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Showing 16 Results


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Understanding Financial Products 2019

Program  ProgramWebcast  WebcastGroupcast  Groupcast

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 ...

Dually Registered Broker-Dealers and Advisers—Regulatory, Compliance and Enforcement 2019

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Stay Ever Current: Subscribe today to  PLI’s blog edited by Clifford E. Kirsch. Why You Should Attend Broker-dealers that are dually registered as investment advisers are under intense regulatory scrutiny—including an increasingly demanding examination focus from the SEC, FINRA and the states.  At the same time, the regulatory framework applying to dual-registrants is about to change dramatically with the anticipated ...

ERISA Fiduciary Investment Basics 2019

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend This course provides an introduction to the basics of ERISA fiduciary law using a case study vehicle. At this year’s program, you will learn about the principal issues in ERISA’s regulation of plan investments through a case study of a hypothetical plan asset hedge fund exploring entry in the plan marketplace and a plan investor considering such an alternative investment. The program will also utilize a hypothetical ...

Investment Management Institute 2019

Program  ProgramWebcast  WebcastGroupcast  Groupcast

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. Topics of discussion will include the SEC’s regulatory agenda, fund and advisers reporting regimes, and current issues of the day for alternative asset managers. You will also examine Section 36(b) cases and other recent investment ...

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

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 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

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Stay Ever Current: Subscribe today to  PLI’s blog edited by Clifford E. Kirsch. Why You Should Attend This program is designed to provide attendees with a basic overview of the legal, regulatory and operational issues affecting “registered investment companies” – the universe of publicly offered pooled investment vehicles that include mutual funds, closed-end funds, exchange-traded funds (“ETFs”) and others.  ...

Pension Plan Investments 2019: Current Perspectives

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Experienced practitioners in the area of pension investment law will give their perspectives, and illuminate issues, on current topics and recent developments. Continued statutory, regulatory and market changes ensure a full agenda of new developments to be debated and analyzed by the panelists. The growth of the defined contribution plan, and decline of the defined benefit plan, markets give rise to new financial products and ...

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

Program  ProgramWebcast  WebcastGroupcast  Groupcast

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


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