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Securities Filings 2018: Practical Guidance in a Changing Environment

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend This popular two-day program will analyze in detail the forms used for filings with the SEC under the Securities Act of 1933 (“Securities Act”), and the Securities Exchange Act of 1934 (“Exchange Act”), with particular emphasis on the mechanics of and timing for assembling particular filings. Each segment of the program will incorporate practical tips and/or interactive drafting exercises. Ethics credit ...

EU’s Fifth Anti-Money Laundering Directive

One-Hour Briefing  One-Hour Briefing

On April 19, 2018, the European Union (“EU”) announced that it had voted to adopt the Fifth Anti-Money Laundering Directive (“5AMLD”).  The Directive will enter into force twenty days after its publication in the EU’s Official Journal.  Within eighteen months thereafter, the EU’s Member States must adopt the majority of its provisions. In this presentation, Nicole S. Healy, a partner at Ropers Majeski ...

Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend In recent years, the government has focused on compliance professionals and in-house counsel, the gatekeepers who are tasked with identifying corporate misconduct. This program is designed for both gatekeepers and lawyers who represent them and will feature experienced in-house and outside counsel, chief compliance officers and government officials who will use hypotheticals to discuss a variety of topics concerning  the ...

Corporate Political Activities 2018: Complying with Campaign Finance, Lobbying and Ethics Laws

Program  ProgramWebcast  Webcast

Please note: this program does not offer legal ethics credit. Why You Should Attend As we head into the 2018 election season, developments in federal and state lobbying, campaign finance and ethics rules are making corporate compliance more challenging than ever. Led by high-level officials from the Federal Election Commission, Congressional ethics committees, state ethics agencies, corporate compliance officers, and private practitioners, this program’s ...

Insider Trading Law 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Over the last decade, insider trading has been a critical area of criminal and civil enforcement, and it will likely remain so for some time to come. Following the Second Circuit’s decision on tippee liability in Newman, and the Ninth Circuit’s decision on the same issue in Salman, the law’s contours were in flux. But then the Supreme Court agreed to hear the Salman appeal, and in December 2016, the Court issued ...

Understanding the Securities Laws 2018

Program  Program

Why You Should Attend Whether you are new to the field or seeking a quick refresher or an update, this is the securities law primer that you won’t want to miss. This program will provide an overview and discussion of the basic aspects of the U.S. federal securities laws by leading in-house and law firm practitioners as well as SEC staff.  Emphasis will be placed on the interplay among the Securities Act of 1933, the Securities Exchange ...

Assessing Your Compliance and Ethics Program

One-Hour Briefing  One-Hour Briefing

Under applicable government standards and best practices, expectations regarding compliance & ethics (C&E) program assessments have never been higher.  In this Briefing, Jeffrey M. Kaplan and Rebecca Walker of Kaplan & Walker LLP will discuss government expectations and practical tools to help you conduct an effective assessment of your program.  They will cover the following key topics: Official requirements for conducting ...

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 ...

Alternative Finance Summit 2018: Marketplace Lending, Cryptocurrency and Crowdfunding

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Alternative finance continues to drive significant engagement with the investment community.  But it also raises many more questions than answers, such as:    What does the future hold for marketplace lending, cryptocurrency and crowdfunding?  Will it be a boom or bust?  Will ICOs displace traditional capital-raising?  Will blockchain technology and distributed ledger technology supplant ...

Cybersecurity Basics: Practical Advice for Financial Institutions and Businesses

One-Hour Briefing  One-Hour Briefing

It’s a question of when, and not if, your company will experience a cyber incident. Are you prepared? And is your cybersecurity program up to speed? This program will walk you through the steps necessary to prepare for cyber threats, providing practical solutions for the legal and ethical challenges in protecting your business and data from cyber threats. Joseph P. Facciponti, Heather B. Middleton, and Sharon A. O’Shaughnessy of Murphy ...

Broker/Dealer Regulation and Enforcement 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Stay Ever Current: Subscribe today to  PLI’s blog edited by Clifford E. Kirsch. Why You Should Attend This program will address the many significant developments and trends in the regulation and oversight of broker-dealers.  As uncertainty remains around whether any major regulatory change will  be forthcoming,  the regulators are forging  ahead with their regulatory agendas and priorities.  The DOJ, SEC, CFTC, ...

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 ...

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 ...

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 ...

Annual Disclosure Documents 2018: Current Developments and Best Practices

Program  ProgramWebcast  WebcastGroupcast  Groupcast

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 international economic, ...

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  Webcast

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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