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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. 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 ...

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 ...

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 ...

ERISA Fiduciary Investment Basics 2017

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From the program: ERISA Fiduciary Investment Basics 2017

Released on: Mar. 24, 2017

This course provides an introduction to the basics of ERISA fiduciary law using a case study vehicle. In this year’s program, you will learn about the principal issues in ERISA’s regulation of plan investments through a case study of a hypothetical plan asset hedge fund exploring entry in the plan marketplace and a plan investor considering such an alternative investment. The program will also utilize a hypothetical fiduciary training ...

Investment Management Institute 2017

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From the program: Investment Management Institute 2017

Released on: Mar. 30, 2017

In this program, you will hear current and former regulators, industry experts and practitioners discuss significant business and legal developments in the investment management area over the past year and analyze important regulatory initiatives such as: The SEC’s regulatory agenda under a new administration New liquidity management and derivatives regulation A review of new SEC staff guidance Current exchange-traded ...

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 ...

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 ...

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 ...

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 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 ...

Pension Plan Investments 2017: Current Perspectives

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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 ...

Current Topics in Private Equity and Alternative Investments

Transcripts  Transcripts    

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 ...

Current Topics for Investment Managers of ERISA Plans

Transcripts  Transcripts    

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, ...

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. ...

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 ...

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 ...

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

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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 ...

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 ...

How to Market Private Equity Funds on a Global Basis

Transcripts  Transcripts    

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 ...

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 ...


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