Course Handbook  Course Handbook

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

Publication Date: January 2017 Number of Volumes: 2
ISBN Number: 9781402428197 Page Count: 1568 pages

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Download: Table of Contents    Index

Table of Contents to Vol. 1
Table of Contents to Vol. 2
Chapter 1: Comment Letter of Cleary Gottlieb Steen & Hamilton RE: PCAOB Release No. 2016-003; Rulemaking Docket Matter No. 034; Proposed Auditing Standard—The Auditors Report on an Audit of Financial Statements when the Auditor Expresses an Unqualified Opinion and the Related Auditor’s Report; and Related Amendments to PCAOB Standards (August 15, 2016) Sebastian R Sperber ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 2: FAST Act Amendments to the U.S. Securities Laws (December 16, 2015) Sebastian R Sperber ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 3: SEC Proposes to Overhaul Its Disclosure Requirements for Mining Companies (June 20, 2016) Sebastian R Sperber ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 4: Non-GAAP Financial Measures: The SEC’s Evolving Views (June 13, 2016) Sebastian R Sperber ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 5: SEC Releases New Guidance on Non-GAAP Financial Measures (May 18, 2016) Sebastian R Sperber ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 6: The SEC’s New Proposal on Resource Extraction Payments: A Deeper Dive (January 22, 2016) Sebastian R Sperber ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 7: SIFMA Reg S-K Comment Letter to SEC Re: Business and Financial Disclosure Required by Regulation S-K (File Number S7-06-16) (July 21, 2016) Sebastian R Sperber ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 8: SIFMA Reg S-X Comment Letter to SEC Re: Request for Comment on the Effectiveness of Financial Disclosures About Entities Other Than the Registrant (November 30, 2015) Sebastian R Sperber ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 9: The New EU Market Abuse Regulation: An Overview for UK Issuers (January 2016) Nilufer von Bismarck ~ Slaughter and May
Chapter 10: The New Market Abuse Regime—Impact on Issuers of Debt Securities (July 2016) Nilufer von Bismarck ~ Slaughter and May
Chapter 11: The Market Abuse Regulation: Key Implications for Issues of Debt Securities (November 2016) Diana Billik ~ Allen & Overy LLP
Chapter 12: SEC Proposes Overhaul of Mining Disclosures (June 30, 2016) James C Scoville ~ Debevoise & Plimpton LLP
Matthew E Kaplan ~ Debevoise & Plimpton LLP
Alan V Kartashkin ~ Debevoise & Plimpton LLP
Natalia A Drebezgina ~ Debevoise & Plimpton LLP
Paul M Rodel ~ Debevoise & Plimpton LLP
Vera Losonci ~ Debevoise & Plimpton LLP
Chapter 13: SEC Adopts New Disclosure Requirements for Resource Extraction Issuers (July 18, 2016) Andrew M Levine ~ Debevoise & Plimpton LLP
James C Scoville ~ Debevoise & Plimpton LLP
Bruce E Yannett ~ Debevoise & Plimpton LLP
Matthew E Kaplan ~ Debevoise & Plimpton LLP
Alan V Kartashkin ~ Debevoise & Plimpton LLP
Alexander V Ulianov ~ Debevoise & Plimpton LLP
Paul M Rodel ~ Debevoise & Plimpton LLP
Chapter 14: Alternative Performance Measures (APMs) (July 2016) Sarah Murphy ~ Freshfields Bruckhaus Deringer
Chapter 15: SEC Staff Issues New and Revised Guidance on Non-GAAP Financial Measures (May 2016) Valerie Jacob ~ Freshfields Bruckhaus Deringer
Sarah Murphy ~ Freshfields Bruckhaus Deringer
Michael Levitt ~ Freshfields Bruckhaus Deringer
Paul Tropp ~ Freshfields Bruckhaus Deringer
Chapter 16: SEC Raises Exchange Act Registration, Termination and Suspension Thresholds to Conform with JOBS Act and FAST Act (May 2016) Cecil D Quillen ~ Linklaters LLP
Chapter 17: Brexit Briefing: Possible Implications for London Listed Companies Sarah Murphy ~ Freshfields Bruckhaus Deringer
Chapter 18: Brexit: Potential Implications for Mainstream Debt Capital Markets (June 2016) Cecil D Quillen ~ Linklaters LLP
Chapter 19: Brexit: Potential Implications for Structured Finance (June 2016) Cecil D Quillen ~ Linklaters LLP
Chapter 20: UK/EU: The UK has Voted to Leave the EU—Impact on the Use of English Governing Law and Jurisdiction Clauses in Cross-Border Commercial Contracts (June 2016) Cecil D Quillen ~ Linklaters LLP
Chapter 21: The Market Abuse Regulation: Practical Tips for Compliance with the New Regime (August 3, 2016) James C Scoville ~ Debevoise & Plimpton LLP
Alan V Kartashkin ~ Debevoise & Plimpton LLP
Natalia A Drebezgina ~ Debevoise & Plimpton LLP
Dominic Blaxill ~ Debevoise & Plimpton LLP
Maxim A Kuleshov ~ Debevoise & Plimpton LLP
Thomas Matthews ~ Debevoise & Plimpton LLP
Vera Losonci ~ Debevoise & Plimpton LLP
Chapter 22: MAR: Disclosure of Inside Information (June 2016) Sarah Murphy ~ Freshfields Bruckhaus Deringer
Chapter 23: MAR: Insider Lists (June 2016) Sarah Murphy ~ Freshfields Bruckhaus Deringer
Chapter 24: MAR: Dealings by PDMRs (June 2016) Sarah Murphy ~ Freshfields Bruckhaus Deringer
Chapter 25: MAR: Market Soundings (July 2016) Sarah Murphy ~ Freshfields Bruckhaus Deringer
Chapter 26: The EU Market Abuse Regulation—What Does It Mean for Issuers and Advisors Outside Europe? (July 2016) Sarah Murphy ~ Freshfields Bruckhaus Deringer
Chapter 27: MAR: Key Points for Liability Management Practitioners (October 2016) Cecil D Quillen ~ Linklaters LLP
Chapter 28: Investing in Europe: What Do U.S. Investors Need to Know About MAR? (June 2016) Cecil D Quillen ~ Linklaters LLP
Chapter 29: Brexit Essentials: Dispute Resolution Clauses (November 2016) Nilufer von Bismarck ~ Slaughter and May
Chapter 30: Is it Now Time to Treat the Banks More Fairly (June 2016) Nilufer von Bismarck ~ Slaughter and May
Chapter 31: CO/3809/2016; CO/3281/2016: Skeleton Argument of the Secretary of State (September 30, 2016) Simon Dodds ~ Co-General Counsel, Deutsche Bank
Chapter 32: The Process for Withdrawing from the European Union (February 2016) Simon Dodds ~ Co-General Counsel, Deutsche Bank
Chapter 33: Acting Associate Attorney General Bill Baer Delivers Remarks at American Antitrust Institute’s 17th Annual Conference (June 16, 2016) Simon Dodds ~ Co-General Counsel, Deutsche Bank
Chapter 34: New York State Department of Financial Services Proposed Regulations—23 NYCRR 500: Cybersecurity Requirements for Financial Services Companies Simon Dodds ~ Co-General Counsel, Deutsche Bank
Chapter 35: Financial Conduct Authority: Discussion Paper—Overall Responsibility and the Legal Function (September 2016) Simon Dodds ~ Co-General Counsel, Deutsche Bank
Chapter 36: Memorandum on Individual Accountability for Corporate Wrongdoing—U.S. Department of Justice—Office of the Deputy Attorney General (September 9, 2015) Simon Dodds ~ Co-General Counsel, Deutsche Bank
Chapter 37: Remarks Before Meeting with Iranian Foreign Minister Javad Zarif; Secretary of State John Kerry—U.S. Department of State (April 22, 2016) Simon Dodds ~ Co-General Counsel, Deutsche Bank
Chapter 38: Link to Selected Article from the Wall Street Journal: Kerry’s Peculiar Message About Iran for European Banks: Why is Washington Pushing Banks Like Mine to Do What is Still Illegal for American Banks? By Stuart Levey Simon Dodds ~ Co-General Counsel, Deutsche Bank
Chapter 39: FASB Proposes Technical Corrections to the New Revenue Standard (May 19, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 40: Preparing for the New Revenue Standard—Are You Ready? (December 2015) John W White ~ Cravath, Swaine & Moore LLP
Chapter 41: Speech by Wesley R. Bricker, Deputy Chief Accountant: Remarks before the 35th Annual SEC and Financial Reporting Institute Conference (June 9, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 42: Project Summary and Feedback Statement: IFRS 15 Revenue from Contracts with Customers (May 2014) John W White ~ Cravath, Swaine & Moore LLP
Chapter 43: The Leasing Standard—A Comprehensive Look at the New Model and Its Impact (March 2, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 44: 10 Minutes on the New US Lease Standard: How the New Rules Will Bring Changes to Your Financial Statements (August 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 45: Project Summary and Feedback Statement: IFRS 16 Leases (January 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 46: Speech by Wesley R. Bricker, Deputy Chief Accountant: Remarks before the 2016 Baruch College Financial Reporting Conference (May 5, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 47: Project Summary: IFRS 9 Financial Instruments (July 2014) John W White ~ Cravath, Swaine & Moore LLP
Chapter 48: The FASB’s New Financial Instruments Impairment Model—Accounting and Disclosure Considerations (July 11, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 49: Financial Markets Insights: New Guidance on Recognition and Measurement of Financial Instruments (April 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 50: How Many Listed Companies Use IFRS Standards Globally? John W White ~ Cravath, Swaine & Moore LLP
Chapter 51: Press Release: Trustees Conclude Review of Structure and Effectiveness of the IFRS® Foundation; Propose Amendments to Constitution (June 10, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 52: Speech by Chair Mary Jo White: Securities Regulation in the Interconnected, Global Marketplace (September 21, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 53: Blackline of Updated Non-GAAP C&DIs (May 17, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 54: IOSCO Statement on Non-GAAP Financial Matters: Final Report (June 7, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 55: SEC Updates Interpretive Guidance on Non-GAAP Financial Measures (May 19, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 56: To GAAP or Non-GAAP? The SEC is Watching (June 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 57: Building Confidence in Non-GAAP Measures and Other KPIs—A Path Forward (May 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 58: Questions on Non-GAAP Measures—A Tool for Audit Committees John W White ~ Cravath, Swaine & Moore LLP
Chapter 59: Speech by James V. Schnurr, Chief Accountant: Remarks before the 12th Annual Life Sciences Accounting and Reporting Congress (March 22, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 60: Speech by Chair Mary Jo White: International Corporate Governance Network Annual Conference: Focusing the Lens of Disclosure to Set the Path Forward on Board Diversity, Non-GAAP, and Sustainability (June 27, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 61: SEC Proposes Amendments to Update and Simplify Disclosure Requirements (July 15, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 62: SEC 17 CFR Part 229—Request for Comment on Subpart 400 of Regulation S-K Disclosure Requirements Relating to Management, Certain Security Holders and Corporate Governance Matters John W White ~ Cravath, Swaine & Moore LLP
Chapter 63: SEC Seeks Comments on the Disclosure Requirements of Regulation S-K (April 14, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 64: SEC Seeks Comments on First Initiative of Disclosure Effectiveness Project (October 5, 2015) John W White ~ Cravath, Swaine & Moore LLP
Chapter 65: Financial Accounting Standards Board: Technical Agenda Overview (October 27, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 66: Financial Accounting Standards Board: Disclosure Framework—Board’s Decision Process John W White ~ Cravath, Swaine & Moore LLP
Chapter 67: IASB® Speech by Hans Hoogervorst: “Better Communication” (June 30, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 68: IASB® Speech by Hans Hoogervorst: “Mind the Gap (Between Non-GAAP and GAAP)” (March 31, 2015) John W White ~ Cravath, Swaine & Moore LLP
Chapter 69: IASB® Speech by Hans Hoogervorst: “Latest Developments and Future Focus” (August 24, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 70: PCAOB Release No. 2015-003—Audit Committee Dialogue (May 7, 2015) John W White ~ Cravath, Swaine & Moore LLP
Chapter 71: PCAOB Staff Inspection Brief—Information about 2016 Inspections (July 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 72: Speech by Brian T. Croteau, Deputy Chief Accountant: Remarks before the 2015 AICPA National Conference on Current SEC and PCAOB Developments (December 9, 2015) John W White ~ Cravath, Swaine & Moore LLP
Chapter 73: PCAOB: Update on Trends and Issues in Audits of Internal Control over Financial Reporting (August 6, 2016) Jeanette M Franzel ~ Former Board Member, Public Company Accounting Oversight Board
John W White ~ Cravath, Swaine & Moore LLP
Chapter 74: Audit Quality Indicators: The Journey and Path Ahead (January 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 75: PCAOB: Standard-Setting Agenda—Office of the Chief Auditor (September 30, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 76: Speech by Chair Mary Jo White: Keynote Address at the 2015 AICPA National Conference: “Maintaining High-Quality, Reliable Financial Reporting: A Shared and Weighty Responsibility” (December 9, 2015) John W White ~ Cravath, Swaine & Moore LLP
Chapter 77: Speech by Andrew Ceresney, Director, Division of Enforcement: The SEC Enforcement Division’s Focus on Auditors and Auditing (September 22, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 78: The Evolving Role of Audit Committees Challenges and the Way Forward (March 18, 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 79: CAQ Insights: The Audit Committee of the Future (June 2016) John W White ~ Cravath, Swaine & Moore LLP
Chapter 80: SEC Considers Changes to Audit Committee Disclosure of Auditor Oversight (July 7, 2015) John W White ~ Cravath, Swaine & Moore LLP
Chapter 81: Speech by Chair Mary Jo White: The Challenge of Coverage, Accountability and Deterrence in Global Enforcement (October 1, 2014) Robert S Khuzami ~ Kirkland & Ellis LLP
Chapter 82: Speech by Matthew Wagstaff: The Role and Remit of the SFO (May 18, 2016) Robert S Khuzami ~ Kirkland & Ellis LLP
Chapter 83: Assistant Attorney General Leslie R. Caldwell Delivers Remarks at New York University Law School’s Program on Corporate Compliance and Enforcement (April 17, 2015) Robert S Khuzami ~ Kirkland & Ellis LLP
Chapter 84: Serious Fraud Office: Corporate Self-Reporting (October 2012) Robert S Khuzami ~ Kirkland & Ellis LLP
Chapter 85: Criminal Division Launches New FCPA Pilot Program (April 5, 2016) Robert S Khuzami ~ Kirkland & Ellis LLP
Chapter 86: Serious Fraud Office: Deferred Prosecution Agreements (DPA): A Practical Guide by Defense and Prosecution (October 17, 2016) Robert S Khuzami ~ Kirkland & Ellis LLP
Chapter 87: Serious Fraud Office: Deferred Prosecution Agreements Robert S Khuzami ~ Kirkland & Ellis LLP
Chapter 88: U.S. Department of Justice: The Fraud Section’s Foreign Corrupt Practices Act Enforcement Plan and Guidance (April 5, 2016) Robert S Khuzami ~ Kirkland & Ellis LLP
Chapter 89: Serious Fraud Office: SFO Secures Second DPA (July 8, 2016) Robert S Khuzami ~ Kirkland & Ellis LLP
Chapter 90: Cross-Border Overview: Managing Differences in DOJ and SFO Approaches to Corporate Cooperation in Cross-Border Investigations—An Extract from The Investigations Review of the Americas 2017 Robert S Khuzami ~ Kirkland & Ellis LLP
Chapter 91: Deputy Attorney General Sally Quillian Yates Delivers Remarks at New York University School of Law—Announcing New Policy on Individual Liability in Matters of Corporate Wrongdoing (September 10, 2015) Robert S Khuzami ~ Kirkland & Ellis LLP
Chapter 92: U.S. Department of Justice: Yates Memo on Individual Accountability for Corporate Wrongdoing (September 9, 2015) Robert S Khuzami ~ Kirkland & Ellis LLP
Chapter 93: Extract from The Securities Litigation Review—Chapter 6: England and Wales Damien Byrne Hill ~ Herbert Smith Freehills LLP
Harry Edwards ~ Herbert Smith Freehills LLP
Karen Anderson ~ Herbert Smith Freehills LLP
Chapter 94: Developments in Securities Litigation for Corporate Lawyers (PowerPoint slides) James H.R. Windels ~ Davis Polk & Wardwell LLP
Chapter 95: The Continuing Evolution of European Leveraged Loans Nilufer von Bismarck ~ Slaughter and May
Chapter 96: Salman v. United States: Supreme Court Considers the Scope of Tipper/Tippee Liability Under the Securities Exchange Act of 1934 (October 12, 2016) Nicholas J Shaw ~ Simpson Thacher & Bartlett LLP
Chapter 97: SEC Issues Guidance on Non-GAAP Financial Measures (May 23, 2016) Nicholas J Shaw ~ Simpson Thacher & Bartlett LLP
Chapter 98: IOSCO Issues Report on Non-GAAP Financial Measures (August 18, 2016) Nicholas J Shaw ~ Simpson Thacher & Bartlett LLP
Chapter 99: Brexit Essentials: The Legal and Business Implications of the UK Leaving the EU (March 2016) Nilufer von Bismarck ~ Slaughter and May
Chapter 100: “Brexit”—Vote by the UK to Leave the EU (June 24, 2016) Richard A Pollack ~ Sullivan & Cromwell LLP
Chapter 101: Assessing the Impact of Brexit on UK and European M&A (PowerPoint slides) Scott V Simpson ~ Skadden, Arps, Slate, Meagher & Flom LLP and Affiliates
Chapter 102: Brexit: High Court Rules that the UK Government Cannot Notify the UK’s Withdrawal From the EU Without the Prior Approval of Parliament Scott V Simpson ~ Skadden, Arps, Slate, Meagher & Flom LLP and Affiliates
Richard A Pollack ~ Sullivan & Cromwell LLP
Chapter 103: German Lawyers’ Professional Regulations (October 21, 2016) Hans-Michael Giesen ~ Giesen Heidbrink
Chapter 104: Recent U.S. Developments: Rule 8.4 Robert H Mundheim ~ University of Arizona James E Rogers College of Law
Chapter 105: Hypothetical I—Secondments Robert H Mundheim ~ University of Arizona James E Rogers College of Law
Chapter 106: Supporting Materials for Hypothetical I—Secondments Robert H Mundheim ~ University of Arizona James E Rogers College of Law
Chapter 107: Hypothetical II—Up the Ladder Reporting Robert H Mundheim ~ University of Arizona James E Rogers College of Law
Chapter 108: Supporting Materials for Hypothetical II—Up the Ladder Reporting Robert H Mundheim ~ University of Arizona James E Rogers College of Law
Chapter 109: Hypothetical III—Underwriting Syndicate Counsel Robert H Mundheim ~ University of Arizona James E Rogers College of Law
Chapter 110: Supporting Materials for Hypothetical III—Underwriting Syndicate Counsel Robert H Mundheim ~ University of Arizona James E Rogers College of Law
Index

This Course Handbook was compiled for the program, Sixteenth 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
Nilufer von Bismarck, Slaughter and May
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