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Showing 1 - 25 of 90 Results


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How to Prepare an Initial Public Offering 2015 -- Communications During Registration and the SEC’s Role in the IPO Process

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

Recorded on: Apr. 13, 2015

Taken from the Web Program How to Prepare an Initial Public Offering 2015 recorded April 2015 in New York. 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. Communications ...

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 ...

Global Capital Markets Perspectives in 2017

MP3 Audio  Audio Download (MP3)    MP4 - Mobile Video Seg  Video Download (MP4)    

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 ...

Hedge Fund Registration and Compliance

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Recorded on: Sep. 14, 2017

Taken from the Web Program Recorded September 13, 2017 in New YorkHedge Fund Registration and Compliance [01:31:33] Registration requirements for hedge fund managers Operational issues and compliance overview Compliance hot topics The purchase price of this Web Program segment includes the following article from the Course Handbook available online:Scott H. Moss and George Danenhauer, Lowenstein Sandler, Investment Management, SEC ...

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), ...

ERISA Plans in the Financial Markets 2018

On-Demand Web Programs  On-Demand Web Programs    Web Segment  Web Segment    MP3 Audio  Audio Download (MP3)    MP4 - Mobile Video Seg  Video Download (MP4)    

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 ...

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 ...

Plan Assets Abroad - Foreign Transaction

Transcripts  Transcripts    

Recorded on: Mar. 20, 2018

HOWARD PIANKO: OK, this is it. It's been a long day, but I think a good one, with a lot of good programs. And the best is yet to come. We're going to go overseas with the next panel. Take a look at ERISA, and investments, and different issues that arise on the fiduciary side in terms of foreign transactions. On this panel, we have Jeanie Cogill. Jeanie is a partner at Morgan Lewis. Also, Drew Oringer from Deckard, and Jeff Ross from Fried Frank. So ...

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 ...

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 ...

Global Capital Markets & the U.S. Securities Laws 2018

On-Demand Web Programs  On-Demand Web Programs    Web Segment  Web Segment    MP3 Audio  Audio Download (MP3)    MP4 - Mobile Video Seg  Video Download (MP4)    

From the program: Global Capital Markets & the U.S. Securities Laws 2018

Released on: Apr. 25, 2018

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Global Capital Markets & the U.S. Securities Laws 2018 has been approved for 7.25 CSOP credits. This statement should not be viewed as an endorsement of this program or its sponsor. Capital markets are adjusting to a wide range of evolving regulatory standards that affect the way in which offerings are conducted around the world. ...

Investment Management Institute 2018

On-Demand Web Programs  On-Demand Web Programs    

From the program: Investment Management Institute 2018

Released on: May. 7, 2018

This program also offers credit for ABA professional certification. Investment Management Institute 2018 has been approved for 9.50 CSOP, 9.50 CTFA credits. This statement should not be viewed as an endorsement of this program or its sponsor. Special Feature Earn one hour of Ethics credit Lecture Topics [Total time 08:07:56] Segments with an asterisk (*) are available only with the purchase of the entire program. Opening Remarks* [00:07:16]  ...

Financial Services Conflicts of Interest & Fiduciary Duties 2018: Navigating the Emerging Regulatory Maze -- Recent Developments: Emerging Legislation and Regulations Dealing with Fiduciary Investment Advice

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From the program: Financial Services Conflicts of Interest & Fiduciary Duties 2018: Navigating the Emerging Regulatory Maze

Recorded on: May. 11, 2018

Taken from the Web Program Fiduciary Investment Advice 2018 Recorded May, 2018 in New York [00:57:49] SEC’s Uniform Standard of Conduct Developments re: DOL’s Fiduciary Duty rule What the States are doing Fiduciary investment advice and the delivery of advisory services digitally The purchase price of this Web Program segment includes the following article from the Course Handbook available online:  ...

What is Fiduciary Investment Advice?

Transcripts  Transcripts    

Recorded on: May. 11, 2018

CLIFFORD E. KIRSCH: So what we're going to be talking a lot about is the Fifth Circuit decision at a subsequent panel. We're also going to be talking about the SEC's proposed rules. So we'll cover a lot of that. But there's a decades long history that got us there. And a lot of people-- ANDREW J. "BUDDY" DONOHUE: And we're here because we actually have been here for decades. [LAUGHTER] CLIFFORD E. KIRSCH: Well, I thought you were going to say you ...

Recent Developments: Emerging Legislation and Regulations Dealing with Fiduciary Investment Advice

Transcripts  Transcripts    

Recorded on: May. 11, 2018

CLIFFORD E. KIRSCH: All right. So as we go through this panel, think about, in terms of what questions say ask yourself, how is the reform package going to change sort of the broker dealer landscape which we'll get to, but also the advising landscape. So think along those. Again, there's targeted proposals to both. And on this panel we're looking to take a deeper dive into the SEC reform package. And I'm very pleased to be joined by David Blass. ...

Basics of Mutual Funds and Other Registered Investment Companies 2018

On-Demand Web Programs  On-Demand Web Programs    Web Segment  Web Segment    MP3 Audio  Audio Download (MP3)    MP4 - Mobile Video Seg  Video Download (MP4)    

From the program: Basics of Mutual Funds and Other Registered Investment Companies 2018

Released on: May. 21, 2018

This program is designed to provide attendees 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.  Attendees will learn the fundamentals of the extensive regulatory framework that dictates the structure ...

Fund Regulation

Transcripts  Transcripts    

Recorded on: May. 15, 2018

CLIFFORD KIRSCH: All right, we are back and ready for our next session on fund regulation. And when we present this material to you, I ask you to go back to the initial remarks at the opening sessions that talked about what is the manner in which funds are regulated and the sense of it's prescriptive heavy regulation, as opposed to some of the other statutes, which were just disclosure oriented. You know, the '33 Act, the Advisers Act was mentioned ...

Current Trends and Developments Related to Funds

Transcripts  Transcripts    

Recorded on: May. 15, 2018

JIM MUNSELL: Hello everyone. Good afternoon. My name is Jim Munsell, and I'll be moderating the final panel discussion today. This is sort of a clean up discussion of issues that haven't been raised previously. But hopefully it will be interesting and not as hypertechnical as some of the presentations that came before. Up here on the dais with me, at the end of the dais, is Matt Thornton. Matt is Assistant General Counsel for the Investment Management ...

Fund Litigation

Transcripts  Transcripts    

Recorded on: May. 15, 2018

LORI A. MARTIN: Well, welcome. This is a panel on excessive fee litigation and contract renewal and sheer class developments, which is a regulatory topic that started in February of this year. We have a slightly different set of panelists and you may have seen in prior years. In planning the panel for this year I think it was Cliff who thought it would be beneficial to have somebody who was in-house, who actually had much more on the ground experience ...

Pension Plan Investments 2018: Current Perspectives

On-Demand Web Programs  On-Demand Web Programs    Web Segment  Web Segment    MP3 Audio  Audio Download (MP3)    MP4 - Mobile Video Seg  Video Download (MP4)    

From the program: Pension Plan Investments 2018: Current Perspectives

Released on: May. 22, 2018

Experienced practitioners in the area of pension investment law, together with senior representatives of the Department of Labor, will give their perspectives, and illuminate issues, on current topics and recent developments. 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 ...

ERISA Litigation Review

Transcripts  Transcripts    

Recorded on: May. 18, 2018

ARTHUR H. KOHN: Welcome back, everyone. And we're going to get going with our regular annual, shall we say, back and forth on litigation topics, recent litigation topics. And we're going to follow this panel up with a discussion, also litigation related, on current ESOP issues, but that will follow in about an hour. So to start off, let me just introduce our panelists, who have been with us for the last handful of years at least, talking about litigation ...

Current Plan Investment Issues

Transcripts  Transcripts    

Recorded on: May. 18, 2018

ARTUR H. KOHN: So let me just quickly introduce the next panel, where we're going to get from our regular contributors an update on current plan investment issues. Starting from all the way down next to Howard, Erin Cho from the Groom Law Group, David Cohen from Schulte, Barber Klippert from Morgan Lewis, and my former colleague and good friend, Steve Rabitz from Stroock. Who's starting off? BARBARA D. KLIPPERT: I am. ARTUR H. KOHN: Barbara? STEVEN ...

“Holy _ _ _ _ : What Happens and What To Do When You Discover Prohibited Transactions”

Transcripts  Transcripts    

Recorded on: May. 18, 2018

ARTHUR H. KOHN: We're back, and we're going to start off immediately with our panel on prohibited transactions. I won't try to read the panel description, because there's a word that seems to be missing, but I will introduce the panel as quickly. Ira Bogner, to my immediate left, from Proskauer. Mary Alcock, my colleague. Bill Ryan from Newport Trust Company, and Veronica Wissel from Davis Polk. So who's going to start us off? WILLIAM E. RYAN III: ...

Cryptocurrencies and ERISA

Transcripts  Transcripts    

Recorded on: May. 18, 2018

ARTHUR KOHN: The home stretch now. And we're saving some of the more exciting new topics for towards the end of the program. And there's probably-- while not completely new-- definitely getting much attention, and that is the whole area of cyber currencies, bitcoins, et cetera, and how do you apply a new kind. We started many years ago with ERISA. Now we've got a whole new financial product. How do you factor in that product in terms of ERISA and ...


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