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Internal Investigations 2018

Program  ProgramGroupcast  Groupcast

Why You Should Attend From commencement to conclusion, lawyers face numerous issues when conducting an internal investigation. Allegations by a whistleblower, ethical dilemmas, and managing the costs of an investigation are just some of the challenges that may arise. Companies and their counsel must anticipate potential risks and quickly resolve all issues that arise before, during, and after the investigation. At this program, an expert faculty will ...

Anti-Money Laundering 2018: Risks, Due Diligence and Compliance in an Evolving Legal and Technological World

Program  ProgramWebcast  Webcast

In addition to the credits listed to the right, this program also offers credit for ACAMS recertification. Anti-Money Laundering 2018: Risks, Due Diligence and Compliance in an Evolving Legal and Technological World has been approved for 3 CAMS credits. This program also offers credit for ABA professional certification. Anti-Money Laundering 2018: Risks, Due Diligence and Compliance in an Evolving Legal and Technological World has been approved for ...

Fundamentals of Investment Adviser Regulation 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Stay Ever Current: Subscribe today to PLI’s blog edited by Clifford E. Kirsch. Why You Should Attend 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 2018 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 ...

Spoofing Enforcement – Recent Developments

One-Hour Briefing  One-Hour Briefing

In the first four years after the Dodd-Frank Act prohibition on spoofing was signed into law in 2010, the CFTC resolved only one case relating to spoofing, and not a single criminal action was brought.  In the roughly four years since that time, spoofing charges and resolutions—both civil and criminal—have risen steadily, culminating most recently in actions against 3 organizations and 8 individuals (including both settlements and ...

Understanding the Securities Laws 2018

Program  ProgramGroupcast  Groupcast

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 ...

Fundamentals of Broker-Dealer Regulation 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Stay Ever Current: Subscribe today to , PLI’s new blog edited by Clifford E. Kirsch. Why You Should Attend Major changes in the broker-dealer industry and regulatory framework are anticipated as a result of the new administration and new senior leadership at the SEC that is providing a fresh and comprehensive examination of financial services regulation.  At the same time, the broker-dealer industry is undergoing change as new rules put ...

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, the Department of Justice, Congressional ethics committees, state ethics agencies, corporate compliance officers, and private ...

Global Investment Funds 2018

Program  Program

Mark Your Calendar.  More Information to Come!

Hedge and Private Fund Enforcement & Regulatory Developments 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Mark Your Calendar. More Information To Come! Program Level: Overview Intended Audience: Legal, finance and compliance professionals operating in the hedge fund and private equity industries should find this program informative. Prerequisites: A practice background and interest in current and anticipated enforcement, regulatory, legislative and compliance priorities impacting the hedge fund and private equity industry.  Advanced Preparation: ...

50th Annual Institute on Securities Regulation

Program  Program

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 ...

Coping with U.S. Export Controls and Sanctions 2018

Program  Program

Mark Your Calendar. More Information to Come!


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