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SEC Speaks in 2017 -- Investment Management

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From the program: SEC Speaks in 2017

Recorded on: Feb. 28, 2017

Taken from the Web Program SEC Speaks in 2017 recorded February, 2017 in Washington. Investment Management [01:01:57] Rulemaking update Disclosure trends Guidance Speakers: Division of Investment Management David W. Grim, Director Douglas Scheidt, Associate Director and Chief Counsel Sarah ten Siethoff, Deputy Associate Director, Rulemaking Office Timothy Husson, Associate Director, Risk and Examinations Office Michael ...

Securities Offerings 2017: A Public Offering: How it is Done

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From the program: Securities Offerings 2017: A Public Offering: How it is Done

Released on: Mar. 10, 2017

This course will provide a solid understanding of the legal framework for securities offerings under the Securities Act of 1933. Topics covered include the basics, such as definitions and regulations of “offers” and “sales” of “securities” and the distinctions between public and private offerings, including the need to register public offerings (and how that is done) and basic exemptions from registration.  ...

Ethics, Due Diligence and the Offering Process

Transcripts  Transcripts    

Recorded on: Mar. 6, 2017

LIZABETHANN EISEN: All right. We're going to go ahead and get started. Welcome back, everybody, to the 3:30 ethics panel. It's called "Ethics, Due Diligence, and the Offering Process." My name is LizAnn Eisen. I'm a corporate partner at Cravath, Swaine, and Moore. In And I'm going to introduce my co-panelists. To my immediate right is Rob Evans, who should look familiar to you from a partner at Shearman and Sterling. He's been on panels throughout ...

Introduction to the Law of Securities Offerings

Transcripts  Transcripts    

Recorded on: Mar. 6, 2017

SPEAKER 1: And now it's my pleasure to introduce you to the chair of today's program. LizAnn Eisen is a partner in Cravath's corporate department. Her practice focuses on domestic and international corporate finance transactions, corporate governance, and reporting matters and restructurings. Her work includes corporate reporting, governance and disclosure advice, and securities offerings for high profile clients including Amdocs, Starbucks, Unilever, ...

Important Financial Statements, Accounting Disclosures and Key Securities Offering Documentation

Transcripts  Transcripts    

Recorded on: Mar. 6, 2017

LIZANN EISEN: Hi! Welcome to the Important Financial Statements and Accounting Disclosures panel. My name is LizAnn Eisen, and I am a partner at Cravath, Swaine, and Moore. To my immediate right is a new participant for the day. It's Nicole Pinder, and I'd like to introduce her. She is a partner at PricewaterhouseCoopers Transactional Services practice, based in New York. She has over 15 years of experience providing assurance and advisory services ...

How to Prepare an Initial Public Offering 2017

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From the program: How to Prepare an Initial Public Offering 2017

Released on: Apr. 10, 2017

In almost any market, understanding the IPO process is an essential skill for both legal and business advisors. Hear from an experienced faculty, including attorneys, underwriters, accountants and a member of the Securities and Exchange Commission staff, on the nuts and bolts of an initial public offering. The speakers will guide you through the initial public offering process and highlight issues presented by new regulations and the current state ...

The Investment Banker’s and the IPO Advisor’s Perspective: Interacting with Investment Banks, Marketing and Execution

Transcripts  Transcripts    

Recorded on: Apr. 6, 2017

SOPHIA HUDSON: OK, so we'll continue with our next panel, which is to give you the perspective of an underwriter and an equity capital markets or IPO advisor. Thank you both for coming today. To my immediate right is Eric Wooley, who is a director at Citigroup's Equity Capital Markets Group. Eric's been there for many years. First, as an investment banking lawyer. And then in the Equity Capital Markets Group he currently serves on that committee ...

Real Life Issues: Fact Patterns and Other Hot Topics in the IPO Process

Transcripts  Transcripts    

Recorded on: Apr. 6, 2017

SOPHIA HUDSON: Hi everyone. Welcome back. And I want to reiterate the request to fill out evaluations. Rob and I do take them into account when we make any revisions to the program, as we have every year so far. ROBERT A. FREEDMAN: In fact, I think we made the revisions for this year specifically based on comments we got last year. SOPHIA HUDSON: So we're back. To my far right is Eileen Shin, to my near right is Mike Gould. Rob and I are here as ...

The IPO Preparation Process: From Whiteboard to Ringing the Bell

Transcripts  Transcripts    

Recorded on: Apr. 6, 2017

SOPHIA HUDSON: We thought we would give you a little bit of a snapshot into the IPO market right now, just to place ourselves in the context of the market itself. Last year was a slow year for IPOs, actually. They were down 37% by number from 2015. There are a lot of reasons for that. When there is uncertainty or volatility in the market, we find that fewer companies want to take the step of actually going public and selling their shares on the public ...

Liability, Due Diligence and the Underwriting Agreement

Transcripts  Transcripts    

Recorded on: Apr. 6, 2017

SOPHIA HUDSON: Welcome back, everyone. In this panel we're going to talk about liability due diligence, underwriting agreements, and FINRA review process. Thank you, Eileen. Eileen Shin has joined me for this. She is managing director and associate general counsel at JP Morgan, supporting the investment bankers who work on IPOs as well as research. She has been a member of this panel, as well as other PLI panels for many years. And so we're happy ...

Global Capital Markets & the U.S. Securities Laws 2017

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From the program: Global Capital Markets & the U.S. Securities Laws 2017

Released on: Apr. 25, 2017

Capital markets are adjusting to a wide range of evolving regulatory standards which affect the way in which offerings are conducted around the world.  At the same time, issuers around the world are subject to changing accounting and corporate governance standards, while market participants navigate new ground in derivative product regulation.  Issuers and market participants also face an increasingly active global enforcement environment ...

A Global Perspective on Corporate Governance

Transcripts  Transcripts    

Recorded on: Apr. 20, 2017

DAVID LYNN: Welcome back. We're now going to turn our attention to corporate governance, and we have a great panel here to look at it from several different perspectives. I'm very pleased that we're able to have with us Mats Isaksson, who's the head of the Corporate Affairs Division of the OECD, who will offer some very interesting commentary on some of the things happening with the OECD and how the OECD operates. We have Barry Rosenfeld, who is the ...

Hot Topics in Global Capital Markets

Transcripts  Transcripts    

Recorded on: Apr. 20, 2017

PAUL DUDEK: OK, this is our hot topics panel of experienced capital markets international securities lawyers. So let's dive into it. And let me do some quick introductions. Next to David is Roderick Branch who's co-chair of the Chicago corporate department at Latham & Watkins. I have found in my short time there he represents a wide range of foreign companies that are involved in many transactions, Reg S, 144A. So he's certainly a particularly experienced ...

Enforcement Developments in Global Capital Offerings

Transcripts  Transcripts    

Recorded on: Apr. 20, 2017

DAVID LYNN: Great, thank you all for joining us all day today. Now, our last panel today is Enforcement Developments in Global Capital Offerings, or, the Global Capital Environment. We're going to talk in some detail about some different concerns from the enforcement perspective. We have a fantastic panel here, assembled today. Joan McKown is a partner at Jones Day. Michael Mann is a partner at Richards Kibbe & Orbe. And Linda Chatman Thomsen, who's ...

IFRS and Other Accounting Matters

Transcripts  Transcripts    

Recorded on: Apr. 20, 2017

PAUL DUDEK: OK. We're back. It's 11:30 here in New York, and we are going to talk about international financial reporting standards, IFRS, and other accounting matters. And, for that, we have two panelists. I can't think of anyone sort of bettered position to sort of talk about IFRS foreign private issuers and what's going on in terms of international accounting standards and developments there. First, next to David, we have Wayne Carnall who's done ...

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, ...

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 ...

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 ...

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 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 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 ...


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