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FinCEN’s Customer Due Diligence Rule – What You Need to Know Now

One-Hour Briefing  One-Hour Briefing

On May 11, 2018, a new rule implemented by Financial Crimes Enforcement Network (FinCEN) went into effect that requires U.S. financial institutions to identify certain beneficial ownership information about legal entity customers.  The rule, knowns as the Customer Due Diligence Rule (CDD Rule) applies to all new accounts as well as existing accounts in some circumstances.  Since its implementation date, some banks have taken differing approaches ...

Shedding Light on Dark Pools -- The SEC Acts to Increase Transparency and Oversight of Alternative Trading Systems

One-Hour Briefing  One-Hour Briefing

On July 18, 2018, the Securities and Exchange Commission voted to adopt new Form ATS-N as well as amendments to Regulation ATS, which are intended to enhance operational transparency and regulatory oversight of alternative trading systems (ATSs) that trade exchange-listed stocks (NMS Stock ATSs).      In this One-Hour Briefing, K. Susan Grafton of Dechert LLP, Vaishali Javeri of Credit Suisse, and Tyler Raimo of the SEC’s ...

Advanced Compliance and Ethics Workshop 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Please note that "ethics" in the program title refers to the “Compliance and Ethics Program” used in the Federal Sentencing Guidelines for Organizations. It does not specifically refer to legal ethics. Please check the credit calculator to the right for credit information for your jurisdiction. Why You Should Attend Having an effective compliance and ethics program is essential to companies of all types. Such programs help organizations ...

Antitrust Counseling & Compliance 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Lawyers counseling businesses should have a solid foundation in the principles of antitrust law and an understanding of the latest antitrust developments in order to advise their clients effectively. The consequences of running afoul of antitrust rules can be costly: federal and state government enforcement actions, jail time for executives, treble damages litigation, class actions, and adverse publicity are all risks when companies ...

Outsourcing 2018: ITO, BPO and Cloud

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Managing a global business today virtually necessitates contracting with outside technology partners to manage various aspects of non-essential and even some core business functions.  As ITO, BPO and cloud solutions reach broad adoption across industries, new entrants to the market continue to emerge, offering cheaper and faster alternatives to industry stalwarts.  A maturing market for technology outsourcing solutions ...

50th Annual Institute on Securities Regulation

Program  ProgramWebcast  Webcast

Why You Should Attend Celebrating its 50th anniversary, our annual Institute on Securities Regulation will bring together the nation’s leading securities and corporate legal experts to deliver practical information, insights and real-word strategies and solutions to the challenges facing you and your clients today. What You Will Learn The latest developments in the capital markets, from direct listings to shelf takedowns, wall crossings, SPACs ...

Financial Services RegTech and Regulatory Compliance Forum 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Stay Ever Current: Subscribe today to  PLI’s blog edited by Clifford E. Kirsch. Why You Should Attend Financial services firms’ corporate compliance programs continue to be under intense regulatory scrutiny and face immense challenges brought upon the FinTech revolution. Many new rules have been issued which impact the manner in which financial services firms operate. At the same time, these programs have to adapt to financial ...

Hedge Fund Management 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend At this program, our expert faculty will focus on common structures for hedge funds, SEC priorities, the regulatory environment surrounding hedge funds, and the day-to-day operational issues of running hedge funds.   There will also be in depth analysis of data privacy issues and the evolving cryptocurrency space.  Attorneys, hedge fund counsel, compliance and other professionals currently working in or interested ...

Preparing for Shareholder Activism: What You Need to Be Doing Now 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Hedge fund activism has become a ubiquitous feature of the corporate landscape, affecting public companies of all sizes. As the phenomenon has become more commonplace, it has also become more diverse, and the means of addressing it and being prepared for it have evolved. Learn about the current state of hedge fund activism and best practices for preparing for and engaging with activists.  What You Will Learn    ...

Hot Topics for In-House Counsel 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend The role of the in-house counsel continues to transform to meet new challenges in relation to an increasingly global economy, financial turmoil and continually changing new technologies. It is essential for all in-house counsel to be informed of the latest developments and to possess effective, budget-conscious strategies for managing the legal and practical business matters of corporate law departments, while adding value to ...

Directors' Institute on Corporate Governance (Sixteenth Annual)

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend New expectations and responsibilities are being placed on boards in critical areas of governance, including disclosure, oversight of complex operational issues, risk management, board succession, audit committee oversight, executive compensation, and responsiveness to and communication with investors pressing different concerns. In addition, in years past the Dodd-Frank Act, the Foreign Corrupt Practices Act and other anti-bribery ...

At-the-Market Offerings

One-Hour Briefing  One-Hour Briefing

Any issuer eligible to register its securities on Form S-3 should consider setting up an ATM program in order to maximize its opportunity to raise just-in-time capital.  Significant selling stockholders may also benefit from the flexibility of the ATM structure in order to take advantage of market opportunities to sell shares quickly. In this session, Brian D. Hirshberg of Mayer Brown LLP will review the basics of ATMs, as well as some of ...

Annual Disclosure Documents 2018: Current Developments and Best Practices

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Stay current on disclosure requirements and developments affecting annual disclosure documents and proxy soliciting materials prepared by SEC reporting companies. Hear from the SEC staff and our faculty, who will focus on anticipated changes to the SEC disclosure regime, current “hot issues,” best practices, and practical pointers. Our faculty will discuss any proposed or final regulatory changes, plus domestic and ...

Coping with U.S. Export Controls and Sanctions 2018

Program  Program

Why You Should Attend The Trump administration is making its mark on export controls and sanctions policy, and it is more important than ever for institutions in all sectors of the economy to stay on top of key developments. Companies and financial institutions must be aware of their compliance and disclosure obligations, enforcement trends and priorities, and emerging risks. Implementing and strengthening compliance programs is an increasingly important ...

Understanding Financial Products 2019

Program  ProgramWebcast  WebcastGroupcast  Groupcast

The explosion of new financial products over the past decade like the emergence of cryptocurrencies, the implosion of the credit markets and the resulting significant 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 ...

Private Fund Regulatory Developments and Compliance Challenges 2019

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend PLI’s Private Fund Regulatory Developments and Compliance Challenges carries on a tradition as one of PLI’s first programs of the new year to review the private fund regulatory landscape, offering a first look at what the balance of the calendar will bring.  Led by an expert faculty of private fund in-house counsel and leading firm lawyers, the discussion is always lively and informative.  The 2019 program ...

Social Media 2019: Addressing Corporate Risks

Program  ProgramWebcast  WebcastGroupcast  Groupcast

What You Will Learn Facebook, Instagram, LinkedIn, Pinterest, Snapchat, Twitter, Yelp, YouTube and other social media sites are transforming not only the daily lives of consumers, but also how companies interact with consumers. Indeed, even the largest, most conservative blue-chip corporations have embraced social media; one recent study reveals that, of the Fortune Global 500, 97% are on LinkedIn; 86% have Twitter accounts; 84% have a presence on ...

Dually-Registered Broker-Dealers and Advisers—Regulatory, Compliance and Enforcement 2019

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Stay Ever Current: Subscribe today to  PLI’s blog edited by Clifford E. Kirsch. Mark Your Calendar.  More Information to Come!

The SEC Speaks in 2019

Program  ProgramWebcast  Webcast

Mark Your Calendar. More Information to Come!


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