PLI: Publications and Enforcement

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50th Annual Institute on Securities Regulation

Course Handbook

Course Handbook from the program 50th Annual Institute on Securities Regulation, held November 2018.

51st Annual Institute on Securities Regulation

Course Handbook

Advanced Swaps & Other Derivatives 2018

Course Handbook

Course Handbook from the program Advanced Swaps & Other Derivatives 2018, held October 2018.

Advanced Swaps & Other Derivatives 2019

Course Handbook

Annual Disclosure Documents 2017: Current Developments and Best Practices

Course Handbook

Course Handbook from the program Annual Disclosure Documents 2017: Current Developments and Best Practices, held December, 2017.

Annual Disclosure Documents 2018: Current Developments and Best Practices

Course Handbook

Course Handbook from the program Annual Disclosure Documents 2018: Current Developments and Best Practices, held December 2018.

Anti-Money Laundering 2018: Risks, Due Diligence and Compliance in an Evolving Legal and Technological World

Course Handbook

Course Handbook from the program Anti-Money Laundering 2018: Risks, Due Diligence and Compliance in an Evolving Legal and Technological World, held June 2018.

Anti-Money Laundering 2019: Risks, Due Diligence and Compliance in an Evolving Legal and Technological World

Course Handbook

Anti-Money Laundering Deskbook: A Practical Guide to Law and Compliance (2018) (Hardbound)

Treatise

Published: June 2018

Money laundering by drug cartels, terrorists, and other criminal groups is a fast-growing problem. Technologies including online payment systems, virtual currency, and stored value cards have joined well-established methods of laundering the proceeds of criminal activity. Laundered proceeds provide economic fuel for terrorist activities and violent conflicts across the globe, and fund other criminal activity. Moreover, it ...

Basics of Mutual Funds and Other Registered Investment Companies 2018

Course Handbook

Course Handbook from the program Basics of Mutual Funds and Other Registered Investment Companies 2018, held May 2018.

Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants

Course Handbook

Course Handbook from the program Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, held February 2018.

Broker/Dealer Regulation and Enforcement 2018

Course Handbook

Course Handbook from the program Broker/Dealer Regulation and Enforcement 2018, held October 2018.

Broker/Dealer Regulation and Enforcement 2019

Course Handbook

Coping with U.S. Export Controls and Sanctions 2018

Course Handbook

Course Handbook from the program Coping with U.S. Export Controls and Sanctions 2018, held December 2018.

Coping with U.S. Export Controls and Sanctions 2019

Course Handbook

Corporate Governance - A Master Class 2018

Course Handbook

Course Handbook from the program Corporate Governance - A Master Class 2018, held March 2018.

Corporate Governance - A Master Class 2019

Course Handbook

Corporate Political Activities 2019: Complying with Campaign Finance, Lobbying and Ethics Laws

Course Handbook

Dually Registered Broker-Dealers and Advisers—Regulatory, Compliance and Enforcement 2019

Course Handbook

Eighteenth Annual Institute on Securities Regulation in Europe: Practical Implications of U.S. Law on EU Practice

Course Handbook

Enforcement 2018: Perspectives from Government Agencies

Course Handbook

Course Handbook from the program Enforcement 2018: Perspectives from Government Agencies, held May 2018.

Enforcement 2019: Perspectives from Government Agencies

Course Handbook

FDA Deskbook: A Compliance and Enforcement Guide

Treatise

Published: May 2016
Last Updated: November 2018

FDA Deskbook: A Compliance and Enforcement Guide provides a comprehensive description of the complexities of compliance under The Federal Food, Drug, and Cosmetic Act (FDC Act) and practical suggestions on how FDA-regulated entities can avoid being the subject of an enforcement action by the federal government. It explains the legal framework created by the FDC Act and subsequent statutes, regulations, guidance and policies governing the food and ...

Fiduciary Investment Advice 2018

Course Handbook

Course Handbook from the program Fiduciary Investment Advice 2018, held May 2018.

Financial Services RegTech and Regulatory Compliance Forum 2018

Course Handbook

Course Handbook from the program Financial Services RegTech and Regulatory Compliance Forum 2018, held November 2018.

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Showing 1 - 25 of 60 Results

50th Annual Institute on Securities Regulation

51st Annual Institute on Securities Regulation

Advanced Swaps & Other Derivatives 2018

Advanced Swaps & Other Derivatives 2019

Annual Disclosure Documents 2017: Current Developments and Best Practices

Annual Disclosure Documents 2018: Current Developments and Best Practices

Anti-Money Laundering 2018: Risks, Due Diligence and Compliance in an Evolving Legal and Technological World

Anti-Money Laundering 2019: Risks, Due Diligence and Compliance in an Evolving Legal and Technological World

Anti-Money Laundering Deskbook: A Practical Guide to Law and Compliance (2018) (Hardbound)

Basics of Mutual Funds and Other Registered Investment Companies 2018

Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants

Broker/Dealer Regulation and Enforcement 2018

Broker/Dealer Regulation and Enforcement 2019

Coping with U.S. Export Controls and Sanctions 2018

Coping with U.S. Export Controls and Sanctions 2019

Corporate Governance - A Master Class 2018

Corporate Governance - A Master Class 2019

Corporate Political Activities 2019: Complying with Campaign Finance, Lobbying and Ethics Laws

Dually Registered Broker-Dealers and Advisers—Regulatory, Compliance and Enforcement 2019

Eighteenth Annual Institute on Securities Regulation in Europe: Practical Implications of U.S. Law on EU Practice

Enforcement 2018: Perspectives from Government Agencies

Enforcement 2019: Perspectives from Government Agencies

FDA Deskbook: A Compliance and Enforcement Guide

Fiduciary Investment Advice 2018

Financial Services RegTech and Regulatory Compliance Forum 2018


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