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. Lecture Topics [00:59:47] Upon the successful completion of this program, the participant will be able to: Recognize the public policy framework underlying the gatekeeper concept. Recall the legal framework governing the rules of conduct for professionals appearing and practicing before the Securities and Exchange ...

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 ...

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 ...

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 ...

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 ...

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 ...

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 ...

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 ...

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 ...

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 ...

From the program: Pension Plan Investments 2017: Current Perspectives

Released on: May. 23, 2017

Experienced practitioners in the area of pension investment law will share their perspectives, and illuminate issues, on current topics and recent developments. A new administration, as well as continued statutory, regulatory and market changes ensure a full agenda of new developments to be debated and analyzed by the panelists.  The Dodd-Frank financial reform legislation brought a new regulatory structure for pension investment activities ...

Recorded on: May. 17, 2017

ARTHUR H. KOHN: OK. So we're ready for the final panel of the day. As I mentioned a short while ago, we're going to talk about alternatives private equity hedge fund, current issues, and of course, we do make a special effort to have an extraordinary panel for the last panel of the day to keep everybody's focus. And we've definitely achieved that. Let me just quickly introduce the folks who are going to be speaking. To my immediate left, Jeanie Cogill ...

Recorded on: May. 17, 2017

ARTHUR H. KOHN: -- but I'm permitted to do a very quick introduction. Excellent. So let me introduce the next panel. For the remaining two panels, we're going to talk about the asset management side of the business first. For the next hour, we're going to talk about issues, current issues, for traditional asset managers. And then for our last panel, we're going to talk about the alternative space, the PE and hedge fund guys. We have with us, to speak, ...

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. ...

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 ...

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 ...

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 ...

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 ...

From the program: Eighteenth Annual Private Equity Forum

Released on: Jul. 17, 2017

Stay Ever Current: Subscribe today to , PLI’s new blog edited by Clifford E. Kirsch. In this program, a distinguished panel of experts will discuss the basics of the private equity practice from fund formation to private equity M&A.  Experts will guide you through an array of key topics, including a general overview of the legal issues that need to be considered in marketing a private equity fund on a global basis, current regulatory ...

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 ...

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 ...

Recorded on: Jul. 12, 2017

YUKAKO KAWATA: OK. Good morning, everybody. Welcome again to the PLI Private Equity Forum. And we are now starting our second day. This will just be the morning. And we will have three panels. Our first panel is our all important ethics credit. So for this one, you get that important ethics credit. And and we have with us two experts in ethics. To my left, we have Laura Friedrich. Laura is a partner at Shearman and Sterling. And she is the global ...

Recorded on: Jul. 12, 2017

YUKAKO KAWATA: So with that, I am going to move to introduce our panel, our first panel this morning. And our first panel will be talking about basically, what it means to raise a giant fund on a global basis, which actually is quite complicated, especially in Europe as we all know and as Mateja will tell us about. So to my right, is Robert Blaustein. He is a partner in the investment funds group of Kirkland & Ellis and recognized as a global leader ...

Recorded on: Jul. 12, 2017

YUKAKO KAWATA: OK, we're back. And so for our next M&A panel on take-private transactions. David. DAVID ALLINSON: Thank you. Welcome back everybody. The topic for this panel are take-private transactions. And we will look at this from, again, a buyer and seller perspective with a focus on the PE buyer, but also, as we discussed this, in addition to just talking about it from a seller's perspective, because that's important to understand when you're ...

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 ...