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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 ...

Insider Trading Law 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Over the last decade, insider trading has been a critical area of criminal and civil enforcement, and it will likely remain so for some time to come. Following the Second Circuit’s decision on tippee liability in Newman, and the Ninth Circuit’s decision on the same issue in Salman, the law’s contours were in flux. But then the Supreme Court agreed to hear the Salman appeal, and in December 2016, the Court issued ...

Hot Issues in Executive Compensation 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend As the economy shifts and the legislature, SEC, and shareholders respond, the design, implementation and disclosure of executive compensation undergoes continual change. At this program, experts in the area – from major corporations, the SEC, the IRS and shareholder activist groups, as well as from leading law and consulting firms – will lead you through the emerging best practices and the current reactions to the ...

14th Annual SEC Reporting & FASB Forum for Mid-sized & Smaller Companies

Program  Program

Why You Should Attend New leadership and new directions at the SEC, FASB and PCAOB have created change and challenge for mid-sized and smaller companies.  The SEC’s expected expansion of the smaller reporting company system along with changes to Regulation S-K and S-X create opportunities for companies to simplify and improve their reporting to shareholders.  Finishing implementation of the FASB’s new lease standard, preparing ...

Form 10-K In-Depth Workshop 2018

Workshop  Workshop

Why You Should Attend A hands-on Workshop designed to give participants a mastery of the Form 10-K requirements, and takeaways on how to improve 10-K disclosures. Interactive discussions involving example 10-Ks will enhance your understanding of each item, with particular focus given to the Management’s Discussion & Analysis (MD&A) section. Workshop leaders will guide Participants through Form 10-K item-by-item, using PLI’s SEC ...

Understanding the Securities Laws 2018

Program  Program

Why You Should Attend Whether you are new to the field or seeking a quick refresher or an update, this is the securities law primer that you won’t want to miss. This program will provide an overview and discussion of the basic aspects of the U.S. federal securities laws by leading in-house and law firm practitioners as well as SEC staff.  Emphasis will be placed on the interplay among the Securities Act of 1933, the Securities Exchange ...

Securities Arbitration 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend This year’s Securities Arbitration program will feature FINRA Dispute Resolution leadership and arbitrators, as well as noted academics and experienced attorneys who represent both customers and industry.  Our faculty will provide practical tips for the use of experts and discovery in arbitration proceedings. They will explore the ethical challenges involved in technology and security in arbitration and mediations ...

Bridge-the-Gap I: Ethics and Skills for Newly Admitted New York Attorneys 2018

Program  ProgramWebcast  Webcast

Why You Should Attend With law school behind you, it's now time to learn the ethics and skills lessons that are helpful to know before you start practicing, but tend to arise when you're already on the job.  Knowing how to navigate a range of ethical pitfalls, polishing your writing and communications for clients and colleagues, as well as honing your negotiation preparation approach - are all skills and knowledge that are "nice to know" ...

Assessing Your Compliance and Ethics Program

One-Hour Briefing  One-Hour Briefing

Under applicable government standards and best practices, expectations regarding compliance & ethics (C&E) program assessments have never been higher.  In this Briefing, Jeffrey M. Kaplan and Rebecca Walker of Kaplan & Walker LLP will discuss government expectations and practical tools to help you conduct an effective assessment of your program.  They will cover the following key topics: Official requirements for conducting ...

Illinois Basic Skills for Newly Admitted Attorneys 2018

Program  Program

Why You Should Attend PLI’s Illinois Basic Skills for Newly Admitted Attorneys is designed to help newly admitted attorneys in Illinois meet their first-year Minimum Continuing Legal Education Basic Skills Course requirements. This program, taught by a faculty of expert practitioners from a range of practice areas, covers important professional responsibility topics and fundamental elements of practice. What You Will Learn  Effective ...

Pocket MBA 2018: Finance for Lawyers and Other Professionals

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend This program is specifically designed for in-house and law firm attorneys and other professionals who work with financial information. It will enhance understanding of business strategies, accounting fundamentals and vocabulary used by management, investors, auditors and bankers. Practical advice and application of information to actual situations and financial reports will provide participants with opportunities to immediately ...

Outsourcing 2018: ITO, BPO and Cloud

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Managing a global business today virtually necessitates contracting with outside technology partners to manage various aspects of non-essential and even some core business functions.  As ITO, BPO and cloud solutions reach broad adoption across industries, new entrants to the market continue to emerge, offering cheaper and faster alternatives to industry stalwarts.  A maturing market for technology outsourcing solutions ...

SEC Reporting and Practice Skills Workshop for Lawyers 2018

Workshop  Workshop

Why You Should Attend Many lawyers learn SEC reporting through on-the-job training that often is piecemeal at best.  This Workshop is intended to replace that ad-hoc learning process by helping participants develop a comprehensive and in-depth understanding of the structure, organization and details of the reporting requirements of the U.S. federal securities laws, including how to use the SEC’s online resources and all related sources ...

Fund Finance: Terms and Structures

One-Hour Briefing  One-Hour Briefing

Learn about the latest developments in the use of financial leverage by investment funds from experts from Blackstone/GSO and Dechert LLP.  The panel will discuss current trends in fund finance and address terms and structures of the following financing options available to investment funds: Fund-level credit facilities Special purpose vehicle financing Structured repurchase agreements Total return swap financing Subscription ...

Corporate Political Activities 2018: Complying with Campaign Finance, Lobbying and Ethics Laws

Program  ProgramWebcast  Webcast

Please note: this program does not offer legal ethics credit. Why You Should Attend As we head into the 2018 election season, developments in federal and state lobbying, campaign finance and ethics rules are making corporate compliance more challenging than ever. Led by high-level officials from the Federal Election Commission, Congressional ethics committees, state ethics agencies, corporate compliance officers, and private practitioners, this program’s ...

Alternative Finance Summit 2018: Marketplace Lending, Cryptocurrency and Crowdfunding

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Alternative finance continues to drive significant engagement with the investment community.  But it also raises many more questions than answers, such as:    What does the future hold for marketplace lending, cryptocurrency and crowdfunding?  Will it be a boom or bust?  Will ICOs displace traditional capital-raising?  Will blockchain technology and distributed ledger technology supplant ...

Cybersecurity Basics: Practical Advice for Financial Institutions and Businesses

One-Hour Briefing  One-Hour Briefing

It’s a question of when, and not if, your company will experience a cyber incident. Are you prepared? And is your cybersecurity program up to speed? This program will walk you through the steps necessary to prepare for cyber threats, providing practical solutions for the legal and ethical challenges in protecting your business and data from cyber threats. Joseph P. Facciponti, Heather B. Middleton, and Sharon A. O’Shaughnessy of Murphy ...

Hedge Fund and Private Equity Enforcement & Regulatory Developments 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend The SEC and other government agencies continue to focus enforcement and examination efforts on managers of private hedge funds and private equity funds.  This program will bring together top regulators, leading in-house legal and compliance professionals and expert outside counsel, to discuss the latest issues, trends and risks in regulatory compliance oversight.  The list of risk areas continues to grow, with examiners ...

SEC Reporting Skills Workshop 2018

Workshop  Workshop

Why You Should Attend Designed for accounting and financial reporting professionals, this Workshop will help you build the foundational knowledge and practical experience necessary to prepare and review the SEC’s periodic and current reporting forms. Participants will learn the structure and details of Forms 10-K, 10-Q, and 8-K, with particular emphasis on challenging and complex disclosures and how to effectively use the SEC’s ...

Hot Topics in Mergers & Acquisitions 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend M&A activity in 2017 was strong, if lumpy. The impact of the evolving regulatory environment in the U.S. and the effects in Europe of the UK Brexit rollout continue to unfold. In this quickly evolving and uncertain environment, it is critical for dealmakers and their counsel to stay abreast of the latest trends and forecasts. What is driving the continued activity levels, and are those underlying factors sustainable? How ...

Commodity Exchange Act Basics

One-Hour Briefing  One-Hour Briefing

This One-Hour Briefing provides all the basics a lawyer needs to be conversant in and familiar with the Commodity Exchange Act and the regulatory framework for futures, commodity options, swaps, and retail foreign exchange.  Topics to be covered by Curtis A. Doty and Anna T. Pinedo of Mayer Brown LLP include: The jurisdiction of the Commodity Futures Trading Commission (CFTC); Who are the registrants and what authority does the ...

Public Company Take-Private Transactions: An Historical Perspective and What the Future May Hold

One-Hour Briefing  One-Hour Briefing

Before the financial crisis, major private equity firms were frequently successful in acquiring significant public companies in “take-private” deals.  Major take-privates, including Hilton, RJR Nabisco, Georgia Pacific and First Data, rank among the largest M&A deals of all time.  Since the financial crisis, very few significant take-privates have been proposed or completed.  Andrew Capitman, a Managing Director in ...

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 ...

"Technotainment" 2018: Distributing Content Across Multiple Platforms

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend At the crossroads of the entertainment and technology industries, there lies a challenging yet burgeoning field. A myriad of unexplored possibilities and unrealized financial returns await the resourceful legal practitioner, but accompanying this landscape are provocative complexities and large economic risks. With technology in a constant state of flux and its ramifications an ever a moving target, how ready are you to offer ...

Broker/Dealer Regulation and Enforcement 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Stay Ever Current: Subscribe today to  PLI’s blog edited by Clifford E. Kirsch. Why You Should Attend This program will address the many significant developments and trends in the regulation and oversight of broker-dealers.  As uncertainty remains around whether any major regulatory change will  be forthcoming,  the regulators are forging  ahead with their regulatory agendas and priorities.  The DOJ, SEC, CFTC, ...


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