An Introduction to Futures and Derivatives: Practice and Regulation (Original Live Program Date: 5/18/07)
This program will provide an introduction to the regulation, trading and documentation of exchange-traded futures contracts and over-the-counter (OTC) financial derivatives. It will examine the key federal statutes affecting the futures and OTC derivatives industries, namely, the Commodity Exchange Act, the Securities Act of 1933 and the Securities Exchange Act of 1934, as well as certain important exemptions and exclusions from the federal statutory scheme. It will also examine recent documentation initiatives, litigation, regulatory developments and enforcement actions relevant to a wide range of market participants, including OTC derivatives dealers, futures commission merchants, financial institutions, hedge funds, pension funds, corporations and others.
Provides 4.5 credits in professional practice
Current Ethical Issues in the Practice of Securities Law (Original Live Program Date: 6/18/09)
This program will address ethical and legal issues that corporate and outside counsel face in advising corporations, directors and officers, handling shareholder and derivative suits, and responding to government investigations. The program will present a scenario involving the discovery of possible accounting irregularities at a public company in which panelists will role play various parts, including that of corporate counsel, outside counsel, auditor¿s counsel, and SEC counsel. Topics will include attorney-client privilege when representing a corporate entity, multiple representations, issues regarding internal investigations, responses to client misconduct, issues dealing with outside auditors, and the impact of the Sarbanes-Oxley legislation. This program’s updated content will entitle attendees to CLE credit if they attended the 2007 program.
This program provides 2.0 credits in ethics
Hedge Funds in the Current Environment (Original Live Program Date: 4/22/09)
It has been a time of unprecedented change for hedge funds. After explosive growth the hedge fund industry has contracted substantially due to the financial crisis. In addition, over the past year there have been fund liquidations, lawsuits by investors, SEC enforcement actions and investigations, fraud committed on hedge funds and speculation as to coming regulation. The industry is clearly in transition.
This course will provide an overview of the rules related to operating a hedge fund. Faculty will discuss how to avoid problems in the enforcement environment and provide best practices for protecting hedge fund advisers from liability. The registration process, requirements applicable to registered advisers and operating issues involving hedge funds will be examined. Finally, top practitioners and regulators will discuss their views on hedge fund issues.
Hedge Funds: Formation, Operation, & Compliance (Original Live Program Date: 9/7/07)
The hedge fund industry has grown exponentially over the past few years and particular hedge funds have been making headline news for both good and bad reasons. The industry has attracted the attention of investors and regulators more than ever.
This course will provide an overview of the rules related to operating a hedge fund. Faculty will discuss how to avoid problems in the enforcement environment and provide best practices for protecting hedge fund advisers from liability. The registration process, requirements applicable to a registered advisers and operating issues involving hedge funds will be examined. Finally, top practitioners and representatives of the SEC will discuss the SEC's views on hedge fund issues.
Although this program is intended for professionals in the hedge fund industry, as well as experienced lawyers who practice in hedge funds, lawyers who are interested in developing hedge fund expertise will also benefit.
Hot Topics in Bankruptcy Litigation (Original Live Program Date: 10/15/09)
Several recent decisions and cases will have a lasting impact on important issues affecting bankruptcy litigation. At this program, a panel of experts will provide an update of recent developments and trends in the field, including: the scope of the Section 546(e) avoidance safe harbor; the meaning of "payment" of a claim as to third parties; and the strength of the "center of main interest" presumption under Chapter 15 of the Bankruptcy Code.
Negotiating and Documenting Derivatives Transactions (Original Live Program Date: 10/16/08)
This program will provide an overview of legal aspects of the negotiation and documentation of derivatives transactions, beginning with the basics and continuing to more advanced negotiation points and current "hot issues."
Representing Clients Before State and City Agencies Tips and Techniques for Effective Criminal Advocacy (Original Live Program Date: 11/19/08)
From the investigation of the State Executive Branch to the scrutiny of contractors involved in projects located within New York City, recent current events have demonstrated the importance of advocacy skills before State and City Agencies such as the State Inspector General's Office, the City Department of Investigation, the City Department of Buildings and the City Conflicts of Interest Board. Focusing on the investigative and/or regulatory authority granted to these and other State and City agencies, and examining the due process employed by those agencies, this program will provide practitioners with an understanding of the rules and manner under which these agencies operate, the ramifications for clients who are the subject of an agency inquiry and insights on how best to practice before these agencies.
Significant Ethical Issues Facing Inside Counsel (Original Live Program Date: 3/4/09)
This program will explore ethics issues of significance to inside counsel and outside counsel working with inside counsel.