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Showing 18 Results


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Understanding Financial Products 2019

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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 ...

Fiduciary Investment Advice 2019

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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 ...

Global Capital Markets & the U.S. Securities Laws 2019

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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 across the globe are subject to changing accounting and corporate governance standards. Issuers and market participants also face an increasingly active global enforcement environment targeting activities taking place around the world, while managing ...

Basics of Mutual Funds and Other Registered Investment Companies 2019

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Stay Ever Current: Subscribe today to  PLI’s blog edited by Clifford E. Kirsch. Mark Your Calendar.  More Information to Come!

Fundamentals of Broker-Dealer Regulation 2019

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Stay Ever Current: Subscribe today to  PLI’s blog edited by Clifford E. Kirsch. Mark Your Calendar. More information to Come!

Global Investment Funds 2019

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Stay Ever Current: Subscribe today to  PLI’s blog edited by Clifford E. Kirsch. Mark Your Calendar. More Information to Come!

Hedge Fund Management 2019

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Fundamentals of Swaps & Other Derivatives 2019

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Advanced Swaps & Other Derivatives 2019

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Bank Asset Management and Collective Investment Funds 2019

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Stay Ever Current: Subscribe today to  PLI’s blog edited by Clifford E. Kirsch. Mark Your Calendars. More Information to Come!

Advanced Venture Capital 2019

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New Developments in Securitization 2019

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Fund Finance 2019

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