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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 ...

Nineteenth Annual Private Equity Forum

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend At this program, a distinguished panel of experts will discuss the basics and hot topics of the private equity fund practice.  Experts will guide you through an array of key topics, including a general overview of the legal issues that need to be considered in marketing a private equity fund, current regulatory and compliance hot buttons, current issues in negotiating the terms of private equity funds, GP-led fund restructurings, ...

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 ...

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

Mark Your Calendar.  More Information to Come!

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 ...

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 ...


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