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05189aam a2200397Ii 4500 001 78D19612F1E611E78A18091E97128E48 003 SILO 005 20180105010221 008 161123t20162016nyuac b 001 0 eng 020 $a 1402427875 020 $a 9781402427879 035 $a (OCoLC)964067513 040 $a PQD $b eng $e rda $c PQD $d SLA $d IaU-L $d UtOrBLW $d SILO 043 $a n-us--- $0 http://id.loc.gov/vocabulary/geographicAreas/n-us 050 4 $a KF1070.Z9 $b F56 2016 $0 http://id.loc.gov/authorities/classification/K 245 00 $a Financial services industry regulatory compliance & ethics forum, 2016 / $c chair, Clifford E. Kirsch. 264 1 $a New York, New York : $b Practising Law Institute, $c [2016] 300 $a 379 pages : $b illustrations, portraits ; $c 23 cm. 490 1 $a Corporate law and practice. Course handbook series ; $v Number B-2283 500 $a "#148957"--Spine. 500 $a "Prepared for distribution at the Financial Services Industry Regulatory Compliance & Ethics Forum 2016, November 14, 2016"--Page 5. 504 $a Includes bibliographical references and index. 505 20 $t Laying the Foundation: The Regulatory Landscape / $r Savaria B Harris Senior Counsel, Regulatory Law, Johnson & Johnson $t 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) / $r Clifford E Kirsch Sutherland Asbill & Brennan LLP -- $t Corporate Compliance Programs, Chapter 11 from Corporate Legal Departments, a PLI Treatise / $r Carole L Basri President, Corporate Lawyering Group LLC, Adjunct Professor, Fordham Law School, Corporate Lawyering Group LLC Irving Kagan Kagan Consultants -- $t Practising Law Institute, Corporate Law and Practice, Course Handbook Series, Ethics in Context: July 2016, Ethics and In House Counsel (July 2016) / $r Carole L Basri President, Corporate Lawyering Group LLC, Adjunct Professor, Fordham Law School, Corporate Lawyering Group LLC -- $t International Attorney Client Privilege, Chapter 2 from International Corporate Practice, a PLI Treatise / $r Carole L Basri President, Corporate Lawyering Group LLC, Adjunct Professor, Fordham Law School, Corporate Lawyering Group LLC Isabel C Franco KLA Koury Lopes Advogados -- $t 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 / $r Clifford E Kirsch Sutherland Asbill & Brennan LLP Scott Killingsworth Bryan Cave LLP -- $t Compliance Challenges: Regulation SCI, Fintech, Information Technology and Cybersecurity (September 14, 2016) / $r James R Burns Willkie Farr & Gallagher LLP Peter D Santori Chicago Stock Exchange -- $t With Great Power, Comes Great Responsibility and (Possibly) Liability (September 2016) / $r Brian L Rubin Sutherland Asbill & Brennan LLP Rebekah R Runyon Sutherland Asbill & Brennan LLP -- $t 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) / $r Gail C Bernstein WilmerHale Dan M Berkovitz WilmerHale LLP -- $t Dodd Frank Implementation Update: Key Differences Between the CFTC and SEC Final Business Conduct Standards and Related Cross Border Requirements (May 26, 2016) / $r Gail C Bernstein WilmerHale Dan M Berkovitz WilmerHale LLP Paul M Architzel WilmerHale LLP Seth Davis WilmerHale Ted Serafini WilmerHale -- $t DOL Fiduciary Rule: Designating a Conflicts Officer or Conflicts Committee / $r Maria Gattuso Principal, Deloitte Advisory, Deloitte & Touche LLP -- $t The Final Rule: DOL s Expanded Definition of Investment Advice Fiduciary Under ERISA and Revised Complex of Exemptions: Analysis and Critical Issues / $r Clifford E Kirsch Sutherland Asbill & Brennan LLP -- $t Laying the Foundation: The Regulatory Landscape / $r Savaria B Harris Senior Counsel, Regulatory Law, Johnson & Johnson 650 0 $a Financial services industry $x Law and legislation $z United States. $0 http://id.loc.gov/authorities/subjects/sh2008103618 650 0 $a Financial services industry $x Government policy $z United States. 650 0 $a Stockbrokers $x Legal status, laws, etc. $z United States. $0 http://id.loc.gov/authorities/subjects/sh2008111446 650 0 $a Brokers $x Legal status, laws, etc. $z United States. 610 10 $a United States. $b Securities and Exchange Commission $x Rules and practice. 650 0 $a Conflict of interests $z United States. $0 http://id.loc.gov/authorities/subjects/sh2008101072 610 20 $a Financial Industry Regulatory Authority $x Rules and practice. 700 1 $a Kirsch, Clifford E., $e chair. $0 http://id.loc.gov/authorities/names/n96028333 710 2 $a Practising Law Institute, $e sponsoring body. $0 http://id.loc.gov/authorities/names/n78085422 830 0 $a Corporate law and practice course handbook series ; $v no. B-2283. $0 http://id.loc.gov/authorities/names/n42008339 941 $a 1 952 $l OVUX522 $d 20180105013319.0 956 $a http://locator.silo.lib.ia.us/search.cgi?index_0=id&term_0=78D19612F1E611E78A18091E97128E48Initiate Another SILO Locator Search