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Showing 1 - 25 of 132 Results


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How to Prepare an Initial Public Offering 2015 -- Communications During Registration and the SEC’s Role in the IPO Process

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From the program: How to Prepare an Initial Public Offering 2015

Recorded on: Apr. 13, 2015

Taken from the Web Program How to Prepare an Initial Public Offering 2015 recorded April 2015 in New York. 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 CLE certificate will be issued if credit has expired in your state. Communications ...

Audit Committees and Financial Reporting 2015: Recent Developments and Current Issues -- PCAOB Developments: What’s Happening in the Auditing Arena?

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From the program: Audit Committees and Financial Reporting 2015: Recent Developments and Current Issues

Recorded on: Jun. 24, 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. Taken from the Web Program PCAOB Developments: What’s Happening in the Auditing Arena? Recorded June 2015 in New York Upon ...

Enforcement Developments in Global Capital Offerings

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Recorded on: Apr. 20, 2017

Taken from the Web Program Recorded April 19, 2017 in New YorkEnforcement Developments in Global Capital Offerings [01:00:37]• Liability risk in global offerings • International convergence and enforcement • Global FCPA practices Michael D. Mann, Joan E. McKown, Linda Chatman ThomsenThe purchase price of this Web Program segment includes the following article from the Course Handbook available online:Repeal of Resource ...

The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals

MP4 - Mobile Video Seg  Video Download (MP4)    

Recorded on: Sep. 29, 2017

Taken from the Web Program Recorded September 27, 2017 in New YorkThe Government’s Perspective: Duties of In-House Counsel and Compliance Professionals [01:31:39] The government’s view on how in-house counsel and compliance officers can and should discharge their duties What does the DOJ consider in evaluating the conduct of in-house counsel and compliance personnel? How does the SEC scrutinize the knowledge and actions of in-house ...

Conflicts of Interest, Corruption and Compliance Risks

MP3 Audio  Audio Download (MP3)    

Recorded on: Nov. 1, 2017

Taken from the Web Program Recorded October 30 - 31, 2017 in New YorkConflicts of Interest, Corruption and Compliance Risks [01:00:54]Explore compliance risks and controls related to two of the higher-risk compliance areas Conflicts of Interest  Drafting workable policies and creating effective training  Questionnaires, certifications and approval procedures  Auditing and monitoring for conflicts   ...

Hot Button Enforcement Issues for Private Funds

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Recorded on: Dec. 5, 2017

Taken from the Web Program Recorded November 30, 2017 in New YorkHot Button Enforcement Issues for Private Funds [01:02:28] FINRA enforcement initiatives and cases in the hedge fund space The Clayton SEC – what has changed and what remains the same Use of political intelligence networks and insider trading – lessons from recent cases SEC use of big data in developing enforcement cases FCPA issues for private funds  ...

Annual Disclosure Documents 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: Annual Disclosure Documents 2017: Current Developments and Best Practices

Released on: Dec. 19, 2017

Stay current on disclosure requirements and developments affecting annual disclosure documents and proxy soliciting materials prepared by SEC reporting companies. Hear from the SEC staff and our faculty, who will focus on anticipated changes to the SEC disclosure regime in 2017, current “hot issues,” best practices, and practical pointers. The priorities of the new administration and new chair of the SEC are expected to bring significant ...

Mergers & Acquisitions 2018: Advanced Trends and Developments -- Appraisal Developments

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From the program: Mergers & Acquisitions 2018: Advanced Trends and Developments

Recorded on: Jan. 16, 2018

Taken from the Web Program Mergers & Acquisitions 2018: Advanced Trends and Developments Recorded January 2018 in New York Appraisal Developments [01:30:46] The rise of appraisal arbitrage Statutory responses Interplay between appraisal and fiduciary duty litigation Chancery Court rulings including Dell, DFC Global, PetSmart, SWS and Sprint Supreme Court rulings in DFC Global and Dell Selected issues  ...

Appraisal Developments

Transcripts  Transcripts    

Recorded on: Jan. 16, 2018

KEVIN MILLER: Well, welcome back, everybody. I hope you had a good interview there and are prepared for what I think will be one of the most dynamic and informative panels of the entire program. Our next panel is a panel on appraisal developments. It is extremely timely, given the fact that in 2017 we had not only the DFC decision, but we had more recently that Dell decision. There is some other appraisal decisions that are out there at the Chancery ...

M&A Litigation Developments

Transcripts  Transcripts    

Recorded on: Jan. 16, 2018

KEVIN MILLER: Well, welcome back, everybody. I hope you had an opportunity to have a good lunch. A few more people will obviously be straggling in as we get started here. Our next panel is on M&A litigation developments. And I believe this is going to be one of the most exciting and dynamic panels of the entire program. SPEAKER 1: Jesus. KEVIN MILLER: So I'm putting a-- JOEL FRIEDLANDER: You say that to all the [INAUDIBLE], right? [LAUGHTER] KEVIN ...

Revisions to the U.S. Department of Justice’s FCPA Corporate Enforcement Policy and Other Current Trends in FCPA Investigations

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

Recorded on: Jan. 19, 2018

Taken from the One-hour Briefing Recorded January 2018 in New York Revisions to the U.S. Department of Justice’s FCPA Corporate Enforcement Policy and Other Current Trends in FCPA Investigations [01:03:45] In November 2017,  Deputy Attorney General Rod Rosenstein announced a revised Department of Justice (“DOJ”) FCPA corporate enforcement policy.  The policy, which has been formally incorporated into the U.S. Attorneys’ ...

Revisions to the U.S. Department of Justice’s FCPA Corporate Enforcement Policy and Other Current Trends in FCPA Investigations

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

AMY: It is now my pleasure to turn this briefing over to Laura Oswell. LAURA OSWELL: Hi, everyone. Thank you so much for joining us today. As Amy said, my name is Laura Oswell. I'm a partner of Sullivan & Cromwell, resident in our Palo Alto office. I also happen to be one of the co-leaders of our FCPA practice and have worked for the last three years or so with Stanford Law School on the FCPA Clearinghouse, which is a repository of FCPA resolutions ...

Private Fund Regulatory Developments and Compliance Challenges 2018

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From the program: Private Fund Regulatory Developments and Compliance Challenges 2018

Released on: Feb. 7, 2018

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Private Fund Regulatory Developments and Compliance Challenges 2018 has been approved for 5 CCTS and 5 CTFA credits. This statement should not be viewed as an endorsement of this program or its sponsor. PLI’s Private Fund Regulatory Developments and Compliance Challenges carries on it’s tradition to review the private fund ...

Private Fund General Counsels' Roundtable

Transcripts  Transcripts    

Recorded on: Feb. 1, 2018

SUSAN GRAFTON: Hi, everybody. Welcome back. So, I want to announce that we have a winner for the private equity book, which is Camilla [? Colajenska. ?] And I'm sorry if I massacred your last name. So, congratulations on winning that excellent book. On this panel, we're going to have a roundtable discussion of general counsels, including what keeps them up at night. Which hopefully is a shorter list this year than last year. To my immediate right ...

Derivatives-Related Regulatory Developments and Compliance Challenges

Transcripts  Transcripts    

Recorded on: Feb. 1, 2018

REGINA G. THOELE: There's a couple of key areas that I'm just going to focus on in no particular order. But I think supervision is something that we're really looking at. I think we don't look at in on all exams, but in this year we're talking about making sure that the firms are adequately maintaining their records, that you're reviewing your records, and especially when it comes to utilizing outside administrators. So are you comfortable with what ...

Regulatory Developments and Compliance Challenges Facing SEC-Regulated Private Funds

Transcripts  Transcripts    

Recorded on: Feb. 1, 2018

K. SUSAN GRAFTON: Got it. OK. Great. All right, so now we're going to talk about FCC challenges particularly facing private funds. And we're going to have a discussion of some of the exam priorities from the SEC, and particularly from its private funds unit. Going to just talk a little bit of what the exam program looks like. We'll speak about some of the key regulatory developments, talk about some compliance challenges, and then talk about conflicts ...

Seventeenth Annual Institute on Securities Regulation in Europe: Practical Implications of U.S. Law on EU Practice

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: Seventeenth Annual Institute on Securities Regulation in Europe: Practical Implications of U.S. Law on EU Practice

Released on: Feb. 9, 2018

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. The Seventeenth Annual Institute on Securities Regulation in Europe: Practical Implications of U.S. Law on EU Practice has been approved for 4 CRCM and 11 CSOP credits. This statement should not be viewed as an endorsement of this program or its sponsor. The Institute will provide the important U.S. perspective relevant to UK and European ...

Developments in Securities Litigation for Corporate Lawyers

Transcripts  Transcripts    

Recorded on: Feb. 7, 2018

SIMON CLARKE: Morning. My name is Simon Clarke. I'm a disputes partner at Herbert Smith Freehills. The more observant amongst you may have noticed that there are five people named in the program and yet there are six people on stage. Why is this? The good reason for this is that I lost my voice between about Wednesday evening, and it's only beginning to recover. So I'm very pleased that to my immediate right is Adam Johnson QC. Adam is another partner ...

Enforcement Programmes and Priorities in the U.S. and UK

Transcripts  Transcripts    

Recorded on: Feb. 7, 2018

ANDREW M. GENSER: All right. Thank you everyone for coming. We have, I think, a terrific panel up here. We're going to be talking about various topics in enforcement of securities and other regulations in the US and the UK. My name is Andrew Genser. I'm a Partner at Kirkland and Ellis in New York. I do white collar defense and litigation. And we have really a fantastic panel here and we're very lucky. I'm going to just do some brief introductions. ...

Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants

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: Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants

Released on: Feb. 14, 2018

Broker-dealers that are dually registered as investment advisers are under intense regulatory scrutiny —including an increasingly demanding examination focus from the SEC, FINRA and the states.  At this program, attendees 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. ...

Digital Advisory Services

Transcripts  Transcripts    

Recorded on: Feb. 8, 2018

CLIFFORD KIRSCH: OK. So we are back for our wrap up panel on a digital advisory services. And we appreciate it. On this panel, we're going to look at the framework applying to digital advisory services. But we also want to cover some of the hot compliance issues-- thinking through how the SEC exams program go about reviewing digital advisory services. So with that, I'm very, very pleased to introduce my panelists. I'm first going to introduce Robert ...

Broker-Dealer Supervisory Themes

Transcripts  Transcripts    

Recorded on: Feb. 8, 2018

CLIFFORD E. KIRSCH: All right, everyone, welcome back. And we are here for our next panel, which is supervisory challenges and operating as a dual registrar. And thanks for the faculty for coming up with this panel. The way we did it was really just tried to go back and forth in terms of what's hot about what's out there. And we prep, we spoke about it, but we didn't overly script it. So we want everybody to add perspective. So you'll hear that. And ...

Overview of Advisory Programs

Transcripts  Transcripts    

Recorded on: Feb. 8, 2018

CLIFFORD KIRSCH: This next panel, as I mentioned in the introduction, is going to look at advisory programs. It's a very, very popular way in which broker-dealers offer advisory services or through advisory programs such as wrap account, mutual fund, asset allocation programs and the like. And we really wanted to leave this panel with you having a good understanding of what the programs are and how they operate, who the players are. So we're really ...

Broker-Dealer Retail Wealth Management: The Regulatory Framework

Transcripts  Transcripts    

Recorded on: Feb. 8, 2018

CLIFFORD KIRSCH: And for the first panel, a very big thanks for Cece and John Munch. They've been doing this panel for the last few years, and they always do a great job. Cece Mauvico is Senior Vice President and Associate General Counsel and Head of Regulatory Enforcement at LPL Financial. Prior to Cece being with LPL, she was in private practice. And prior to being in private practice, she was at FINRA. And one of the responsibilities I think you ...

Government Investigations 2018: Investigations Arising From Data Breach and Privacy Concerns and Parallel Proceedings

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: Government Investigations 2018: Investigations Arising From Data Breach and Privacy Concerns and Parallel Proceedings

Released on: Feb. 20, 2018

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 ...


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