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Showing 1 - 25 of 121 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

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 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?

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

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 ...

Global Capital Markets Perspectives in 2017

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

Recorded on: Apr. 20, 2017

Taken from the Web Program Recorded April 19, 2017 in New YorkGlobal Capital Markets Perspectives in 2017 [00:55:09]• The state of capital markets in a global environment • Role of the G20 and FSB in financial regulation • The SEC’s international regulatory agenda Emily S. Pierce, Anne Marie TierneyThe purchase price of this Web Program segment includes the following article from the Course Handbook available ...

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

MP4 - Mobile Video Seg  Video Download (MP4)    

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  ...

Appraisal Developments

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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  ...

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 ...

Scope and Limits of Government Investigation of a Data Breach

Transcripts  Transcripts    

Recorded on: Feb. 14, 2018

RON: And with that, I'm going to turn it over to our first panel. David Shonka, to my immediate right, is the moderator. I'm going to ask him to introduce himself and everyone else. And I will be back and see you in an hour or so. So enjoy the program everyone. DAVID SHONKA Thank you, Ron. Let me begin by following up with a couple of more hypotheticals or not hypotheticals, but questions for the group just to get a sense of who is here. And the ...

Responding to the Investigation

Transcripts  Transcripts    

Recorded on: Feb. 14, 2018

JASON SILVERMAN: OK. Hey, everybody. Welcome to the second panel of the day, responding to the investigation following a data breech. So my name is Jason Silverman. I'm a partner in the Washington DC office of Denton's. I am in the litigation department and the white collar and government investigations practice. So I represent clients in connection with government investigations arising from largely compliance issues. Also data breach and cyber ...

Primer on the Foreign Agents Registration Act ("FARA") 2018

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

Recorded on: Feb. 21, 2018

Taken from the One-Hour Briefing Recorded February 2018 in New York Primer on the Foreign Agents Registration Act ("FARA") 2018 [01:03:03] The Foreign Agents Registration Act ("FARA") is a criminal statute enacted in 1938 that only very recently has become the focus of a crackdown by the U.S. Department of Justice.  In addition to high profile FARA cases related to Special Counsel Robert Mueller's investigation of the Trump Administration, practitioners ...

The SEC Speaks in 2018

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 2018

Released on: Mar. 3, 2018

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. The SEC Speaks in 2018 has been approved for 15.75 CCTS and 15.75 CSOP credits. This statement should not be viewed as an endorsement of this program or its sponsor. At the beginning of each year, PLI presents, in cooperation with the U.S. Securities and Exchange Commission, The SEC Speaks program, which provides an essential update ...

Trading and Markets

Transcripts  Transcripts    

Recorded on: Feb. 27, 2018

SPEAKER 1: Our next panel is going to be led by Brett Redfern, the Director of the Division of Trading and Markets. Brett has a long history in the US equity markets, having worked with investors, exchanges, and broker-dealers. During his career, Bret is focused on how technology, regulation, and business trends are changing trading patterns across asset classes and geographic regions. Brett joined the SEC from JP Morgan where he was global head ...

Corporation Finance

Transcripts  Transcripts    

Recorded on: Feb. 27, 2018

STEPHANIE AVAKIAN: Before I hand things over to Bill for the Corporation Finance panel, I'd like to introduce the esteemed commentators for the panel, Paul Atkins, Ed Fleischman, and Troy Paredes. Paul Atkins served as Commissioner from July 2002 to August 2008. During which time, he advocated for better transparency and consistency in the SEC's decision making and enforcement activities. As a Commissioner, Paul represented the SEC at various meetings ...

Investment Management

Transcripts  Transcripts    

Recorded on: Feb. 27, 2018

SPEAKER 1: Dalia Blass, the director of the Division of Investment Management will lead our next panel. Dalia previously served in a number of leadership roles in IM, most recently as assistant chief counsel. She returned to the SEC as director of Investment Management in September, 2017 from Ropes and Gray where she advised on a broad range of investment fund, private equity, and regulatory matters, including ETFs. Earlier in her career she practiced ...

Compliance Inspections and Examinations

Transcripts  Transcripts    

Recorded on: Feb. 27, 2018

STEPHANIE AVAKIAN: So next up we have the Office of Compliance Inspections and Examinations panel led by director Pete Driscoll. Pete was named director of OC last October after serving as acting director since January 2017. Before that, Pete served as OC's first chief risk and strategy officer since March 2016, and was previously OC's managing executive from 2013 through February 2016. Pete joined the agency in 2001 as a staff attorney in the division ...

Judicial and Legislative Developments

Transcripts  Transcripts    

Recorded on: Feb. 27, 2018

STEPHEN: OK. Ladies and gentlemen, we're going to get started again, so please take your seats. So our next panel on judicial and legislative developments is led by Bob Stebbins, the general counsel of the Commission. Prior to joining the commission, Bob practice law at Willkie Farr & Gallagher from 1993 until May 2017. At Willkie, Bob focused on mergers and acquisitions, private equity and venture capital, investment funds, capital markets transactions, ...

Workshop A: Corporation Finance

Transcripts  Transcripts    

Recorded on: Feb. 27, 2018

JAMES M. DALY: I'm Jim Daly. I'm an associate director in the Division of Corporation Finance. And I'll introduce my panelists in just a minute. But I just want to issue the standard disclaimer and then remind you that our remarks are the same, but you've already heard it several times today. So we pretty much can incorporate it by reference and move on. We have a number of disclosure and processing developments to share with you today, as well as ...

Accounting

Transcripts  Transcripts    

Recorded on: Feb. 27, 2018

STEVE: Our next panel is the accounting panel led by Wes Bricker, the SEC's chief accountant. In his role, Wes serves as the principal advisor to the SEC on accounting and auditing matters. He consults with registrants, auditors, and other industry representatives and is responsible for the oversight of the Financial Accounting Standards Board and the Public Company Accounting Oversight Board. Earlier in his career, Wes served as a partner at PricewaterhouseCoopers ...

Enforcement

Transcripts  Transcripts    

Recorded on: Feb. 27, 2018

BILL: So next up is our enforcement panel, led by Stephanie Avakian, Steve Peikin-- STEPHANIE AVAKIAN: [GASP] [BREAKING GLASS] That was my bad. BILL: --the event co-directors of our Division of Enforcement since last June. STEPHANIE AVAKIAN: Sorry, Grace. BILL: Among other things, they'll be telling us today whether the insider trading defense-- I was just helping Commissioners Jackson and Piwowar with a counter-factual pilot on insider trading ...

Workshop G: Trading and Markets

Transcripts  Transcripts    

Recorded on: Feb. 27, 2018

RANDALL ROY: Good afternoon, and welcome to the Trading and Markets workshop. Thanks for sticking with us on this last session of the two-day event. Before we begin, I have to give the standard disclaimer, which you've probably heard thousands of times. Obviously, our comments are our own and do not represent the views of the commission or the staff. And this disclaimer applies to everybody here, so they won't have to repeat it again. We've got a ...

Economic and Risk Analysis

Transcripts  Transcripts    

Recorded on: Feb. 27, 2018

STEPHANIE AVAKIAN: Hey, everyone. So we are back from our break with a panel discussion from the Division of Economic and Risk Analysis headed up by Dr. Jeffrey Harris. In September 2017, the Commission named Dr. Harris chief economist and director of DERA. He is currently on leave from the School of Business at American University, where he holds an endowed chair in finance. Jeff previously served as the chief economist at the CFTC and as a visiting ...

Primer on the Foreign Agents Registration Act ("FARA") 2018

Transcripts  Transcripts    

Recorded on: Feb. 28, 2018

AMY TAUB: Hello. My name is Amy Taub and I'm a Program Attorney with PLI, a nonprofit learning organization. I would like to welcome you to today's briefing-- Primer on the Foreign Agents Registration Act 2018. Before we begin, I have some administrative announcements. This briefing will be one hour in length. Please feel free to send questions at any time during the briefing. Please remember that you have access to material for this briefing via ...

Compliance Inspections and Examinations (The SEC Speaks in 2018: Workshop E)

MP3 Audio  Audio Download (MP3)    

Recorded on: Mar. 2, 2018

Taken from the Web Program The SEC Speaks in 2018 Recorded February 2018 in Washington, D.C. Compliance Inspections and Examinations (The SEC Speaks in 2018: Workshop E) [00:59:38] Common risks and themes from 2017 exams and 2018 priorities Risk identification and industry trends Speakers: Office of Compliance Inspections and Examinations Everardo de Armas, Branch Chief Allison Fakhoury, Senior Regulatory Counsel, Office of Clearance and ...

Enforcement (The SEC Speaks in 2018: Workshop C)

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

Recorded on: Mar. 2, 2018

Taken from the Web Program The SEC Speaks in 2018 Recorded February 2018 in Washington, D.C. Enforcement (The SEC Speaks in 2018: Workshop C) - Audio - only [01:02:28] Retail strategy matters FCPA matters Financial fraud and audit matters Complex financial instruments matters Broker-Dealer practices Market abuse and market structure matters Public finance abuse Speakers: Division of Enforcement Jeffrey Boujoukos, ...


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