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Showing 1 - 25 of 96 Results


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How to Prepare an Initial Public Offering 2015 -- Underwriting Agreements, Comfort Letters and Accounting Considerations

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

Recorded on: Apr. 13, 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. Underwriting Agreements, Comfort Letters and Accounting Considerations? [01:07:29] Robert A. Freedman, Charles S. Kim This ...

Securities Filings 2016: Practical Guidance in a Changing Environment -- Ethical Dilemmas in Preparation and Review of SEC Filings

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From the program: Securities Filings 2016: Practical Guidance in a Changing Environment

Recorded on: Sep. 9, 2016

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. Lecture Topics [00:59:47] Upon the successful completion of this program, the participant will be able to: Recognize ...

Ethical Dilemmas in Preparation and Review of SEC Filings

Transcripts  Transcripts    

Recorded on: Sep. 9, 2016

STEVEN V. BERNARD: I'm joined up here by Chuck Walker. Chuck is co-chair of Skadden's Litigation Group in Washington DC, has substantial experience representing individuals and corporations in investigations by the FCC, FINRA, Department of Justice, and state regulatory agencies. He joined Skadden after serving as Securities Commissioner for the State of Delaware from '96 to '99. Earlier in his career, he served as Deputy Attorney General for the ...

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 ...

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, ...

New Developments in Securitization 2017

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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), ...

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, ...

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 ...

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 ...

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 ...

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 ...

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 ...

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 ...

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 ...

Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants

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From the program: Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants

Released on: Feb. 14, 2018

Broker-dealers that are dually registered as investment advisers are under intense regulatory scrutiny —including an increasingly demanding examination focus from the SEC, FINRA and the states.  At this program, attendees will be provided with expert analysis regarding today’s hot topics impacting the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. ...

Digital Advisory Services

Transcripts  Transcripts    

Recorded on: Feb. 8, 2018

CLIFFORD KIRSCH: OK. So we are back for our wrap up panel on a digital advisory services. And we appreciate it. On this panel, we're going to look at the framework applying to digital advisory services. But we also want to cover some of the hot compliance issues-- thinking through how the SEC exams program go about reviewing digital advisory services. So with that, I'm very, very pleased to introduce my panelists. I'm first going to introduce Robert ...

Broker-Dealer Supervisory Themes

Transcripts  Transcripts    

Recorded on: Feb. 8, 2018

CLIFFORD E. KIRSCH: All right, everyone, welcome back. And we are here for our next panel, which is supervisory challenges and operating as a dual registrar. And thanks for the faculty for coming up with this panel. The way we did it was really just tried to go back and forth in terms of what's hot about what's out there. And we prep, we spoke about it, but we didn't overly script it. So we want everybody to add perspective. So you'll hear that. And ...

Overview of Advisory Programs

Transcripts  Transcripts    

Recorded on: Feb. 8, 2018

CLIFFORD KIRSCH: This next panel, as I mentioned in the introduction, is going to look at advisory programs. It's a very, very popular way in which broker-dealers offer advisory services or through advisory programs such as wrap account, mutual fund, asset allocation programs and the like. And we really wanted to leave this panel with you having a good understanding of what the programs are and how they operate, who the players are. So we're really ...

Broker-Dealer Retail Wealth Management: The Regulatory Framework

Transcripts  Transcripts    

Recorded on: Feb. 8, 2018

CLIFFORD KIRSCH: And for the first panel, a very big thanks for Cece and John Munch. They've been doing this panel for the last few years, and they always do a great job. Cece Mauvico is Senior Vice President and Associate General Counsel and Head of Regulatory Enforcement at LPL Financial. Prior to Cece being with LPL, she was in private practice. And prior to being in private practice, she was at FINRA. And one of the responsibilities I think you ...

ERISA Plans in the Financial Markets 2018

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From the program: ERISA Plan Investments in Financial Markets 2018: The Fundamentals

Released on: Mar. 23, 2018

ERISA plans are major investors in a constantly evolving financial marketplace. Both financial firms designing and selling financial products and plans purchasing financial products need to understand the inner workings of the products in order to analyze them under ERISA and ensure compliance. This course provides an in-depth look at the nuts and bolts of various financial instruments and investment vehicles and the ERISA issues that arise in connection ...

Commingled Investment Vehicles - VCOC/REOC/Hedge Funds/REITs

Transcripts  Transcripts    

Recorded on: Mar. 20, 2018

MARY E. ALCOCK: Hello. Welcome back. I hope everyone enjoyed the, what I thought was fascinating, lunch discussion about Bitcoin. I still don't understand it, so I'm still not going to invest in it. Anyway, back to-- I was going to say less esoteric things, but nothing about ERISA is not esoteric. But anyway, now we're going to dive into commingled investment vehicles, VCOC or REOCs, hedge funds, REITs, and basically all of the ERISA issues that ...

ERISA Enacted in 1974 - New Rules Impact Financial Markets; The Prohibited Transaction Class Exemption That Resulted

Transcripts  Transcripts    

Recorded on: Mar. 20, 2018

HOWARD PIANKO: Thank you, Grace, and welcome. It's a bit-- I'll tell you, we designed this program intended as a basic-- it's called Fundamentals. And the reason for that is that we have a program which is intended-- we may have to rethink it-- which actually is in May covering a gamut of developments and expecting that attendees are very familiar with ERISA, especially in the investment end. And then we came up with the idea of having alternating ...

Case Study: New Financial Products and ERISA Plan Investment Compliance – Bitcoins and Other Virtual Currencies

Transcripts  Transcripts    

Recorded on: Mar. 20, 2018

[INTERPOSING VOICES] HOWARD PIANKO: Let me get ready for our lunchtime program. And just to show that the world doesn't keep changing, or does keep changing-- in the ERISA world, we're still dealing-- although the idea of Bitcoins is not that new. We first began to tackle that [INAUDIBLE] five years ago. But it's just grown and developed. And we've got to the point where we need to think about-- what are Bitcoins in terms of plan investments? And ...


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