This CLE course is designed to provide an overview of the regulatory regime applicable to private and foreign (i.e., non-registered) investment funds and the issues raised by the explosive rise of cryptocurrencies in the past several years. The co...

As Corporate Social Responsibility (“CSR”) continues to trend up, more and more companies are considering philanthropic initiatives. But there are many ways to give back, and each program comes with significant compliance challenges. How do you sele...

This CLE course provides an overview of the legal aspects of cross-border joint ventures (JVs). It covers the basic “nuts-and-bolts” of JVs, such as purpose, capital contributions, governance and management, veto rights and minority protections, pro...

Applying ethics rules during litigation is hard in normal times. Applying ethics rules in times of upheaval and downward pressure on fees is even harder. How has work-from-home increased compliance risk? How should we handle aggressive opposing coun...

This CLE program will help practitioners identify and implement various risk management tools that can help them avoid common ethical missteps and client complaints to the state bar. The presenters will discuss the types of conduct and practices th...

Many lawyers relocated during the pandemic, either to escape perceived risk or simply because they could due to remote working. This CLE program will assess the legal and ethical ramifications of relocation to states beyond where one is license...

This CLE program will drill down into the many documents that an attorney often needs to prepare or review in connection with the purchase or sale of an entire business or of an ownership interest in a business. This will include the main documents...

Attend this program to hear how to prepare for compliance with the consolidated audit trail. During this session, panelists discuss how to prepare for compliance with the consolidated audit trail (CAT), including, firm obligations, deadlines, and...

This session provides an overview of new developments and trends in Enforcement, including Enforcement priorities. Panelists discuss how a matter finds its way to Enforcement and what happens while in Enforcement. Panelists highlight noteworthy...

The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all staff to remote work environments and implement remote supervisory practices. Join FINRA st...

Attend this program to hear how to mitigate regulatory risk in addition to identifying opportunities to spend money wisely while fulfill their duties as officers of their firms. A strong compliance program does not have to be expensive to be ef...

Attend this session to hear about market regulation priorities, including current initiatives and rulemaking. This session provides updates on market regulation priorities, including current initiatives and rulemaking. FINRA panelists share thou...

Learn what tools are available to more effectively shield yourself from the effects of any lawsuit by protecting your personal wealth. The panel will discuss the following Topics: History of asset protection in the United States and abroad Und...

The availability of venture capital has given many young companies the financial and advisory support needed help them grow into major corporations, while sparing them from the scrutiny and disclosure requirements demanded in the public markets. Cou...