Narrow Your Results
Narrow Your Results

Content

Programs & Webcasts

On-Demand

Publications

Faculty/Authors

News/Blogs

CLE and Other Credit Types

CLE  

Search Programs

CLE Jurisdictions

CPD  

CPE (NASBA)  

CFE-CPE (Fraud)  

Compliance (CCB CEU)  

Privacy CPE (IAPP)  

Search for programs by jurisdiction or CLE credit type:

 
 
  Not all credit types are available in all jurisdictions. If you choose multiple states and multiple credit types, you may end up with 0 results.  
 



 

   
      

Search for Programs with CPD Credits in:


   

   

Showing 1 - 25 of 26 Results

List View Table View

Revisions to the U.S. Department of Justice’s FCPA Corporate Enforcement Policy and Other Current Trends in FCPA Investigations

One-Hour Briefing  One-Hour Briefing

In November 2017,  Deputy Attorney General Rod Rosenstein announced a revised Department of Justice (“DOJ”) FCPA corporate enforcement policy.  The policy, which has been formally incorporated into the U.S. Attorneys’ Manual, replaces the FCPA Pilot Program, which had been initiated in 2016.    In this presentation, Laura Kabler Oswell, partner in Sullivan & Cromwell LLP’s Litigation Group ...

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 ...

Seventeenth Annual Institute on Securities Regulation in Europe: Practical Implications of U.S. Law on EU Practice

Program  ProgramWebcast  Webcast

We are proud to present Practising Law Institute’s Seventeenth Annual Institute on Securities Regulation in Europe, the most comprehensive securities programme available in Europe, with a unique focus on the application of U.S. securities law in the EU. The Institute will provide the important U.S. perspective relevant to UK and European practice, featuring leading practitioners active in the U.S. and Europe, as well as company management, investment ...

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 ...

Government Investigations 2018: Investigations Arising From Data Breach and Privacy Concerns and Parallel Proceedings

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Electronic information pervades our society. Corporations and other organizations create, store, and utilize that information in all facets of business. Unfortunately, security can be breached and any breach can lead to investigations by various government agencies at the federal and State levels. Those investigations may lead to disputes about scope, variety and volume of electronic information to be produced. This program ...

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 ...

Investment Management Institute 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

In addition to the credits listed to the right, this program also offers credit for CFP certification. Investment Management Institute 2018 has been approved by the CPF Board for 10.50 CE credits. Why You Should Attend At this program you will hear expert panelists discuss significant business, legal, and technological developments in the investment management area over the past year and learn about important regulatory initiatives.   What ...

Global Capital Markets & the U.S. Securities Laws 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Capital markets are adjusting to a wide range of evolving regulatory standards that affect the way in which offerings are conducted around the world. At the same time, issuers around the world are subject to changing accounting and corporate governance standards, while market participants navigate new ground in derivative product regulation. Issuers and market participants also face an increasingly active global enforcement ...

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 ...

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. Mark Your Calendar.  More Information to Come!

Insider Trading Law 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Mark Your Calendar. More Information to Come!

50th Annual Institute on Securities Regulation

Program  Program

Mark Your Calendar. More Information To Come!


  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.