With write-downs in the first half of the year and a major recovery in the second half, John Dodd reviews the trust’s performance and its positioning for 2014.Read more >
John Dodd and Richard Hulf discuss the coming energy revolution that shale oil and gas is predicted to herald.Read more >
We′ve all been in that situation where we′re asked a tough question by the boss, interviewer or client – and end up saying something really stupid, wrong or self–defeating. When caught in these challenging situations, how do you work out what to say and how best to say it?
This webinar wills show you how. Rod Sloane questions international journalist and speaker, Michael Dodd
Richard Hulf & John Dodd discuss the Artemis Global Energy Fund
UK Local Call: 08444933800
Standard International Dial In: +44 (0) 1452 555566
Conference ID: 47189044
The word is out—the SEC has made good on its promise to pay millions of dollars in awards to those who come forward with evidence of securities law violations and employees are taking notice. For the fourth consecutive year, 2015 saw the number of tips flowing into the SEC Office of the Whistleblower reach a record high, including a new high for complaints of FCPA violations. Indeed, SEC FCPA Unit Chief Kara Brockmeyer recently described Dodd-Frank’s whistleblower incentive provisions as a “game-changer” for FCPA enforcement. Meanwhile, the SEC’s Division of Enforcement brought an unprecedented enforcement action to discourage what it views as overly restrictive employee confidentiality agreements. And federal courts across the nation continue to reach disparate conclusions concerning the scope of Dodd-Frank’s whistleblower retaliation provisions. These trends, coupled with dynamic developments in FCPA enforcement, provide the perfect storm for keeping in-house counsel and compliance professionals up at night.
Featuring an experienced panel of plaintiff- and defense-side whistleblower and anti-corruption practitioners, including counsel to the whistleblower who received the largest award in Dodd-Frank’s history, this webcast will detail Dodd-Frank’s statutory and regulatory framework, discuss its early and recent interpretations by the SEC Office of the Whistleblower and federal courts, analyze the statute’s intersection with the FCPA, and provide the participant with practical tips for navigating the minefield of whistleblower complaints.
At Dodd-Frank’s second anniversary milestone and four years after the onset of the financial crisis, recovery is far from complete.
In this complimentary webinar, Protiviti’s Managing Director Carol Beaumier and Morrison & Foerster’s partner Charles Horn will discuss the rule making progress and provide a view into key upcoming decisions that will further impact financial services organizations.
We are in a brave new world of whistleblower regulation and litigation. Now four years after the passage of Dodd-Frank, the SEC Office of the Whistleblower is making an increasing number of bounty awards – including a recent record-breaking $30 million award – and federal courts across the country are defining and redefining the statute’s complex contours. Companies, meanwhile, continue to field the flood of hotline complaints in an effort to sift the chaff from tomorrow morning’s front-page expose. These trends, coupled with the continuing robust pace of FCPA enforcement, provide the perfect storm for keeping in-house counsel and compliance professionals up at night.
Featuring an experienced panel of plaintiff- and defense-side whistleblower and anti-corruption practitioners, including counsel to the whistleblower who received the largest award in Dodd-Frank’s history, this webcast will detail Dodd-Frank’s statutory and regulatory framework, discuss its early interpretations by the SEC Office of the Whistleblower and federal courts, and provide the participant with practical tips for navigating the minefield of whistleblower complaints.
Over four years have passed since enactment of the Dodd-Frank Act in the US. Most of the significant regulations required to implement the mandate of the Act have been finalized. But the devil is in the details….
Implementation of many of the final rules is only just beginning. During this webcast, the speakers will review the principal actions taken by the banking agencies and other US regulators during 2014, with a special focus on those measures having greatest impact on non-US banks doing business in the country.
We also will focus on the thorniest implementation questions and highlight the regulations that must still be finalized. The speakers will address:
•The Volcker Rule and related implementation questions,
•Treatment of covered funds under the Volcker Rule,
•The final capital rules for US banks and the intermediate holding company framework for foreign banks,
•The cross-border derivatives rules,
•The regulation of mortgage loan origination and securitisation, and
Oliver Ireland, Morrison & Foerster
Kenneth Kohler, Morrison & Foerster
James Schwartz, Morrison & Foerster
Gary E Kalbaugh, ING Financial Holdings
Tom Young, IFLR
Three-and-a-half years have passed since the enactment of the Dodd-Frank Act. Join us as we examine the most significant developments from 2013 including finalisation of the US regulatory capital rules, the regulatory framework for the mortgage market, and the Title VII framework for the regulation of derivatives.
We will also discuss the key rules expected to be finalised in 2014, including:
• the liquidity coverage ratio requirement, a long-term debt requirement, and measures to address reliance on short-term wholesale funding;
• enhanced prudential standards;
• risk retention requirements;
• the Volcker Rule, derivatives push-out and the remaining pieces of the derivatives regulatory regime under Title VII; and
• other significant Dodd-Frank milestones.
• Anna Pinedo, Morrison & Foerster
• James Schwartz, Morrison & Foerster
• Kenneth Kohler, Morrison & Foerster
• Robert Dilworth, Bank of America Merrill Lynch
• Danielle Myles, IFLR (moderator)
New York and California CLE credit will be offered for this webinar
We are in a brave new world of whistleblower regulation and litigation. Now three years after the passage of Dodd-Frank, the SEC Office of the Whistleblower is making an increasing number of bounty awards – including a recent record-breaking $14 million award – and federal courts across the country are defining and redefining the statute’s complex contours. Companies, meanwhile, continue to field the flood of hotline complaints in an effort to sift the chaff from tomorrow morning’s front-page expose. These trends, coupled with the continuing robust pace of FCPA enforcement, provide the perfect storm for keeping in-house counsel and compliance professionals up at night.
Featuring an experienced panel of anti-corruption and compliance practitioners, this webcast will detail Dodd-Frank’s statutory and regulatory framework, discuss its early interpretations by the SEC Office of the Whistleblower and federal courts, and provide the participant with practical tips for navigating the minefield of whistleblower complaints.
Please join F. Joseph Warin, partner, Gibson, Dunn & Crutcher; John Chesley, associate, Gibson, Dunn & Crutcher; and Jay Perlman, Director, Navigant as they address these issues and your questions in a free, one-hour webcast.
It’s tough these days to make the Board excited about IT. Providing a real time editorial that strongly illustrates how IT is impacting the situation was difficult until now. Join us to learn how Kaiser Permanente is now exploring ways to do this with the all new HP Business Value Dashboard. Discover what this tool is and how it stitches IT, business and virtually any information together so that you miss nothing. Learn from Kaiser Permanente why it can be such a strategic way to align business and IT.Read more >
The European Market Infrastructure Regulation (EMIR) and Title VII of the USA’s Dodd Frank Act both aim to tighten up the regulation and oversight of over-the-counter (OTC) derivatives transactions. Although their requirements have much in common, there are some important differences.
Henry Raschen, Head of Regulatory & Industry Affairs, Europe, HSBC Securities Services, will host a webinar on this topic on Thursday 5th September. He will summarise the common features of the rules on OTC derivatives contracts in both regulations, explain where the two differ, and outline what preparation is required.
As we near the third anniversary of the passage of the Dodd-Frank Act, many of the principle elements of the regulatory framework for OTC derivatives in the US have been finalised. That being said, given the need for many interpretative releases and no-action or exemptive relief, and various implementation delays, market participants are still grappling with new requirements. This webinar will review the status of:
Swap Dealer and MSP registration;
Swap data recordkeeping;
Swap data reporting; and,
Panelists will discuss the major unfinished rulemaking areas. These include:
OTC margin requirements;
Swap execution facilities;
Additional mandatory clearing designations;
SEC Title VII implementation;
Related areas such as the Volcker Rule, Lincoln Amendment; and,
Proposed legislation/future prospects.
The Federal Reserve recently issued proposed rules under §§ 165 and 166 of the Dodd- Frank Act that would establish enhanced prudential standards for certain foreign banking organization’s branches in the United States. The proposed rules will likely require fundamental changes in the way that many foreign banks do business in the U.S., including new requirements that many foreign banks structure their U.S. operations through U.S. intermediate holding companies and meet enhanced capital and liquidity standards, detailed corporate governance, risk management mandates, and single counterparty credit limits.
Please join Alma Angotti, Jay Perlman, and Jim Vint of Navigant and Jeremy Newell of law firm WilmerHale as they address these issues and your questions in a free, one-hour webcast.
There is a brave new world of whistleblower regulation with the advent of Dodd-Frank. The SEC Office of the Whistleblower is up, running, and making bounty awards; U.S. district courts across the country are making new law interpreting the statute; and companies around the world are dealing with an influx of internal hotline complaints, sifting the chaff from tomorrow morning's front-page expose. Coupled with the continuing surge of FCPA enforcement, we have the perfect storm for keeping general counsel up at night.
Featuring an experienced panel of anti-corruption and compliance practitioners, this webcast will detail Dodd-Frank's statutory and regulatory framework, discuss the early records of the SEC Office of the Whistleblower and federal district courts, and provide counsel with practical tips for responding to whistleblower complaints.
Join us for a status update at the second anniversary milestone on Dodd-Frank rule making progress.
Our panellists will focus on concerns for foreign banks, funds and advisers.
We will address each of the major areas, including:
•Development affecting funds and their advisers;
•Orderly Liquidation Authority and resolution planning;
•Ratings and securitisation; and,
The role of the Audit Committee has gained substantial influence and importance in light of the global financial crisis with greater scrutiny and demands for accountability and transparency of US institutions. With the passage of the Sarbanes-Oxley Act of 2002, the Dodd–Frank Wall Street Reform and Consumer Protection Act of 2010, and increased regulation and enforcement by the Securities and Exchange Commission (SEC), the challenge of the Audit Committee to recognize and balance the mounting internal and external pressures for effective financial governance of institutions has never been greater.
Please join us on Tuesday, October 2nd at 1:00 p.m. for a webinar presentation on this topic with Michael G. Oxley, Of Counsel, Baker & Hostetler LLP and former Congressman and Chairman of the House Financial Services Committee, and co-author of the landmark Sarbanes-Oxley Act of 2002; John J. Carney, Partner, Baker & Hostetler LLP; John M. Gherlein, Partner, Baker & Hostetler LLP; and Matthew Greenblatt, Senior Managing Director of FTI Consulting.
In this complimentary webinar, leaders from Protiviti’s Financial Services and Risk and Compliance practices will provide a brief overview of how the Dodd-Frank Act tries to address risk management. This session will delve into the ways leading financial services organizations are looking beyond Dodd-Frank to implement robust risk management programs which ultimately may be the best protection the industry has in preventing another crisis.Read more >
The recently released Dodd-Frank rules on whistleblowers will impact how allegations of federal securities law violations are reported, reviewed, and investigated and require corporations to consider compliance program changes to meet the challenges created by the new incentives and protections.Read more >
Artemis Global Energy FundRead more >