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Fundamentals of Broker-Dealer Regulation 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Fundamentals of Broker-Dealer Regulation 2018 has been approved for 8 CRCM, 8 CSOP, 8 CTFA credits. This statement should not be viewed as an endorsement of this program or its sponsor. 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 ...

Securities Filings 2018: Practical Guidance in a Changing Environment

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend This popular two-day program will analyze in detail the forms used for filings with the SEC under the Securities Act of 1933 (“Securities Act”), and the Securities Exchange Act of 1934 (“Exchange Act”), with particular emphasis on the mechanics of and timing for assembling particular filings. Each segment of the program will incorporate practical tips and/or interactive drafting exercises. Ethics credit ...

Global Investment Funds 2018

Program  Program

Why You Should Attend Asset managers today have a global presence and investment funds are built and designed with a view to cross-border distribution. As a result, legal and compliance professionals have an increasing need to identify and understand the legal framework applying to global investment funds.  This program will target those issues that are involved with offering cross-border services to non-US clients and foreign advisers offering ...

Securities Law and Practice 2018: How the SEC Works

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Securities lawyers need to have a firm grasp of not only the federal securities laws, but also how the SEC works to administer these laws. In this program, you will be given an introduction to the federal securities laws as well as the operating divisions at the SEC that administer the laws. You will be provided with what you need to know about how the SEC administers the securities laws — and the other agencies that the ...

Fundamentals of Swaps & Other Derivatives 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Over-the-counter (OTC) derivatives are key elements in many of our financial markets.  The Dodd-Frank Act and other regulations have changed and are continuing to change how these important instruments are regulated and transacted.  This program will introduce you to both the instruments and their current environment. A derivative is a financial instrument that allocates the risks and price exposures associated with ...

Advanced Swaps & Other Derivatives 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend The Dodd-Frank Act established a novel, comprehensive framework for the regulation of over-the-counter (OTC) derivatives and the market participants who transact in these products.  That regulatory framework, split primarily between the SEC and CFTC, has been substantially implemented by the CFTC.  For their part, the SEC has made substantial progress and has most recently focused on finalizing the rules applicable ...

New Developments in Securitization 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Mark Your Calendar.  More Information to Come! Program Level: Overview Intended Audience: Attorneys at law firms, corporations, investment banks, investment funds, and other financial institutions dealing with asset-backed securities or structured products. Business professionals who need to understand the securitization process. Prerequisites: A background in financial, security, and derivative regulations as well as credit risk retention rules Advanced ...

Understanding Financial Products 2019

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ERISA Fiduciary Investment Basics 2019

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Investment Management Institute 2019

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Pension Plan Investments 2019: Current Perspectives

Program  ProgramWebcast  Webcast

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Fundamentals of Investment Adviser Regulation 2019

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Twentieth Annual Private Equity Forum

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Fundamentals of Broker-Dealer Regulation 2019

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Global Investment Funds 2019

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Hedge Fund Management 2019

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Fundamentals of Swaps and Other Derivatives 2019

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Advanced Swaps & Other Derivatives 2019

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New Developments in Securitization 2019

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Mark Your Calendar. More Information to Come!


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