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Introduction to the Law of Securities Offerings

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Recorded on: Mar. 6, 2017

Taken from the Web Program Securities Offerings 2017: A Public Offering: How it is Done recorded March, 2017 in New York. Introduction to the Law of Securities Offerings [00:58:40] Understand the legal framework for securities offerings under the Securities Act, including definitions and regulations of “offers” and “sales” of “securities” Understand the different types of issuers recognized under ...

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 ...

Basics of Mutual Funds and Other Registered Investment Companies 2017

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From the program: Basics of Mutual Funds and Other Registered Investment Companies 2017

Released on: May. 1, 2017

This program is designed to provide you with a basic overview of the legal, regulatory and operational issues affecting “registered investment companies” – the universe of publicly offered pooled investment vehicles that include mutual funds, closed-end funds, exchange-traded funds (“ETFs”) and others.  You will learn the fundamentals of the extensive regulatory framework that dictates the structure and ...

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, ...

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 Litigation

Transcripts  Transcripts    

Recorded on: Apr. 21, 2017

LAURIN BLUMENTHAL KLEIMAN: Thanks, Lon. All right, we're back. And continuing the theme of showing off my best friends in the industry, we're going to talk about mutual fund litigation. This is, I think, a really fascinating topic, because as sort of continuing to what's on the exam from the regulatory standpoint, from the last panel, now we're going to talk about what's on the exam if you get sued. And so we're lucky to have two of the leading lights ...

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, ...

Fund Anatomy

Transcripts  Transcripts    

Recorded on: Apr. 21, 2017

CLIFFORD E. KIRSCH: OK. Thanks, and welcome back everyone. And on this panel, we're going to take a deeper dive into looking at fund anatomy, looking at the board of directors, the advisors, and a host of related requirements. And we have a great, great panel to help us do that. To my left is Greg Bressler. Greg serves as General Counsel of SunAmerica Asset Management and Chief Counsel for the AIG Consumer Distribution Organization supporting the ...

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

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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 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 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 ...

Enforcement 2017: Perspectives from Government Agencies -- Swaps and Derivatives and Market Enforcement: Trends and Lessons from the Past

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From the program: Enforcement 2017: Perspectives from Government Agencies

Recorded on: May. 16, 2017

Taken from the Web Program Enforcement 2017: Perspectives from Government Agencies recorded May, 2017 in New York. Swaps and Derivatives and Market Enforcement: Trends and Lessons from the Past [01:01:37] New developments in swaps and derivatives law and regulation post Dodd-Frank Update on enforcement trends:  manipulation, fraud and false price reporting Civil and criminal exposure – industry-wide practices, how to ...

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 ...

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 ...

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 ...

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 -- Credit Facilities for Private Equity Funds

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

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. Credit Facilities for Private Equity Funds [01:11:59] Fund manager’s perspective Lender’s perspective Practice tips Y.S. Grossman, E. Lenas, P. Schwartz The purchase price of this segment includes the following article from the Course Handbook available online: Credit Facilities for Private Equity ...

General Partner Arrangements: Structure and Terms

Transcripts  Transcripts    

Recorded on: Jul. 12, 2017

YUKAKO KAWATA: OK. So now here we are on our final panel, believe it or not. And for this panel, instead of talking about the fund, because we've been spending all of this time talking about what the fund does, we will now talk about the all-important sponsor, meaning the GP arrangements and what goes on at the management company. Because at the end of the day, yes, these are the people running the fund. And so to discuss this topic, let me introduce ...

Credit Facilities for Private Equity Funds

Transcripts  Transcripts    

Recorded on: Jul. 12, 2017

YUKAKO KAWATA: OK, so we will now start with our next panel. And the next panel will talk about a topic that we touched on a little bit yesterday, but this is really becoming a very current topic, subscription lines, credit facilities, how they're used in these private equity funds. And so to discuss this topic, we've got to my left, Shukie Grossman. He is a partner in the New York office of Gibson, Dunn, and Crutcher. He is the co-chair of the investment ...

Understanding the Securities Laws 2017 -- Introduction to Securities Laws

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From the program: Understanding the Securities Laws 2017

Recorded on: Jul. 18, 2017

Taken from the Web Program Understanding the Securities Laws 2017 recorded July, 2017 in New York. Introduction to Securities Laws [01:34:29] Sources of securities law How to approach securities law Working with the SEC Securities Act of 1933 Securities Exchange Act of 1934 Integrated disclosure system Rules for WKSIs, smaller reporting companies and emerging growth companies What is a “security”? ...

Fundamentals of Broker-Dealer Regulation 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: 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 ...

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, ...


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