Course Handbook  Course Handbook

Seventeenth Annual Institute on Securities Regulation in Europe: Practical Implications of U.S. Law on EU Practice

Publication Date: February 2018 Number of Volumes: 2
ISBN Number: 9781402430992 Page Count: 2438 pages

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Download: Table of Contents    Index

Table of Contents to Vol. 1
Table of Contents to Vol. 2
Chapter 1: Cleary Gottlieb Client Alert: SEC Clarifies What Financial Information Companies Can Omit from Draft Registration Statements (August 21, 2017) Sebastian R. Sperber ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 2: Cleary Gottlieb Client Alert: The New SEC Policy on Confidential Review of Registration Statements (July 9, 2017) Sebastian R. Sperber ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 3: Cleary Gottlieb Client Alert: Environmental, Social and Governance Focus (January 9, 2018) Sebastian R. Sperber ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 4: Cleary Gottlieb Client Alert: SEC Proposes to Modernize and Simplify Disclosure Requirements for Public Companies (October 16, 2017) Sebastian R. Sperber ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 5: Cleary Gottlieb Client Alert: New SEC Statement Gives Partial Relief under Conflict Minerals Rule (April 17, 2017) Sebastian R. Sperber ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 6: Complaint, In re SAIC, Inc. Securities Litigation, No. 1:12-cv-01353-DAB (S.D.N.Y. Oct. 31, 2016)
Chapter 7: Brief for the United States as Amicus Curiae Supporting Respondents, Leidos, Inc. v. Indiana Public Retirement System, No. 16-581 (U.S. Oct. 31, 2016)
Chapter 8: Ethan A. Klingsberg, Harvard Law School Forum on Corporate Governance and Financial Regulation, Index Eligibility as Governance Battlefield: Why the System is Not Broken and We Can Live with Dual Class Issuers (July 5, 2017) Sebastian R. Sperber ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 9: Cleary Gottlieb Client Alert: SEC Signals Company-Friendly Approach in New Shareholder Proposal Guidance (November 9, 2017) Sebastian R. Sperber ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 10: Arthur H. Kohn, Sandra Flow, Mary E. Alcock and Elizabeth K. Bieber, Cleary Gottlieb Client Alert: Apple’s Unsuccessful Test of the SEC’s Recent Guidance on Shareholder Proposals (December 27, 2017) Sebastian R. Sperber ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 11: Paul, Weiss, Rifkind, Wharton & Garrison LLP Client Alert: The SEC Is Open for Business: Takeaways from the AICPA’s 2017 Conference on Current PCAOB and SEC Developments (December 8, 2017) Mark S. Bergman ~ Paul, Weiss, Rifkind, Wharton & Garrison LLP
Hank Michael ~ Paul, Weiss, Rifkind, Wharton & Garrison LLP
Sofia D. Martos ~ Paul, Weiss, Rifkind, Wharton & Garrison LLP
Chapter 12: The MiFID II Product Governance (PG) and Packaged Retail Investment and Insurance Products Regulation (PRIIPs) Regimes, January 2018: An Approach for the Eurobond Markets (Draft, December 21, 2017) Sachin Davé ~ Allen & Overy LLP
Chapter 13: The MiFID II Product Governance (PG) Regime; Retail Bonds (Admitted to Trading on an EEA Regulated Market)—‘ICMA2’ (Draft, December 21, 2017) Sachin Davé ~ Allen & Overy LLP
Chapter 14: MAR and Omnibus II—Prospectus Directive: The Practical Impact Cecil D. Quillen ~ Linklaters LLP
Sarah Murphy ~ Freshfields Bruckhaus Deringer
Chapter 15: What Does MiFID II Mean for Me? Sarah Murphy ~ Freshfields Bruckhaus Deringer
Chapter 16: Liability Management/Restructurings Cecil D. Quillen ~ Linklaters LLP
Chapter 17: U.S. Developments Cecil D. Quillen ~ Linklaters LLP
Sarah Murphy ~ Freshfields Bruckhaus Deringer
Chapter 18: Commission Staff Working Document: Review of the Prudential Framework for Investment Firms Accompanying the document “Proposal for a Regulation of the European Parliament and of the Council on the prudential requirements of investment firms and amending Regulations (EU) No 575/2013, (EU) No 600/2014 and (EU) No 1093/2010,” “Proposal for a Directive of the European Parliament and of the Council on the prudential supervision of investment firms and amending Directives 2013/36/EU and 2014/65/EU (European Commission, December 20, 2017, SWD(2017) 481 Final) Simon Dodds ~ Co-General Counsel, Deutsche Bank
Chapter 19: Consultation Document: FinTech: A More Competitive and Innovative European Financial Sector (European Commission, Investment and Company Reporting: Economic Analysis and Evaluation) Simon Dodds ~ Co-General Counsel, Deutsche Bank
Chapter 20: Financial Conduct Authority: A Better View, Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, Delivered at the AFME European Compliance and Legal Conference 2017 (September 20, 2017) Simon Dodds ~ Co-General Counsel, Deutsche Bank
Chapter 21: Keynote Address by Verena Ross, Executive Director: AFME European Compliance and Legal Conference, London (European Securities and Markets Authority, September 20, 2017, ESMA71-319-53) Simon Dodds ~ Co-General Counsel, Deutsche Bank
Chapter 22: Bank of England, Why Are Retail Banks Being ‘Ring-Fenced’ and How Will This Affect Me? Simon Dodds ~ Co-General Counsel, Deutsche Bank
Chapter 23: Katie Britton, Lindsey Dawkes, Simon Debbage, and Talib Idris, Bank of England, Quarterly Bulletin, 4th Quarter, Ring-fencing: What Is It and How Will It Affect Banks and Their Customers? (2016) Simon Dodds ~ Co-General Counsel, Deutsche Bank
Chapter 24: Stephen Lahanas, Dataconomy, Why Organizations Need a Data Strategy (November 24, 2017) Simon Dodds ~ Co-General Counsel, Deutsche Bank
Chapter 25: Amit Garg, Davide Grande, Gloria Macias-Lizaso Miranda, Christoph Sporleder and Eckart Windhagen, Analytics in Banking: Time to realize the value (April 2017) Simon Dodds ~ Co-General Counsel, Deutsche Bank
Chapter 26: Information Commissioner’s Office, Big Data, Artificial Intelligence, Machine Learning and Data Protection Simon Dodds ~ Co-General Counsel, Deutsche Bank
Chapter 27: Information Commissioner’s Office, Preparing for the General Data Protection Regulation (GDPR): 12 Steps to Take Now (Version 2.0) Simon Dodds ~ Co-General Counsel, Deutsche Bank
Chapter 28: AFME Finance for Europe, and UK Finance, Impact of Brexit on Cross-Border Financial Services Contracts (September 2017) Simon Dodds ~ Co-General Counsel, Deutsche Bank
Chapter 29: Additional Relevant Articles (Links) Simon Dodds ~ Co-General Counsel, Deutsche Bank
Chapter 30: United States of America v. Anthony Allen and Anthony Conti, Nos. 16-898-cr (Lead), 16-939-cr (con) (2d. Cir. July 19, 2017)
Chapter 31: Judgment: Director of the Serious Fraud Office v. Eurasian Natural Resources Corporation Ltd. (2017) EWHC 1017 (QB) (May 8, 2017)
Chapter 32: Matthew Worby, Simmons & Simmons LLP, Crime, Fraud and Investigations 2018: Changes at UK Enforcement Agencies (January 3, 2018) Andrew M. Genser ~ Kirkland & Ellis LLP
Chapter 33: Excerpt: USAM Manual, 9-47.120—FCPA Corporate Enforcement Policy Andrew M. Genser ~ Kirkland & Ellis LLP
Chapter 34: The United States Department of Justice: Assistant Attorney General Leslie R. Caldwell Speaks at American Bar Association’s 30th Annual National Institute on White Collar Crime, San Diego, CA (March 4, 2016) Andrew M. Genser ~ Kirkland & Ellis LLP
Chapter 35: Financial Conduct Authority: The Expanding Scope of Individual Accountability for Corporate Misconduct, Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA (March 31, 2017) Andrew M. Genser ~ Kirkland & Ellis LLP
Chapter 36: Securities Class Actions: A Gathering Storm?, PLC Magazine (August 2017) Simon Clarke ~ Herbert Smith Freehills LLP
Harry Edwards ~ Herbert Smith Freehills LLP
Chapter 37: Herbert Smith Freehills LLP Banking Litigation E-Bulletin: Court of Appeal Upholds “No Look Through” Principle in Immobilised Securities Trading (November 7, 2017) Simon Clarke ~ Herbert Smith Freehills LLP
Ceri Morgan ~ Herbert Smith Freehills LLP
Emily Blanshard ~ Herbert Smith Freehills LLP
Chapter 38: Judgment: Secure Capital SA v. Credit Suisse AG (2017) EWCA Civ 1486 (October 6, 2017) Simon Clarke ~ Herbert Smith Freehills LLP
Chapter 39: Developments in U.S. Securities Litigation (February 2, 2018) (PowerPoint slides) James H.R. Windels ~ Davis Polk & Wardwell LLP
Chapter 40: Office of the Comptroller of the Currency, Semiannual Risk Perspective: From the National Risk Committee, Washington, D.C. (Fall 2017)
Chapter 41: Accounting and Auditing Developments for 2018 John W. White ~ Cravath, Swaine & Moore LLP
Chapter 42: Skadden, Arps, Slate, Meagher & Flom LLP, 2017 Insights, A collection of commentaries on the critical legal issues in the year ahead (January 31, 2017)
Chapter 43: Hypothetical I
Chapter 44: Hypothetical II
Chapter 45: Hypothetical III
Chapter 46: Hypothetical IV
Chapter 47: Hypothetical V
Chapter 48: Hypothetical VI
Chapter 49: German Materials Robert H. Mundheim ~ University of Arizona James E. Rogers College of Law
Index

This Course Handbook was compiled for the program, Seventeenth Annual Institute on Securities Regulation in Europe Practical Implications of U.S. Law on EU Practice.

PLI’s nationally acclaimed course handbooks represent the definitive thinking of the nation’s finest legal minds on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Chairperson(s)
John W. Banes, Davis Polk & Wardwell LLP
Diana Billik, Allen & Overy LLP
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