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 ...

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 ...

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 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 ...

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 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 ...

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: 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, so we will now get started on the afternoon session. And we will have two panels dealing with M&A issues in private equity. And let me introduce our panel for this first M&A panel. To my left is David Allinson. He is the global co-chair of Latham and Watkins M&A practice. And he's the former co-chair of the private equity practice group and New York corporate department of Latham and Watkins. He primarily focuses his practice on ...

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 ...

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: 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: 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 ...

From the program: Fundamentals of Broker-Dealer Regulation 2017

Released on: Jul. 25, 2017

Stay Ever Current: Subscribe today to , PLI’s new blog edited by Clifford E. Kirsch. Major changes in the broker-dealer industry and regulatory framework continue as a result of the financial services crisis, the resulting regulatory reform and a new Administration that is providing a fresh and comprehensive examination of financial services regulation.  At the same time, broker-dealers are subject to intense regulatory exam and ...

Recorded on: Jul. 18, 2017

CLIFFORD E. KIRSCH: Welcome back and thanks, everyone. So again, where we are is we've covered who is a broker-dealer and how does a broker-dealer register and become a FINRA member. On this panel we're hoping to give you a better sense and get you closer to the pattern of regulation-- what the regulatory scheme looks like, and also very importantly, how the regulators interact. And when you're a broker-dealer and dealing with broker-dealer regulation, ...

Recorded on: Jul. 18, 2017

CLIFFORD E. KIRSCH: All right. Welcome back everyone. This panel, as I said at the beginning, is looking at the framework that applies to the broker dealer customer relationship. And what we do is trace the relationship from the initiation of the customer relationship, to the maintenance of the customer relationship, and the end of the customer relationship. And as part of the discussion we also discussed the broker dealer standard of care. What obligations, ...

Recorded on: Jul. 18, 2017

CLIFFORD KIRSCH: Thanks. Thanks, Lauren. And we are back. And this next panel is a combination of topics. We're going to look at broker-dealer financial responsibility and trading issues. So we're covering a lot in this panel. I'm very very pleased to welcome back to the faculty Mark Attar. Mark is to my left with Schiff Harden. Mark is an expert in the SEC's complex broker-dealer financial and responsibility rules. Before rejoining Schiff Harden, ...

Recorded on: Jul. 18, 2017

CLIFFORD KIRSCH: First, we're going to be looking at regulatory priorities of the SEC or I guess more precisely what the industry hopes would be regulatory priorities of the SEC. And then we have an awful lot in terms of Fintech, Blockchain, just a lot of the terms of hot topics. And I'm very, very pleased to introduce to my left, the General Counsel of SIFMA. And for those of you who are brand new, you probably even still know SIFMA. But SIFMA is ...

From the program: Hedge Fund Management 2017

Released on: Sep. 20, 2017

In this program, our expert faculty will focus on common structures for hedge funds, SEC priorities for and the regulatory environment surrounding hedge funds, and the day to day operational issues of running a hedge fund operation. The faculty will also explore strategies for addressing issues for when a hedge fund is in distress, issues relating to expansion into the registered fund business and issues and selling a portion of their business to ...

Recorded on: Sep. 14, 2017

LEOR LANDA: With that, and right on time, I will shut up and turn this over to our first panel, here. Starting from my immediate left, this is Ed Nadel. Ed's a partner at Lowenstein Sandler. He joined Lowenstein a number of years ago after a long run as a director at Credit Suisse asset management. He has tremendous expertise in hedge funds and private equity funds, real estate funds, joint ventures, funds of funds, compliance, and regulatory issues. ...

Recorded on: Sep. 14, 2017

LEOR LANDA: Staying remarkably on time. I don't know. Do I get extra credit, Krista, for being-- KRISTA GUNDERSEN: Yes, [INAUDIBLE]. LEOR LANDA: --so perfectly on time? So staying on time-- now, we have two more panels. There is a break between this panel and the last one, so you all can rest easy. We have two more panels. We're shifting focus a little bit more now. It's broader topics, looking forward a little bit-- not so much on setting the stage ...

From the program: Fundamentals of Swaps & Other Derivatives 2017

Released on: Oct. 27, 2017

Over-the-counter (OTC) derivatives are key elements in many of our financial markets.  The Dodd-Frank Act and other regulations have changed and are continuing to change how these important instruments are regulated and transacted.  This program will introduce you to both the instruments and their current environment. A derivative is a financial instrument that allocates the risks and price exposures associated with a designated reference ...