is a firm that consults and provides compliance solutions and related services to retirement plan sponsors, service providers, and investment companies. And he's also ...

SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management

Transcripts  Transcripts    

Recorded on: Feb. 10, 2017

CLIFFORD KIRSCH: Great. Thanks. And thanks everyone for joining us again. So on this next panel, we're looking to discuss supervisory challenges. And what we did as a panel is just put our heads together in terms of what are the current issues that folks need to think about in this space. John and Cece are back with us. Thanks for re-joining us for this panel. I'm also very, very pleased to introduce Lisa and Joe. Lisa Francomano is executive director ...

Broker-Dealer Retail Wealth Management: The Regulatory Framework

Transcripts  Transcripts    

Recorded on: Feb. 10, 2017

CLIFFORD KIRSCH: And with that, let's get to our first panel. And as I had mentioned, what we're trying to do on this first panel is give you the regulatory framework, looking at sort of the terminology, lay of the land. And then we look at the Advisers Act and then broker dealers. And you're in great hands with the panel. To my left is Cece Mavico. Cece is an associate counsel at LPL. Prior to that, she was in private practice. And prior to that, ...

Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants

Transcripts  Transcripts    

Recorded on: Feb. 14, 2017

LAUREN NOCHTA: It is now my pleasure to introduce you to the chair of today's program, Cliff Kirsch. Cliff is a partner at Eversheds Sutherland in New York, where he focuses on Broker-Dealer and Adviser-Regulatory matters, including the design and distribution of various financial products. He is also the author and editor of two of the leading treatises in the Broker-Dealer and Adviser arena, Broker-Dealer Regulation, and Investment Adviser Regulation, ...

SEC Speaks in 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: The SEC Speaks in 2017

Released on: Mar. 3, 2017

At the beginning of each year, PLI presents in cooperation with the U.S. Securities and Exchange Commission The SEC Speaks program, providing an essential update on the current initiatives at the Commission, as well as the priorities for the coming year. In this unique program, you will hear remarks by the Chairman, and Commissioners, and Investor Advocate, as well as panel discussions by senior staff at the Divisions of Corporation ...

Government Investigations 2017: Investigations Arising From Data Breach and Privacy Concerns and Parallel Proceedings

On-Demand Web Programs  On-Demand Web Programs    

From the program: Government Investigations 2017: Investigations Arising From Data Breach and Privacy Concerns and Parallel Proceedings

Released on: Mar. 1, 2017

Electronic information pervades our society. Corporations and other organizations create, store, and utilize that information in all facets of business. Unfortunately, security can be breached and any breach can lead to investigations by various government agencies at the federal and State levels. Those investigations may lead to disputes about scope, variety and volume of electronic information to be produced. This program will explore the role ...

Mismarkings or Over-Valuations: Reasonable Estimates and Estimable Reasons? Recent Developments and Strategies for Litigants Concerning Actions by Prosecutors and Regulators

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

Recorded on: Mar. 2, 2017

Taken from the briefing Mismarkings or Over-Valuations: Reasonable Estimates and Estimable Reasons? Recent Developments and Strategies for Litigants Concerning Actions by Prosecutors and Regulators recorded March, 2017 in New York. In 2016, the Department of Justice and the Securities and Exchange Commission continued their recent spate of enforcement activity against traders, hedge funds, financial institutions and other companies alleging ...

Mismarkings or Over-Valuations: Reasonable Estimates and Estimable Reasons? Recent Developments and Strategies for Litigants Concerning Actions by Prosecutors and Regulators

Transcripts  Transcripts    

Recorded on: Mar. 2, 2017

AMY TAUB: It is now my pleasure to turn this briefing over to Gene Ingoglia. GENE INGOGLIA: Thanks, Amy. I guess good afternoon everybody. I'm still recovering from the rousing music that preceded Amy's introduction. I hope you all got to hear that too. As Amy told you, I'm a partner down in Overy. And this is a subject in which I have a particular fascination. When I was a federal prosecutor at the US Attorney's Office in Manhattan, I charged two ...

Corporate Governance - A Master Class 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: Corporate Governance - A Master Class 2017

Released on: Mar. 15, 2017

This program will address key corporate governance issues faced by boards and principal board committees.  Public companies and their directors and officers face increasing responsibilities, and even increased risk of liability.  They are also under intense scrutiny and in at least some cases significant pressure from investors and regulators.  Changing investor expectations and increased investor willingness to seek or force change, ...

Investment Management Institute 2017

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From the program: Investment Management Institute 2017

Released on: Mar. 30, 2017

In this program, you will hear current and former regulators, industry experts and practitioners discuss significant business and legal developments in the investment management area over the past year and analyze important regulatory initiatives such as: The SEC’s regulatory agenda under a new administration New liquidity management and derivatives regulation A review of new SEC staff guidance Current exchange-traded ...

How to Prepare an Initial Public Offering 2017 -- What the SEC Wants You to Know and Publicity Restrictions

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From the program: How to Prepare an Initial Public Offering 2017

Recorded on: Apr. 6, 2017

Taken from the Web Program How to Prepare an Initial Public Offering 2017 recorded April, 2017 in New York. What the SEC Wants You to Know and Publicity Restrictions [01:01:38] What communications are permitted during the registration process? “Testing the waters” under the JOBS Act Nuts and bolts of the SEC review process How to maximize effective interactions with the SEC Mara L. Ransom, Sophia Hudson The ...


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