"#148957"--Spine. "Prepared for distribution at the Financial Services Industry Regulatory Compliance & Ethics Forum 2016, November 14, 2016"--Page 5. Includes bibliographical references and index.
Contents:
Laying the Foundation: The Regulatory Landscape / Savaria B Harris Senior Counsel, Regulatory Law, Johnson & Johnson U.S. Securities and Exchange Commission Speech: Securities Enforcement Forum West 2016 Keynote Address: Private Equity Enforcement by Andrew Ceresney, Director, Division of Enforcement at the Securities Enforcement Forum West, San Francisco, California (May 12, 2016) / Clifford E Kirsch Sutherland Asbill & Brennan LLP -- Corporate Compliance Programs, Chapter 11 from Corporate Legal Departments, a PLI Treatise / Carole L Basri President, Corporate Lawyering Group LLC, Adjunct Professor, Fordham Law School, Corporate Lawyering Group LLC Irving Kagan Kagan Consultants -- Practising Law Institute, Corporate Law and Practice, Course Handbook Series, Ethics in Context: July 2016, Ethics and In House Counsel (July 2016) / Carole L Basri President, Corporate Lawyering Group LLC, Adjunct Professor, Fordham Law School, Corporate Lawyering Group LLC -- International Attorney Client Privilege, Chapter 2 from International Corporate Practice, a PLI Treatise / Carole L Basri President, Corporate Lawyering Group LLC, Adjunct Professor, Fordham Law School, Corporate Lawyering Group LLC Isabel C Franco KLA Koury Lopes Advogados -- Beginning with the End in Mind: Planning for a Purpose Built, Cost Effective Risk Assessment, Chapter 35 from Corporate Law and Practice, a PLI Treatise / Clifford E Kirsch Sutherland Asbill & Brennan LLP Scott Killingsworth Bryan Cave LLP -- Compliance Challenges: Regulation SCI, Fintech, Information Technology and Cybersecurity (September 14, 2016) / James R Burns Willkie Farr & Gallagher LLP Peter D Santori Chicago Stock Exchange -- With Great Power, Comes Great Responsibility and (Possibly) Liability (September 2016) / Brian L Rubin Sutherland Asbill & Brennan LLP Rebekah R Runyon Sutherland Asbill & Brennan LLP -- RSCR: An Analysis of Current Laws and Regulations Affecting the Securities and Futures Industries: Swap Dealer Chief Compliance Officer Requirements Recent Developments; Vol. 49, No. 4 (February 24, 2016) / Gail C Bernstein WilmerHale Dan M Berkovitz WilmerHale LLP -- Dodd Frank Implementation Update: Key Differences Between the CFTC and SEC Final Business Conduct Standards and Related Cross Border Requirements (May 26, 2016) / Gail C Bernstein WilmerHale Dan M Berkovitz WilmerHale LLP Paul M Architzel WilmerHale LLP Seth Davis WilmerHale Ted Serafini WilmerHale -- DOL Fiduciary Rule: Designating a Conflicts Officer or Conflicts Committee / Maria Gattuso Principal, Deloitte Advisory, Deloitte & Touche LLP -- The Final Rule: DOL s Expanded Definition of Investment Advice Fiduciary Under ERISA and Revised Complex of Exemptions: Analysis and Critical Issues / Clifford E Kirsch Sutherland Asbill & Brennan LLP -- Laying the Foundation: The Regulatory Landscape / Savaria B Harris Senior Counsel, Regulatory Law, Johnson & Johnson
Series:
Corporate law and practice. Course handbook series ; Number B-2283
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