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Showing 1 - 25 of 44 Results


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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 ...

False Claims Act: 2018 Year in Review

One-Hour Briefing  One-Hour Briefing

The federal False Claims Act ("FCA") continued to be a significant focus of government and whistleblower activity in 2018.  The U.S. Department of Justice reported numerous settlements and judgments from FCA cases involving multiple industries throughout the country.  As in recent years, the statute continues to be an important tool for the government and an opportunity for qui tam whistleblowers.  In fact, the FCA has allowed the government ...

Energy Trading Compliance and Regulatory Enforcement

One-Hour Briefing  One-Hour Briefing

This One-Hour Briefing will help you understand key aspects of energy trading compliance and regulatory enforcement relevant to trading of electricity, natural gas, crude oil and other products. Our panel will review the jurisdiction of FERC and CFTC - the key regulators and enforcers - as well as exchanges such as CME and ICE. It will discuss, among other things, lessons learned from recent enforcement cases and settlements for ...

Using Artificial Intelligence to Open New Lending Markets

One-Hour Briefing  One-Hour Briefing

Right now, there are around 44 million consumers without a traditional FICO score (sometimes called “Credit Invisibles”) in the United States.  Lenders are just beginning to underwrite loans to them using artificial intelligence and alternative data.  Add the developing world, and the number of underserved consumers who might be reached with AI shoots up to a billion.  In short, this is a huge opportunity.  But AI and ...

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 ...

SEC and Cybersecurity: Emerging Regulatory Expectations and What’s Ahead in 2019

One-Hour Briefing  One-Hour Briefing

The U.S. Securities and Exchange Commission ramped up its cybersecurity enforcement efforts in 2018 with a number of “firsts.”  In early 2018, the full commission issued updated cybersecurity guidance to its public companies telling them to bolster their disclosures of cybersecurity risk factors and improve data security disclosures.  A few months later, the SEC pursued its first-ever cybersecurity enforcement action against ...

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. Why You Should Attend Broker-dealers that are dually registered as investment advisers are under intense regulatory scrutiny—including an increasingly demanding examination focus from the SEC, FINRA and the states.  At the same time, the regulatory framework applying to dual-registrants is about to change dramatically with the anticipated ...

U.S. Sanctions Against Iran – Impact on Non-U.S. Companies

One-Hour Briefing  One-Hour Briefing

On May 8, 2018, the President announced his decision to withdraw from the Joint Comprehensive Plan of Action (the “JCPOA”, also known as the Iran nuclear deal), and to begin re-imposing, following a wind-down period, the U.S. nuclear-related sanctions against Iran that had previously been lifted.  Importantly, this action mostly involves “secondary” sanctions – actions that the U.S. may take against foreign persons ...

Medical Device Post-Market Cybersecurity - Stakeholder Interactions and the Importance of Advancing Coordinated Vulnerability Disclosure

One-Hour Briefing  One-Hour Briefing

In light of recent high-profile cybersecurity breaches in the healthcare industry, post-market medical device cybersecurity is becoming increasingly important to all entities in the medical device ecosystem.  Leading FDA and cybersecurity lawyers at Debevoise & Plimpton LLP will present an overview of legal, regulatory, and commercial issues associated with medical device cybersecurity, including recommendations for implementing coordinated ...

The SEC Speaks in 2019

Program  ProgramWebcast  Webcast

Why You Should At the beginning of each year, PLI presents, in cooperation with the U.S. Securities and Exchange Commission, The SEC Speaks program, which provides an essential update on the current initiatives at the Commission, as well as the priorities of the Commission for the coming year. At this unique program, you will hear remarks by the Chairman, and Commissioners, and Investor Advocate, as well as panel discussions by senior staff at the ...

Corporate Governance - A Master Class 2019

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Corporate governance provides the framework within which directors and officers must operate in fulfilling their responsibilities. In-house and outside advisers are called on to provide day-to-day counseling and to address crisis situations in the corporate governance context. Our program will both highlight the fast-moving market and legal and regulatory developments that directors, officers and their advisers face, as well ...

Fiduciary Investment Advice 2019

Program  ProgramGroupcast  Groupcast

Stay Ever Current: Subscribe today to  PLI’s blog edited by Clifford E. Kirsch. Why You Should Attend The legal framework applying to fiduciary investment advice is undergoing a sea change. The DOL has finalized rulemaking that is dramatically changing the regulatory framework establishing fiduciary duties and obligations for broker-dealers, advisers and service providers in the retirement marketplace. At the same time, the SEC continues ...

Developments in Antitrust Law & Regulation 2019

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend This year’s program will examine recent developments in several key areas of antitrust reflected in recent decisions as well as vigorous enforcement in the US and around the world.  Panels or nationally known practitioners and senior government enforcement officials will report on and explore developments in competitor relationships, including cartels and other per se antitrust violations as well as the antitrust implications ...

Compliance & Ethics Essentials 2019

Program  ProgramWebcast  Webcast

Why You Should Attend Compliance and ethics programs are critically important to the success and growth of any organization. Effective programs allow organizations to identify and mitigate legal risks, thereby preventing reputational damage or harm to the value of a company. An effective compliance and ethics program also allows any organization, large or small, to establish itself as doing business with integrity, which enables organizations to command ...

Audit Committees and Financial Reporting 2019: Recent Developments and Current Issues

Program  ProgramWebcast  WebcastGroupcast  Groupcast

As many new regulations are promulgated by the SEC, PCAOB and financial institution regulators, there are numerous challenges emerging for the audit committee. If you are a director or member of an audit committee, or if you advise audit committees, this program will help you understand what is required of the audit committee, and those who advise them, in this rapidly changing environment. You will hear from an expert faculty of public company directors ...


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