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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 ...

Internal Investigations 2017

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From the program: Internal Investigations 2017

Released on: Jun. 26, 2017

Knowing how to conduct efficient and effective internal investigations is key to protecting your clients or company. Companies and their counsel need to be diligent and proactive in identifying risks and remedying potential issues. In this program, an expert faculty will review the fundamentals of conducting an effective and efficient investigation using a real-world hypothetical with a graphic novel illustration to bring the characters to life.  ...

Conducting the Internal Investigation

Transcripts  Transcripts    

Recorded on: Jun. 20, 2017

RICHARD J. MORVILLO: OK, everyone. Welcome back. Thank you for being back. I neglected to point out in the earlier panel that MaryJeanette Dee came in at the last minute to become our moderator. She was on the panel because Steve Peikin of Sullivan and Cromwell had the nerve to take the job of Deputy Director of the Enforcement Division, in order to get out of-- NANCY KESTENBAUM: Not Deputy Directory. CHRISTINA DUGGER: Co-- RICHARD J. MORVILLO: ...

Concluding the Internal Investigation

Transcripts  Transcripts    

Recorded on: Jun. 20, 2017

NANCY KESTENBAUM: Welcome back, everybody. I hope you had a nice lunch. It is my pleasure to introduce the moderator of our next panel, Martine Beamon, sitting here in the lovely white. Ms. Beamon, Martine, is a partner in Davis Polk's litigation department and a former federal prosecutor for the Southern District of New York. She has successfully represented individuals and institutions at their most critical situations, including grand jury and ...

Commencing the Internal Investigation: Considerations at the Outset

Transcripts  Transcripts    

Recorded on: Jun. 20, 2017

RICHARD MORVILLO: So without further ado, I'm going to turn this over to MaryJeanette Dee, who will be moderating the first panel. She is a partner in the government contracts, investigations, international trade, and every other thing that Sheppard Mullin does. And you must believe her because she's a member of her church choir. So she's only going to give you some practical advice that you must heed if you really care about the afterlife. In any ...

Fundamentals of Investment Adviser Regulation 2017

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From the program: Fundamentals of Investment Adviser Regulation 2017

Released on: Jun. 29, 2017

Stay Ever Current: Subscribe today to , PLI’s new blog edited by Clifford E. Kirsch. Over the past few years, the SEC has put the regulation of investment advisers under the microscope, with advisers becoming a major focus of the SEC’s 2017 enforcement and exam program.  The SEC has set high expectations for advisers in identifying and responding to conflicts of interests and for providing robust and targeted client disclosures. ...

Who is an Investment Adviser; Regulatory Jurisdiction

Transcripts  Transcripts    

Recorded on: Jun. 28, 2017

CLIFFORD E. KIRSCH: So with that, again, welcome. And I'm very, very pleased to sort of get to our first panel, and also to introduce Ken Berman and Phil Rutledge. It's always a pleasure to be doing panels and work with Ken and Phil. Ken Berman, to my left, is a partner with Debevoise & Plimpton and is a member of the firm's Investment Management and Financial Institution groups. Prior to Debevoise, Ken was-- and that's where I got to know Ken-- Ken ...

Attracting Clients and Establishing the Investment Adviser-Client Relationship

Transcripts  Transcripts    

Recorded on: Jun. 28, 2017

CLIFFORD E. KIRSCH: All right. Well, welcome back. We are ready to start up again. And this next panel is looking at the framework regarding the adviser-client relationship. So we cover a few different aspects of the relationship. And we keep on building on what we were talking about this morning, getting into some of the substantive rules affecting advisers and the adviser-client relationship. And it's always a pleasure to do this with Maureen and ...

How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty

Transcripts  Transcripts    

Recorded on: Jun. 28, 2017

CLIFFORD E. KIRSCH: Welcome back. And we are here for the next panel where we're going to focus on Adviser Registration, the Disclosure Regime, Advisers' Fiduciary Duty, and Conflict. So for the folks on the web and live, keep the questions coming. It's really making for interesting dialogue, so we appreciate it. And it's great welcome back Michael and Chris to the faculty. Michael, to my left, Michael Koffler is my colleague at Eversheds Sutherland ...

Brokerage and Trading Practices; Investment Adviser Compliance Programs

Transcripts  Transcripts    

Recorded on: Jun. 28, 2017

CLIFFORD E. KIRSCH: All right, everybody, welcome back, and we are here for our next panel. On this next panel we're planning to cover trading practices and adviser compliance programs. A very, very welcome to-- welcome back to the faculty, Steven Yadegari and Steven Stone. Steve Yadegari to my left is chief operating officer and general counsel of Cramer Rosenthal McGlynn, a registered investment adviser located here in New York. Prior to joining ...

Private Funds

Transcripts  Transcripts    

Recorded on: Jun. 28, 2017

CLIFFORD E. KIRSCH: All righty. We are back. Thanks, everyone. And when we were thinking about this program over the past few years, we devoted a separate panel on investment advisers to private funds. And that's because there's so many unique and so many important issues relating to advisors to private funds. So again, we have this as a standalone panel. And it's always a pleasure to introduce Peter to this program, to introduce him to you. Peter ...

Eighteenth Annual Private Equity Forum -- Private Equity Fund Terms: Hot Button Issues

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From the program: Eighteenth Annual Private Equity Forum

Recorded on: Jul. 12, 2017

Taken from the Web Program Eighteenth Annual Private Equity Forum recorded July, 2017 in New York. Private Equity Fund Terms: Hot Button Issues [01:13:19] Alternative fee arrangements Co-Investments Side letters and how to deal with them M. Masotti, G. Sarno, R. Silberstein The purchase price of this segment includes the following article from the Course Handbook available online: Debevoise & Plimpton ...

Private Equity Fund Terms: Hot Button Issues

Transcripts  Transcripts    

Recorded on: Jul. 12, 2017

YUKAKO KAWATA: Moving on to our next panel. We have in front of us a very distinguished group of practitioners in this area. And let me introduce them quickly, although some of you may already know the people sitting up here. To my left is Marco Masotti. He is a partner at Paul Weiss. And he is recognized as one of the country's leading lawyers in the asset management, alternative asset management industry. He has done all kinds of things, and gotten ...

Kokesh v. SEC: Supreme Court Says Disgorgement is a Penalty Subject to Statute of Limitations

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Recorded on: Jul. 14, 2017

Taken from the briefing Kokesh v. SEC: Supreme Court Says Disgorgement is a Penalty Subject to Statute of Limitations recorded July, 2017 in New York. The U.S. Supreme Court’s June 5, 2017 decision in Kokesh v. Securities and Exchange Commission held that the “disgorgement” remedy sought by the SEC in its enforcement actions is a “penalty” subject to the five-year statute of limitations found in 28 U.S.C. § 2462. ...

Kokesh v. SEC: Supreme Court Says Disgorgement is a Penalty Subject to Statute of Limitations

Transcripts  Transcripts    

Recorded on: Jul. 14, 2017

AMY TAUB: Hello. My name is Amy Taub, and I am a program attorney with PLI, a nonprofit learning organization. I would like to welcome you to today's briefing, Kokesh Versus the SEC: Supreme Court Says Disgorgement is a Penalty Subject to Statute of Limitations. 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 ...

Fundamentals of Broker-Dealer Regulation 2017

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From the program: Fundamentals of Broker-Dealer Regulation 2017

Released on: Jul. 25, 2017

Stay Ever Current: Subscribe today to , PLI’s new blog edited by Clifford E. Kirsch. Major changes in the broker-dealer industry and regulatory framework continue as a result of the financial services crisis, the resulting regulatory reform and a new Administration that is providing a fresh and comprehensive examination of financial services regulation.  At the same time, broker-dealers are subject to intense regulatory exam and ...

Understanding the Securities Laws 2017

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From the program: Understanding the Securities Laws 2017

Released on: Jul. 19, 2017

Whether you are new to the field or seeking a quick refresher or an update, this is the securities law primer that you won’t want to miss. This program will provide an overview and discussion of the basic aspects of the U.S. federal securities laws by leading in-house and law firm practitioners as well as SEC staff. Emphasis will be placed on the interplay among the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley ...

An Overview of the Broker-Dealer Regulatory Framework

Transcripts  Transcripts    

Recorded on: Jul. 18, 2017

CLIFFORD E. KIRSCH: Welcome back and thanks, everyone. So again, where we are is we've covered who is a broker-dealer and how does a broker-dealer register and become a FINRA member. On this panel we're hoping to give you a better sense and get you closer to the pattern of regulation-- what the regulatory scheme looks like, and also very importantly, how the regulators interact. And when you're a broker-dealer and dealing with broker-dealer regulation, ...

The Broker-Dealer Customer Relationship

Transcripts  Transcripts    

Recorded on: Jul. 18, 2017

CLIFFORD E. KIRSCH: All right. Welcome back everyone. This panel, as I said at the beginning, is looking at the framework that applies to the broker dealer customer relationship. And what we do is trace the relationship from the initiation of the customer relationship, to the maintenance of the customer relationship, and the end of the customer relationship. And as part of the discussion we also discussed the broker dealer standard of care. What obligations, ...

Liability for Securities Law Violations

Transcripts  Transcripts    

Recorded on: Jul. 18, 2017

ADELE HOGAN: OK. So we're going to bring it home today with a very exciting and interesting panel on liability for securities law. And we have three incredibly prominent, interesting speakers. To my left is Doug Koff. He's a partner Schulte Roth. And he really does represent high profile civil and criminal people and cases, and companies and cases. Everybody's bios are in your materials. But he is an outstanding dynamic lawyer. If you have a defense ...

Broker-Dealer Financial Responsibiity; Trading Issues

Transcripts  Transcripts    

Recorded on: Jul. 18, 2017

CLIFFORD KIRSCH: Thanks. Thanks, Lauren. And we are back. And this next panel is a combination of topics. We're going to look at broker-dealer financial responsibility and trading issues. So we're covering a lot in this panel. I'm very very pleased to welcome back to the faculty Mark Attar. Mark is to my left with Schiff Harden. Mark is an expert in the SEC's complex broker-dealer financial and responsibility rules. Before rejoining Schiff Harden, ...

Broker-Dealer Exam Priorities and Hot Topics

Transcripts  Transcripts    

Recorded on: Jul. 18, 2017

CLIFFORD KIRSCH: First, we're going to be looking at regulatory priorities of the SEC or I guess more precisely what the industry hopes would be regulatory priorities of the SEC. And then we have an awful lot in terms of Fintech, Blockchain, just a lot of the terms of hot topics. And I'm very, very pleased to introduce to my left, the General Counsel of SIFMA. And for those of you who are brand new, you probably even still know SIFMA. But SIFMA is ...

Insider Trading Law 2017

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From the program: Insider Trading Law 2017

Released on: Jul. 28, 2017

In recent years, insider trading has been a critical area of criminal and civil enforcement, and it will likely remain so for some time to come.  Following the Second Circuit’s ground-breaking decision on tippee liability in United States v. Newman, and the Ninth Circuit’s decision on the same issue in United States v. Salman, the law’s contours were in flux.  Enter the Supreme Court, which agreed to hear the Salman appeal, ...

A Pivotal Time for Insider Trading Law

Transcripts  Transcripts    

Recorded on: Jul. 25, 2017

DAVID I. MILLER: So we're going to start now with the first panel and jump right into it. And this is entitled, A Pivotal Time for Insider Trading Law. Let me provide introductions to the panelists, and then they'll each make a short statement before we get into the question and answer. To my right, immediate right, is Antonia Apps. Now, Ms. Apps is a partner in the New York office of Milbank, Tweed specializing in white collar crime, securities enforcement, ...

Advising Clients on Insider Trading Compliance Practices

Transcripts  Transcripts    

Recorded on: Jul. 25, 2017

REED M. BRODSKY: Well, now that you got charged up with the boring stuff, which were the facts of some cases that are going on, and the most recent case is in the last year, I'd like to introduce you to the much more esteemed panel, all right? With a record much far that exceeds the last panel. And so I think you'll be impressed with what they have to say. What we're going to do over the next hour is focus on some practical realities for people who ...


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