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Showing 1 - 25 of 42 Results

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How Much Compliance is Enough? An Enterprise Risk-Based Approach to Finding Your Compliance Investment Sweet Spot

One-Hour Briefing  One-Hour Briefing

A well-tailored compliance program typically makes good business sense. It reduces operating risk, helps insulate your organization and individual leadership from legal liability, protects your brand, increases employee engagement, and (over time) tends to correlate to better business results. But what is the right level and type of compliance investment? Like all business system expenditures, compliance spend is subject to the economic realities ...

Understanding Financial Products 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

The explosion of new financial products over the past decade, the implosion of the credit markets and the resulting significant new 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 for their promoters, users, ...

False Claims Act: 2017 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 2017, especially since the Supreme Court’s decision in Escobar.  Courts have spent significant time analyzing and addressing the FCA in light of that opinion   The U.S. Department of Justice reported numerous settlements and judgments from FCA cases involving multiple industries throughout the country.   ...

Private Fund Regulatory Developments and Compliance Challenges 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend PLI’s Private Fund Regulatory Developments and Compliance Challenges carries on it’s 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 2018 ...

Social Media 2018: Addressing Corporate Risks

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend 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 ...

TCPA Update 2018: Current Compliance Challenges for Companies

One-Hour Briefing  One-Hour Briefing

Since going into effect just over two years ago, many courts have addressed the thorny issues presented by the FCC’s July 2015 Declaratory Ruling and Order on the Telephone Consumer Protection Act with various and sometimes conflicting results. These holdings present challenges for companies in all industries seeking to comply with the TCPA to avoid the staggering statutory damages available to aggrieved consumers. This Briefing will address ...

Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Stay Ever Current: Subscribe today to PLI’s new blog edited by Clifford E. Kirsch. In addition to the credits listed to the right, this program also offers credit for CFP certification. Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants has been approved by the CFP Board for 4.50 CE credits. Why You Should Attend   Broker-dealers that are dually registered as investment advisers ...

Constitutionality of the SEC’s ALJ Appointment Process: After the SEC’s Reversal of Position, and the Supreme Court’s Acceptance of Certiorari Review, What Next?

One-Hour Briefing  One-Hour Briefing

Since 2010, the SEC has increasingly used in-house administrative law judges to adjudicate its enforcement actions.  This practice has drawn criticism from the defense bar, who in a variety of ways have attacked the fairness and legitimacy of these proceedings.  One such attack – an argument that ALJs are ‘officers’ of the United States hired for their positions in a manner that violated the Constitution’s Appointment’s ...

Marijuana Compliance Challenges in 2018 and Beyond

One-Hour Briefing  One-Hour Briefing

If you thought it would be easy to guide your client to success in the new marijuana industry, what were you thinking? Many variable provisions in many divergent state marijuana laws are topped by the persistent threat of federal prosecutions and federal financial sanctions and forfeitures. It may be that marijuana will deliver riches to some clients, but others face confused uncertainty wrapped in tough compliance burdens. Are you ready for this ...

Integrating Enterprise Risk Management, Cybersecurity and Compliance in an Era of Big Data Breaches and Vulnerability

One-Hour Briefing  One-Hour Briefing

We live in an era of persistent information insecurity:  cyber breaches, data leaks, and the often-crippling consequences of these events for organizations and individuals dominate headlines and the public’s conscious.  Policy makers, regulators, investors, customers, and management are each ratcheting up scrutiny of and expectations regarding organizations’ information security practices.  High priced and increasingly-complex ...

Primer on the Foreign Agents Registration Act ("FARA") 2018

One-Hour Briefing  One-Hour Briefing

The Foreign Agents Registration Act ("FARA") is a criminal statute enacted in 1938 that only very recently has become the focus of a crackdown by the U.S. Department of Justice.  In addition to high profile FARA cases related to Special Counsel Robert Mueller's investigation of the Trump Administration, practitioners report that the Department of Justice is focusing additional resources on identifying violations of the statute and is taking an ...

The SEC Speaks in 2018

Program  ProgramWebcast  Webcast

Why You Should Attend   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 ...

Corporate Governance - A Master Class 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend This program will address key corporate governance issues faced by boards and principal board committees.  Public companies and their directors and officers face increasing responsibilities, and even increased risk of liability.  They are also under intense scrutiny and in at least some cases significant pressure from investors and regulators.  Changing investor expectations – including more vocal expectations ...

Not-for-Profit Organizations: Expanded Exposure to Fraud

One-Hour Briefing  One-Hour Briefing

Improprieties at a Not-for-Profit organization can cripple an organization in many ways including a loss of Federal and State funding, a dramatic drop in donor contributions, and a redirection of time and energy on the crisis and not on the organization’s mission-driven focus.  Board members and senior management should be aware of their risk and work to limit their exposure.  This One-Hour Briefing will discuss:           ...

Developments in Antitrust Law & Regulation 2018

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 ...

The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should AttendThe Foreign Corrupt Practices Act (“FCPA”) is at the top of most companies’ key risk areas. The DOJ and SEC remain focused on investigating violations and enforcement of the law. Recent FCPA settlements demonstrate that no industry is immune from scrutiny and the trend towards higher penalties involving multiple regulators has continued.  As more countries and international organizations ramp up their anti-corruption ...

Compliance & Ethics Essentials 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. This program may not offer legal ethics credit in your jurisdiction. Please check the credit calculator to the right for credit information for your jurisdiction. Why You Should Attend Compliance and ethics programs are critical to ...

Cloud Computing 2018: Key Issues and Practical Guidance

Program  ProgramWebcast  Webcast

This program will provide practical advice on the context and business realities around which cloud computing exists; key terms for cloud computing contracts; vendor and customer obligations and responsibilities associated with cloud computing services; the compliance obligations and concerns most important to potential purchasers; policies and procedures to help protect sensitive data in the cloud; transfers of data between cloud computing vendors; ...

Enforcement 2018: Perspectives from Government Agencies

Program  ProgramWebcast  WebcastGroupcast  Groupcast

The new administration will continue to bring unprecedented changes in our economic, business and regulatory regimes in general, and in enforcement efforts in particular. This unique program now in its eighth year brings together panels of senior staff from the various enforcement and regulatory agencies. Over the years these agencies have included the U.S. Commodity Futures Trading Commission, FINRA, New York State Department of Financial Services, ...

Fiduciary Investment Advice 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend The regulatory framework applying to the standard of conduct related to personalized financial advice continues to be in flux.  DOL is actively reconsidering its rulemaking that dramatically changes 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 is reported to be advancing internally its consideration ...


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