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How to Prepare an Initial Public Offering 2015

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From the program: How to Prepare an Initial Public Offering 2015

Released on: Apr. 24, 2015

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. Upon the successful completion of this program, the participant will be able to: Recognize the legal restrictions on publicity ...

Introduction to the Law of Securities Offerings

MP4 - Mobile Video Seg  Video Download (MP4)    

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 ...

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 ...

Hot Topics for Hedge Fund Managers

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Recorded on: Sep. 14, 2017

Taken from the Web Program Recorded September 13, 2017 in New YorkHot Topics for Hedge Fund Managers [01:16:15] Cybersecurity SEC exam and enforcement priorities Activist investing and reporting Use of Big Data Cayman LLCs and Cayman regulatory update The purchase price of this Web Program segment includes the following article from the Course Handbook available online:Hot Topics for Hedge Fund Managers (September 13, ...

Advanced Venture Capital 2017

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From the program: Advanced Venture Capital 2017

Released on: Dec. 11, 2017

This program provides an in-depth analysis of current market conditions and the changing legal environment, and is geared toward the experienced venture capital practitioner. Our expert faculty of lawyers, venture capitalists and business executives will analyze the legal and business issues relevant to navigating today’s evolving venture capital world. The program will also address the latest financing trends, current deal terms, exit strategies, ...

Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017

Released on: Dec. 7, 2017

Taken from the Web Program Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017 Recorded December 2017 in New York The SEC and other government agencies continue to focus enforcement and examination efforts on managers of private hedge funds and private equity funds.  This conference will bring together top regulators, leading in-house legal and compliance professionals and expert outside counsel, to discuss the latest ...

New Developments in Securitization 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: New Developments in Securitization 2017

Released on: Dec. 20, 2017

The securitization market continues to develop and innovate, while also being subject to new regulations. Traditional asset-backed securities (ABS) markets, including auto securitizations, commercial mortgage-backed securities (CMBS) and credit card receivables continue with steady issuance volumes. New markets, such as marketplace lending, continue to be developed. Other markets, such as private-label residential mortgage-backed securities (RMBS), ...

Taxation of Financial Products and Transactions 2018 -- Financial Products Issues Under the Final Section 987 Regulations

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From the program: Taxation of Financial Products and Transactions 2018

Recorded on: Jan. 17, 2018

Taken from the Web Program Taxation of Financial Products and Transactions 2018 Recorded January 2018 in New York Financial Products Issues Under the Final Section 987 Regulations [01:04:27] Categories of foreign currency denominated items in a Section 987 qualified business unit (QBU) Mark-to-market election for “short-term Section 988 transactions” Treatment of Section 987 QBU hedging transactions involving ...

Financial Products Issues Under the Final Section 987 Regulations

Transcripts  Transcripts    

Recorded on: Jan. 17, 2018

LEE HOLT: So again, given that the subsequent panel will go into these regs a fair bit -- having said that, I do just want to briefly provide an overview or summary of what is in the reg package, and then again what we'll focus on. Lot of words on the slide, but let's just highlight a few things here. So, in case you missed it, and I don't know why you would have, on December 19 there might have been something called tax reform going on. But, in ...

Financial Transactions in M&A

Transcripts  Transcripts    

Recorded on: Jan. 17, 2018

MATTHEW A. STEVENS: And we are back for our afternoon's panels. The next panel is a domestic product panel, not tremendously affected by the recent tax legislation, financial product issues in M&A transactions, and your moderator is Eileen Marshall, who is a partner at Wilson, Sonsini, Goodrich, and Rosati. And I understand you regularly speak with Mr. Rosati? EILEEN MARSHALL: More frequently with Mr. Sonsini. MATTHEW A. STEVENS: Oh, she's even ...

FX Issues (Including Straddles)

Transcripts  Transcripts    

Recorded on: Jan. 17, 2018

MATTHEW A. STEVENS: OK. Welcome back. I'm still Matthew Stevens, in case you've forgotten that. And with me is the next panel on the post regulations that impact Section 988 transactions and other 988 issues. If you found the first half of the previous panel to be a little bit too deep of a dive into the 954 hedging regulations, this panel is going to explore those and we will attempt to stay within snorkeling depth of that. So I need to ask you ...

Section 956: Issues and Solutions

Transcripts  Transcripts    

Recorded on: Jan. 17, 2018

MATTHEW A. STEVENS: OK, welcome back. Here with our third panel, which deals with Section 956 issues and solutions. Section 956 has a much different role to play in the US international tax system than it did last summer when I first approached Kim about doing this panel. And so we need an engagement question, or a pulse question. So I'll ask the audience-- and I have a prediction about how many hands I'll see-- how many people understand the role ...

Distressed Debt Issues: Is the Market Creating a Coherent Regime?

Transcripts  Transcripts    

Recorded on: Jan. 17, 2018

MATTHEW A. STEVENS: OK. So our next panel is going to provide an update on the tax treatment of distressed debt and I will ask my engagement question before introducing Mr. Leeds, the moderator of the panel. The engagement question is, again, by the now notorious show of hands, how many people in the room believe that the recent Tax Reform Act affected the tax treatment of distressed debt transactions? OK. So only a couple of hands went up, most people ...

The Unrelated Business Income Tax: Issues for Hedge Fund Managers

Transcripts  Transcripts    

Recorded on: Jan. 17, 2018

MATTHEW STEVENS: Thanks, Daisy. Thanks for coming back, or hanging in there for our last panel of the day, which deals with the application of the unrelated business income tax for hedge fund managers. There's been a fair amount of discussion about the UBIT generally. But we in the financial products tax world have not tended to focus on it. And it seems to be something of an afterthought even for folks whose practice does tend to focus on asset management. ...

Understanding Financial Products 2018

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From the program: Understanding Financial Products 2018

Released on: Feb. 1, 2018

The explosion of new financial products over the past decade, the implosion of the credit markets and the resulting significant new regulatory requirements underline the importance of a basic understanding of financial products. While these instruments have been invaluable investment tools, with enormous potential for product manufacturers and investors, they also create potentially significant legal risks and challenges for their promoters, users, ...

Securitized Products

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

ROBERT S. RISOLEO: Good morning to everyone here in the room and also on the webcast. This morning, continuing our survey of selected capital markets financial products, we will cover asset-backed products of various topics and securitization now. Then after the break this morning, consider convertible securities and then some other structures such as REITs and special purpose acquisition companies and business development companies. Joining me this ...

Ethical Challenges

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

MARGERY NEALE: So welcome to Ethical Challenges. Our speaker is Charles Walker. Chuck is co-chair of Skadden's Litigation Group in the Washington, DC office. He has substantial experience representing individuals and corporations in investigations by the SEC, the Financial Industry Regulatory Authority, the US Department of Justice, and state regulatory agencies, and in conducting corporate internal investigations. Prior to joining Skadden-- or I ...

Laying the Foundation - Financial Product Fundamentals

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

ROBERT S. RISOLEO: Now, though, I would like to begin, as I have for the past several years, with a general discussion that covers some concepts that are applicable to many or most, I should say, of the products that the panelists will be talking about today and tomorrow and also to give you all a bit of a framework for thinking about how new products might be developed, why they're developed, what some of the considerations are-- and not just strictly ...

Litigation Issues in Financial Products – What Can Go Wrong?

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

SPEAKER 1: Welcome back everyone. I apologize for the slightly abbreviated break. To finish off the day, we're going to hear from a trio of litigators, which is a feature that we introduced to the program a number of years ago. We've also had accountants and tax lawyers on this program in some years, but we didn't go there this year. Returning this year is in the center for those here in the room is Hannah Berkowitz, who's a partner at Murphy and ...

Capital Markets Products

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

ROBERT RISOLEO: This afternoon, we're going to talk about some capital markets-- more capital markets products, specifically structured notes and life settlements. Very different-- very different types of instruments. And then we're going to talk a little bit about what happens when issuers change their mind and want to buy back their products rather than sell them. So we will start with the discussion of structured notes or securitized derivatives, ...

Mutual Funds, Closed End Funds, and ETFs

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

MARGERY K. NEALE: Thank you, Willis. Good afternoon. Let me introduce my co-panelists first. To my immediate left is Laurie Blumenthal Kleiman. Laurie and I have worked together in the registered fund space for a long time. Laurie is the global co-leader of Sidley Austin's-- Sidley or Sidley Austin? Sidley? LAURIN BLUMENTHAL KLEIMAN: Either is fine. MARGERY K. NEALE: --Sidley's investment funds, advisors, and derivatives practice team. She represents ...

Converts, SPACS, P/CAPS and more

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

ROBERT RISOLEO: Welcome back, everyone for the next 90 minutes, we are going to talk about first, convertible notes, and related hedging transactions. And then turn to a discussion of some specialty structures that are in some ways, hybrids between capital markets, products, and collective investment arrangements. With me for this segment, Jim Barri to my immediate left. And Bethany Knight to Jim's left. Jim is one of the co-chairs of Goodwin Proctor's ...

Derivatives Products

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

ROBERT S. RISOLEO: Hi. Welcome back, everyone in the room and on the web. This segment will be devoted to a discussion of derivatives-- further discussion of derivatives. I made some brief introductory remarks in the opening. Now we'll be spending the next 90 minutes going in more depth about how derivatives-- what they are, how they're put together, how they're regulated. And to do that for us, we have two panelists, both veterans. To my immediate ...

Hedge Funds and Other Private Funds

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

MARGERY K. NEALE: Thank you very much, Willis. So welcome to hedge funds. To my immediate left is Scott Lederman. Scott is the President and Chief Executive Officer of the Grosvenor-- did I say that right-- Grosvenor Registered Multi-Strategy Fund's Complex, a member of the Public Market Seeding Investment Committee. And he's responsible for the legislative and regulatory affairs of the firm. In addition, he manages regulatory and administrative ...

Securities Offerings 2018: A Public Offering from Start to Finish

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From the program: Securities Offerings 2018: A Public Offering from Start to Finish

Released on: Mar. 9, 2018

This program simulates a public offering from start to finish: from the initial kickoff meeting, to understanding how the law translates into the mechanics of doing an offering, to working with the SEC and applicable stock exchange, to the closing dinner. The “how to do it” approach includes the preparation of registration statements, the SEC review and comment process, stock exchange listing and pricing mechanics. The course will also ...


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