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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 ...

Global Capital Markets Perspectives in 2017

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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 ...

Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2017 -- The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals

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From the program: Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2017

Recorded on: Sep. 29, 2017

Taken from the Web Program Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2017 recorded September 2017 in New York. The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals [01:30:58] 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 ...

Defending the Gatekeeper: When In-House Counsel and Compliance Professionals are Investigated

Transcripts  Transcripts    

Recorded on: Sep. 29, 2017

DANIEL NATHAN: Good afternoon, folks. Welcome back from lunch. I hope the details of the factual hypothetical are still fresh in your minds. If not, there will be some reminders as we go along. The next session is entitled "Defending the Gatekeeper-- When In-House Counsel and Compliance Professionals are Investigated." And to lead the panel and to kick it off, I'll introduce Lee Richards. I should have your biography. Why don't you introduce yourself, ...

White Collar Crime 2017: Prosecutors and Regulators Speak

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From the program: White Collar Crime 2017: Prosecutors and Regulators Speak

Released on: Oct. 7, 2017

In recent years, the Department of Justice, the SEC, the CFTC, and other U.S. and foreign agencies have pressed forward with a white collar enforcement program of unprecedented scope and severity. The recent changes in the U.S. administration have created additional uncertainty about what to expect in this arena.  With a spotlight on the financial services sector, the authorities have advanced novel theories and have exacting draconian penalties. ...

Broker/Dealer Regulation and Enforcement 2017

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From the program: Broker/Dealer Regulation and Enforcement 2017

Released on: Oct. 18, 2017

Stay Ever Current: Subscribe today to , PLI’s new blog edited by Clifford E. Kirsch.   In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Broker/Dealer Regulation and Enforcement 2017 has been approved for 6.5 CAFP, 7.75 CRCM, 6.5 CSOP credits.    This statement should not be viewed as an endorsement of this program or its sponsor.  This program ...

In-House Broker/Dealer Lawyer Roundtable

Transcripts  Transcripts    

Recorded on: Oct. 17, 2017

CARMEN J. LAWRENCE: OK, so let's get started. Next panel is the in-house lawyers roundtable. We'll hear from senior lawyers, discussing how they manage the day to day challenges presented to them by this regulatory environment. This panel is moderated by Colleen Mahoney. Colleen is the head of Skadden Securities Enforcement practice. She regularly represents financial services firms, corporations, their boards, board committees, officers, directors, ...

Broker/Dealer Compliance Officer Roundtable

Transcripts  Transcripts    

Recorded on: Oct. 17, 2017

CARMEN LAWRENCE: Ghillaine Reed is a member of McGuire Woods Government Investigations, a white collar litigation practice group. And she co-heads the broker dealer practice for the financial institutions industry team. She focuses her practice on government and securities regulatory investigations, financial services litigation, commercial litigation, and corporate compliance. Prior to entering private practice, Ghillaine was with the SEC where she ...

Pocket MBA 2017: Finance for Lawyers and Other Professionals (SF) -- Financial Improprieties, Fraud & Other Threats to Business

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From the program: Pocket MBA 2017: Finance for Lawyers and Other Professionals (SF)

Recorded on: Oct. 23, 2017

Taken from the Web Program Pocket MBA 2017: Finance for Lawyers and Other Professionals (SF) recorded October 2017 in San Francisco. Financial Improprieties, Fraud & Other Threats to Business [01:17:10] Recent enforcement developments and examples of financial improprieties What steps should in-house lawyers and outside counsel take when financial improprieties are uncovered? Threats companies face today:  FCPA, Sanctions, ...

Financial Improprieties, Fraud & Other Threats to Business

Transcripts  Transcripts    

Recorded on: Oct. 23, 2017

RODIN HAI-JEW: OK, I think we're going to get kicked off. I'll introduce Catherine Moreno and Rex Homme. Catherine Moreno's a partner in the Palo Alto office of Wilson Sonsini Goodrich and Rosati. Catherine specializes in securities litigation and counseling, including the defense of companies and their directors and officers in class actions, derivative lawsuits, and M&A litigation. She also is experienced with internal investigations, and in defending ...

Fundamentals of Swaps & Other Derivatives 2017

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From the program: Fundamentals of Swaps & Other Derivatives 2017

Released on: Oct. 27, 2017

Over-the-counter (OTC) derivatives are key elements in many of our financial markets.  The Dodd-Frank Act and other regulations have changed and are continuing to change how these important instruments are regulated and transacted.  This program will introduce you to both the instruments and their current environment. A derivative is a financial instrument that allocates the risks and price exposures associated with a designated reference ...

Derivatives Documentation -- Overview of the ISDA Architecture; Masters, Schedules, Confirms, CSAs and collateralization; Execution and Account Agreements

Transcripts  Transcripts    

Recorded on: Oct. 24, 2017

JOSHUA D. COHN: Welcome back, everyone. Hope you had a nice lunch. We're going to talk now about derivatives documentation, and our presentation we'll cover both traditional OTC, and we'll also touch on clearing documentation. We have a great panel with us and starting immediately to my left we have Willa Cohen Bruckner, who's a partner in the financial services and products group in Alston & Bird's New York office, concentrating on derivatives structured ...

Advanced Swaps & Other Derivatives 2017

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From the program: Advanced Swaps & Other Derivatives 2017

Released on: Nov. 6, 2017

The Dodd-Frank Act established a novel, comprehensive framework for the regulation of over-the-counter (OTC) derivatives and the market participants who transact in these products.  That regulatory framework, split primarily between the SEC and CFTC, has been substantially implemented by the CFTC.  For their part, the SEC has made substantial progress and has most recently focused on finalizing the rules applicable to security-based swap ...

Swap Execution Methods, SEFs, Give-up and Reporting

Transcripts  Transcripts    

Recorded on: Oct. 26, 2017

JOSHUA COHN: Welcome back from lunch. We're going to get going again. I hope that those of you who ventured outside managed to stay dry. So we're now going to be talking about swap execution methods, SEFs, give up, and reporting. We have an excellent panel. Sitting to my left is Deborah Cook, who's managing director and Deputy General Counsel of the Depository Trust and clearing corporation-- DTCC. Her primary areas of responsibility includes supporting ...

Advanced Compliance and Ethics Workshop 2017 New York -- Enhancing Compliance Reporting Procedures and Conducting Investigations

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From the program: Advanced Compliance and Ethics Workshop 2017 New York

Recorded on: Nov. 1, 2017

Taken from the Web Program Advanced Compliance and Ethics Workshop 2017 New York recorded October 2017 in New York. Enhancing Compliance Reporting Procedures and Conducting Investigations [01:01:53] Helpline and investigation protocols  Communicating with employees and others about reporting and investigations  Best practices in conducting investigations, including maintaining independence and confidentiality  ...

Recent Compliance Developments and What to Expect in 2017 and Beyond

Transcripts  Transcripts    

Recorded on: Nov. 7, 2017

REBECCA WALKER: OK. So to talk about recent developments, we have Paul McGreal, who is so generous in coming to give this lecture for us for many years now and we really appreciate it. Paul is a professor of law at the Creighton University School of Law. He's been there since July 2015, where he came in to be the Dean of the School of Law, there. And served in that position until July of 2017. Paul works with the Business Ethics Alliance on programs ...

Enhancing Compliance Reporting Procedures and Conducting Investigations

Transcripts  Transcripts    

Recorded on: Nov. 7, 2017

REBECCA WALKER: Yes. We'll go to the next one. And so we only have two more panels left today, guys. We're sort of coming toward the end of the day. We have this one on reporting and investigations. And then we'll have a break, I promise, and an opportunity to get some of PLI's famous cookies, maybe, hopefully. And some more coffee or tea. And then we'll have a discussion about conflicts of interest and corruption to finish up the day. But before ...

Conflicts of Interest, Corruption and Compliance Risks

Transcripts  Transcripts    

Recorded on: Nov. 7, 2017

REBECCA WALKER: OK, so we are ready to get started on the last panel of the day. So far today, we have figured out how to assess your compliance risk and understand your risk profile, what your program structure and board oversight should look like, what your reporting procedures and investigations procedures should look like, how to structure your code, training and communications. We talked about a whole bunch of different program elements, and ...

49th Annual Institute on Securities Regulation

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From the program: 49th Annual Institute on Securities Regulation

Released on: Dec. 3, 2017

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. The 49th Annual Institute on Securities Regulation has been approved for 2.5 CAFP, 20.25 CCTS, 2.5 CRCM, and 1.25 CSOP credits. This statement should not be viewed as an endorsement of this program or its sponsor. What You Will Learn IPOs and public offerings by seasoned issuers Private offerings and public offerings by smaller ...

Financial Services Industry Regulatory Compliance Forum 2017

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From the program: Financial Services Industry Regulatory Compliance Forum 2017

Released on: Nov. 15, 2017

In addition to the credits listed , this program also offers credit for ABA professional certification. Financial Services Industry Regulatory Compliance Forum 2017 has been approved for 8.25 CRCM credits. This statement should not be viewed as an endorsement of this program or its sponsor. Financial services firms’ corporate compliance and ethics programs continue to be under intense regulatory scrutiny. Many new rules have been issued which ...

Compliance and Legal Supervisory Liability in Financial Services

Transcripts  Transcripts    

Recorded on: Nov. 13, 2017

BRIAN RUBIN: Good afternoon. I am Brian Rubin, a partner with Sutherland. And for the folks here-- we have some quiz questions for the folks everywhere-- but for the folks here, we have some water bottles from Eversheds Sutherland. So if you get the correct answer, afterwards you can come back, and I'll give you your excellent water bottle. And I'm a partner of Cliff Kirsch. Jeanine, why don't you introduce yourself. JEANINE GIRALDO MCHUGH: Sure. ...

Legal Ethics: The Lawyer’s Role When Something Goes Wrong in Financial Services

Transcripts  Transcripts    

Recorded on: Nov. 13, 2017

SPEAKER 1: Welcome back for our final panel, and I'm very, very pleased to welcome back to this program Benjamin Gruenstein. Benjamin is a partner in Cravath litigation department. His practice focuses on the representation of US and multi-national companies, and their senior executives and government investigations, including those of the DOJ, US-SEC, as well as internal corporate investigations. Before joining a Cravath, Benjamin served as assistant ...

The Role of Data and Other Elements in Assessing Risk: A Regulatory Perspective

Transcripts  Transcripts    

Recorded on: Nov. 13, 2017

CLIFFORD KIRSCH: Welcome back. And welcome to our next panel. With the emergence of data analytics and its application to regulation, I wanted to add to the program a panel looking at data analytics from a regulatory perspective. And I'm very, very pleased to introduce Scott Bauguess and Carlo di Florio and Scott Kirwin. Scott Bauguess is the Deputy Chief Economist at the SEC and Deputy Director of the SEC's DERA office, which is the Division of ...

The Defense Perspective: The Many Shades of Gray

Transcripts  Transcripts    

Recorded on: Nov. 13, 2017

CARMEN LAWRENCE: We're back with the defense perspective panel. Before I introduce Linda Thomsen the moderator, I have a couple of questions for the audience. First, show of hands, how many have been involved in decision making around whether to self-report a potential violation of law? Please raise your hands. Fair amount, handful plus. How many have recently participated in negotiating a resolution of an enforcement matter with any government agency? ...


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