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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

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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

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: 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

Web Segment  Web Segment    MP3 Audio  Audio Download (MP3)    MP4 - Mobile Video Seg  Video Download (MP4)    

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 ...

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

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 ...

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 ...

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 ...

Basics of Mutual Funds and Other Registered Investment Companies 2017 -- The Evolution of an Industry: 75 Years of Retail Fund Regulation … and Counting

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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. The Evolution of an Industry: 75 Years of Retail Fund Regulation … and Counting [01:16:09] The fund industry prior to regulation and Congress’s response to abuses The Investment Company Act framework: focus on conflicts of interest, disclosure and investor protection What are “registered ...

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 ...

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 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, ...

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

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: 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 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 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 Foreign Corrupt Practices Act and International Anti-Corruption Developments 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 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 ...

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 ...

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 ...


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