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    • Preparing Issuers for equity-based Crowdfunding
      Preparing Issuers for equity-based Crowdfunding Dara Albright; Liz Kulik; Mary Juetten; Ruth Hedges Recorded: Apr 25 2013 5:00 pm UTC 64 mins
    • The “Preparing Issuers for equity-based Crowdfunding” webinar is ideal for any company seeking to raise capital via the imminent crowdfund exemption as well as any professional guiding new crowdfund issuers such as investment bankers, investor-relations professionals, brokers, emerging portals, CPAs and attorneys.

      Format will be as follows:
      •Introduction – Dara Albright, Founder of NowStreet (5 minutes)
      •Liz Kulik, CEO and co-founder of donation- and equity-based crowdfunding incubator ProHatch, will provide:
      o Key differences between equity and other forms of crowdfunding,
      oAn overview of the latest developments in equity crowdfunding,
      oTips for ways issuers can begin preparing for their crowdfunding campaigns,
      oConcrete steps to ensure issuers are ready to hit the ground running once equity crowdfunding goes live (15 min)
      •Mary Juetten, Founder of Traklight will discuss protecting the issuers IP when Crowdfunding (15 min)
      •Ruth Hedges, Founder of FundingRoadap will discuss becoming compliant for equity crowdfunding (15 min)
      •Q & A (10 min)

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    • Preparing for the Crowdfunding Revolution
      Preparing for the Crowdfunding Revolution Dara Albright; Richard J. Salute, CPA; Douglas S. Ellenoff; Ruth Hedges Recorded: Mar 27 2013 5:00 pm UTC 58 mins
    • A wave of financial innovation and regulatory reform is revolutionizing Wall Street and popularizing new asset classes aimed at democratizing the flow of capital and giving smaller investors and businesses greater opportunities to prosper. As a result, the financial services industry is undergoing a dramatic transformation that is rapidly rendering traditional banking and brokerage revenue models obsolete, conventional capital raising strategies unfeasible and typical asset class returns negligible.

      NowStreet’s new webinar series, “Capitalizing on Financial Innovation” is designed to help broker-dealers, investment bankers, financial advisors, issuers and investors capitalize on this surge of industry disruption. Part I of this timely webinar series will focus on crowdfunding and is aimed at properly preparing investors, asset allocators and issuers for the forthcoming Crowdfunding Revolution. Webinar participants will be armed with the latest financial and legal knowledge from renowned crowdfund industry experts. They will also learn how to employ the social tools needed to succeed in this emerging industry.

      * Dara Albright, Founder, NowStreet

      * Richard J. Salute, CPA, Consultant with extensive expertise in capital markets and securities regulations
      * Douglas S. Ellenoff, Partner at Ellenoff, Grossman & Schole
      * Ruth Hedges, CEO of Funding Roadmap

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    • Existing and Proposed Legislation and Regulation of Hedge Funds
      Existing and Proposed Legislation and Regulation of Hedge Funds Ezra Zask, Affiliate, Analysis Group, Inc., Adjuct Professor in Finance Recorded: Jun 25 2009 8:00 pm UTC 45 mins
    • Despite common wisdom, hedge funds are currently regulated under various statutes and have been the subject of lawsuits for alleged failure to conform to these regulations. However, there is little doubt that a series of regulatory and legislative initiatives will result in further restrictions both in the U.S. and abroad. These initatives will deal with effect a broad range of issues including registration, transparancy, risk management, investor relations, derivatives, due diligence, and capital requirement.

      This presentation will cover existing regulations and legislation that influence hedge funds, as well as provide a review of the resulting litigation. We will also explore the likely future regulatory and legislative initiatives that will most likely change the manner in which hedge funds conduct business and the litigation issues that will dominate the industry in the future, with special emphasis on the likely changes in hedge fund regulation that will result from the Obama administration's financial reform initatives.

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    • Navigating the Seismic Shift in Buy Side Compliance
      Navigating the Seismic Shift in Buy Side Compliance Jodie Paula Cohen, Event Creation Network Recorded: Mar 15 2017 2:00 pm UTC 64 mins
    • ECN is pleased to be hosting a webinar with experts from PWC, Aite and NICE Actimize on March, 15.

      Join us to hear how buy side firms are addressing the challenges of the expanding global regulations, and how your own evolving business model could be a significant compliance issue.

      During this webinar participants will discuss:

      • What is behind the shift in compliance regulations, and what to expect in the future
      • How hedge funds and asset managers are reacting
      • How are hedge funds and asset managers, like you, reacting
      • Why you should embrace the change
      • Lessons learned from peers
      • Choosing the right technology

      Stephen Anikewich, Head of Compliance, NICE Actimize
      Danielle Tierney, Senior Analyst, Aite
      Harshad Pitkar, Partner, Financial Services – Risk and Compliance, PWC
      Jodie Paula Cohen, Event Creation Network

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    • Hedge Funds and Current Securities Litigation
      Hedge Funds and Current Securities Litigation Laura Stamm, Managing Principal; Gaurav Jetley, Vice President, Analysis Group Recorded: Jul 9 2009 2:00 pm UTC 47 mins
    • This presentation, “Hedge Funds and Current Securities Litigation,” will focus on key issues and potential analyses in various types of litigation involving hedge funds. We will begin by providing an informational overview of hedge funds, including a review of defining features and challenges unique to these investment vehicles, as well as the different classifications of hedge funds. We will then provide a brief context on the dramatic growth in both the number of these funds and in their assets under management over the past decade. We will also discuss some of the trends affecting the evolution of the hedge funds industry and setting the stage for new potential developments in regulation, pricing, reporting, and management.
      We will then examine some of the major concerns that have arisen relative to hedge funds, such as their performance relative to other investments and to their fees, and to the difficulty of measuring performance over time, and will refer to several well-known studies on the controversial topic of “hedge fund alpha.” We will conclude this first part of the presentation by examining the current regulatory environment for hedge funds.

      Next, we will turn to issues in hedge fund litigation, beginning with a discussion of the complex relationships among key parties – the prime brokers, investors, auditors, and hedge funds, and we “follow the money” through a set of hypothetical trades. The rest of the presentation will take us through a detailed examination of specific kinds of hedge funds cases, including investor-focused litigation (Madoff-related matters), trading and market manipulation, including insider trading, late trading/market timing, conflict of interest cases, and cases involving prime brokers. For each of these examples, we will present potential analytical approaches to assessing issues related to liability and damages.

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    • Demystifying Client Segregation Models in European OTC Derivatives Clearing
      Demystifying Client Segregation Models in European OTC Derivatives Clearing Brendan Maton Recorded: Jul 2 2013 1:00 pm UTC 59 mins
    • In response to the growing focus and interest in client asset protection and segregation models from the buy side, CDSClear is pleased to host a webinar to walk you through the basics and origin of various segregation options.

      Key Topics:
      • EMIR update and European asset segregation regulatory framework
      • Risks client assets might face and the cost of protecting against them
      • CCP account structures and asset segregation models inside out: ISA, OSA, Full Physical Segregation
      • "Asset Tagging" benefits

      Useful For:
      • Decision makers, legal advisors, collateral managers and operations managers, in asset management, pension funds, hedge funds, and fund administrators
      • Impacted by EMIR OTC clearing mandate

      Presentation by:

      Charlie Longden
      CEO, CDSClear, LCH.Clearnet

      Malavika Solanki
      Head of Business Development, Sales and Marketing, CDSClear, LCH.Clearnet

      Tom Badman
      Head of Product Management, CDSClear, LCH.Clearnet

      Rory Cunningham
      Director, Public Affairs at LCH.Clearnet

      Interviewer: Brendan Maton

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    • Backup is for Recovery, Archiving is for Discovery: Legal and IT
      Backup is for Recovery, Archiving is for Discovery: Legal and IT David K. Isom, Judge Ronald J. Hedges, Sean Regan and Annie Goranson Recorded: Dec 10 2009 8:00 pm UTC 59 mins
    • Presenters:
      David K. Isom, Shareholder, GreenbergTraurig
      Judge Ronald J. Hedges, Former US Magistrate Judge
      Annie Goranson: Discovery Counsel, Symantec
      Sean Regan, Product Marketing Manager, Symantec
      Join the world leader in backup and archiving along with distinguished legal experts to discuss the changing role of backup technology in the enterprise.

      * Are you having trouble navigating to the Safe Harbor?
      * How do you know when you are there?
      * Do your current policies prevent you from ever getting there?

      No amendment to the 2006 FRCP has generated as much discussion as Rule 37(e), the so called Safe Harbor. IT and legal organizations continue to struggle defining the role of backup while courts continue to debate whether the inaccessible argument stands. In these rough waters one of the most important things in-house counsel and IT can do is to work together to define and understand the new role of backup.

      Symantec welcomes IT and legal professionals to attend as our panel of experts discuss four key elements of backup and archiving:

      Backup is for Recovery, Archiving is for Discovery: Sean Regan will review how the legal process changed the way we use and view backup technology in the enterprise.

      Accessible or Inaccessible: Hear from Judge Ron Hedges about the current state of the accessibility argument and how courts evaluate a safe harbor claim.

      Backup and Archive Retention Policies: David Isom, the founder and co-chair of Greenberg Traurig's national eDiscovery & eRetention Practice Group will review the Phillip Adams case and the role retention and information management policies play.

      Archiving and Backup: Annie Goranson, Symantec’s Discovery Attorney will discuss where corporate counsel needs to insert itself in the backup and archiving discussion.

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    • Operationalizing a Practical Insider Threat Program
      Operationalizing a Practical Insider Threat Program Brandon Swafford Recorded: Jul 14 2017 8:40 pm UTC 30 mins
    • When the phrase “insider threat” comes to mind, most automatically think of fraud, sabotage and theft; it’s natural to do so, as malicious insider threats make regular headlines.

      The truth is that 68% of all insider threats are attributed to accidental users, who unintentionally put their organizations at risk because of a user error or lack of training. Insiders are really anyone that works with sensitive data inside the network.

      In Operationalizing a Practical Insider Threat Program, we’ll review:

      -Requirements for building an insider threat program
      -An overview of the stakeholders and investigative best practices
      -Real world examples of an insider threat program in action


      Brandon Swafford, CTO of Data & Insider Threat Security, Forcepoint

      Brandon Swafford has more than 12 years of experience in legal investigations and security, including hedge funds where he built security technology and the U.S. Intelligence Community as a Cyber Counterintelligence consultant and analyst. Within the intelligence community, Brandon covered several classified agencies and worked closely with the National Insider Threat Task Force and National Counterintelligence Executive. In addition, Brandon provided insider threat analysis and investigation consulting to the International Monetary Fund in Washington, D.C.

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