Author Archives: Library Relations

New Title! Climate Change, Sustainable Investments, and Social Governance: Law and Compliance

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PLI Press is proud to announce the publication of the new practice guide Climate Change, Sustainable Investments, and Social Governance: Law and Compliance.

This brand-new treatise comprehensively analyzes the regulatory landscape for financial products and institutions with ESG (Environmental, Social, and Governance) considerations. It covers ESG-themed financial products and investments, discussing their significance as market opportunities, institutional investor expectations, compliance requirements, risk management components, and elements of corporate values. The book is divided into sections that explores climate change risk and related issues for financial institutions, banks, and the insurance industry, ESG investing and financial products, ESG’s impact on shareholders and SEC enforcement, examinations, and the development of effective compliance programs for corporate issuers and advisers. The final section focuses on special topics, reviewing the legal landscape related to human rights in business and advising on proactive measures for businesses to comply with their duties and lead in responsible practices.

Notably, Climate Change, Sustainable Investments, and Social Governance: Law and Compliance covers the following important topics:

  • Climate Change Risks and Bank Regulation in the United States (See Chapter 3)
  • ESG Investing (See Chapter 10)
  • Sustainable Finance (See Chapter 12)
  • ESG and Shareholder Engagement (See Chapter 14)
  • ESG and SEC Enforcement and Exams (See Chapter 16)
  • Human Rights in the Business Legal Landscape (See Chapter 19)

We are excited to share this new title with you!

Order a print copy today.

PLI PLUS subscribers can access this title through their subscription.

What’s New in PLI PLUS

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We add content to PLI PLUS every month to ensure our subscribers have access to the most up-to-date and relevant secondary source legal documents. Renowned legal experts regularly update our acclaimed Treatises/Practice Guides, Course Handbooks, Answer Books, Transcripts, and Forms to reflect recent changes and developments in the law.

Click here to see what we added in January 2025!

Free Legal Form of the Month

PLI PLUS offers unlimited electronic access to more than 4,500 downloadable, searchable, and editable legal forms ready for use in your practice. In an effort to highlight this unique content type, we’ve selected one form per month and made it available for anyone to download for free – no subscription required.

January’s free form:

Officially Prescribed Forms Relating to Qualifying Domestic Trusts (QDOTS): Bond

More information about Legal Forms & Checklists:

  • Forms & Checklists Flyer – This flyer provides an overview of the forms & checklists on PLI PLUS and highlights a handful of popular examples.

Treatise Update: Broker-Dealer Regulation (Second Edition)

Broker-Dealer Regulation (Second Edition) covers the latest laws and regulations governing broker-dealers and provides a comprehensive and practical overview of the many requirements of this highly regulated area. This book instructs on how brokerage firms can satisfy SEC/SRO standards, with detailed coverage of registration reporting and record-keeping rules, suitability and best execution standards, ways of minimizing liability in the event of legal lapses, by documenting good-faith compliance efforts and the implementation of a tailor-made compliance program that can help detect and prevent illegal conduct within the firm. It’s filled with practical suggestions on how to best comply with requirements in such areas as electronic trading, safeguarding customer information, trading desk activities and business continuity planning.

The new release includes the following updates:

  • Chapter 5, Broker-Dealer and Associated Person Registration, covers FINRA’s Maintaining Qualifications Program.
  • Chapter 17, Research and Research Analysts, covers the EU Listing Act, which removes the market capitalization threshold and allows for the bundling of payments for research and execution services, if certain requirements are met.
  • Chapter 18, Electronic Trading, reviews the 2024 Amendments to Rule 605’s disclosure requirements.
  • Chapter 49, Investment Banking Compliance, reviews the SEC’s amendments, adopted on May 16, 2024, to Reg S-P; and the SEC’s proposed rules that would apply to the use of any “covered technology” by broker-dealers or investment advisers in “investor interactions,” and would require that such registrants establish policies and procedures to determine if the use of any such tool results in a conflict of interest that places the interests of the registrant ahead of the interests of investors, and to eliminate or neutralize that conflict.
  • Chapter 52, Private Banking and Wealth Management, discusses the May 2024 SEC and FinCEN Joint Notice of Proposed Rulemaking that will expand CIP obligations for SEC-Registered Investment Advisers and Exempt Reporting Advisers by requiring them to establish, document, and maintain written CIP procedures.
  • Chapter 53, Blockchain and Digital Assets, has been updated to cover regulatory developments involving digital securities and commodities.

The Table of Authorities and Index have also been updated.

Order a print copy today.

PLI PLUS subscribers can access this title through their subscription.

Treatise Update: Patent Law: A Practitioner’s Guide (Fourth Edition)

Patent Law: A Practitioner’s Guide (Fourth Edition)is a valuable guide for patent specialists and other intellectual property lawyers, corporate counsel and executives, inventors, and general practitioners representing inventors looking to gain knowledge of the legal framework governing patents. This includes developments under the America Invents Act, federal regulations and court decisions, the widely accepted four-step test used by the courts to determine an invention’s patentability, the various tests used to indicate direct infringement and other patent violations and drafting techniques used to prepare the full variety of documents, including specifications and claims.

The new release includes the following updates:

  • Section 1:7.1, Utility patent subject matter eligibility, discusses several Federal Circuit cases on section 101 eligibility including Weisner v. Google LLC, International Business Machines Corp. v. Zillow Group, Inc., and American Axle & Manufacturing v. Neapco Holdings.
  • Section 5:3.6, Statutory bars—disclosure, explores Mylan Pharmaceuticals Inc. v. Merck Sharp & Dohme Corp., in which the Federal Circuit considered whether prior disclosure of a genus of compounds and their pharmaceutically acceptable salts was sufficient to anticipate, under 35 U.S.C. §102, a claim directed to a species of a specific salt of a specific compound having a specific stoichiometric ratio.
  • Section 6:10.1, Unitary European patent, is a new section that reviews the unitary European patent and the now operative Unified Patent Court.
  • Section 24:6.1, Inter partes review, covers a Federal Circuit case considering whether applicant-admitted prior art could form the basis of invalidity in an IPR, and another case clarifying the scope of IPR estoppel under 35 U.S.C. § 315(e)(2).

The Tables of Authorities and Index have also been updated.

Order a print copy today.

PLI PLUS subscribers can access this title through their subscription

Treatise Update: Corporate Whistleblowing in the Sarbanes-Oxley/Dodd-Frank Era (Second Edition)

Corporate Whistleblowing in the Sarbanes-Oxley/Dodd-Frank Era (Second Edition)dives into the federal and state regulations and agency rules addressing whistleblowers and international investigations. It provides practical advice on minimizing the risk and damage of whistleblower complaints against employers and conducting effective internal investigations. Practitioners and business professionals dealing with SOX Act and Dodd-Frank whistleblower actions will find valuable insights into dynamic case law and evolving rules that shape the rights of whistleblowers and the responsibilities of their employers. Readers will gain thorough coverage of key topics, including the elements of a prima facie case, employer defenses, compliance and crisis communication strategies, whistleblower protections, bounty provisions, and more.

The new release includes the following updates:

  • Expanded section 2:1.3, Employees Outside of the United States, explores Daramola v. Oracle America, Inc., in which the Ninth Circuit held that in the case of a Canadian citizen working in Canada for the Canadian subsidiary of a publicly traded U.S. parent company, any domestic (that is, U.S.) duties the employee performed were incidental to his foreign employment and, therefore, the application of SOX under these circumstances would not be domestic in nature.
  • Revised section 5:5, Causation, explains Murray v. UBS Securities, LLC, in which the Supreme Court held, that while a whistleblower bringing a claim under SOX must prove that the protected activity was a contributing factor in the unfavorable personnel action, a whistleblower need not also prove that the employer acted with retaliatory intent.
  • New chapter 7, EU Whistleblower Protection Directive, examines the Whistleblower Protection Directive 2019/1937 adopted by the EU to enhance the enforcement of EU law and policies in specific areas by laying down common minimum standards providing for a high level of protection of persons reporting breaches of EU law.

Order a print copy today.

PLI PLUS subscribers can access this title through their subscription.

What’s New in PLI PLUS

Leave a reply

We add content to PLI PLUS every month to ensure our subscribers have access to the most up-to-date and relevant secondary source legal documents. Renowned legal experts regularly update our acclaimed Treatises/Practice Guides, Course Handbooks, Answer Books, Transcripts, and Forms to reflect recent changes and developments in the law.

Click here to see what we added in December 2024!

Treatise Update: Friedman and Smith on Contracts and Conveyances of Real Property (Eighth Edition)

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Friedman and Smith on Contracts and Conveyances of Real Property (Eighth Edition) delivers essential information and guidance to practitioners in the field of real estate conveyancing by helping readers to carefully consider all of the issues and options before finalizing a contract, handle unexpected problems and contingencies, factor in a relevant case law when structuring sound agreements, and avoid drafting ambiguous or incomplete contracts. This book explains common law principles, and thousands of statutes and court decisions, creating a road map for readers on what course of action to take and what to avoid at every stage of real estate conveyancing.

Providing more than 140 sample forms, sample clauses, and checklists that simplify and accelerate transactions, Friedman and Smith on Contracts is a comprehensive guide to every aspect of real estate contracts and conveyances.

The new release includes updates on the following topics:

  • Chapter 1, Contracts of Sale, provides updated discussion on whether attorney review clauses are illusory.
  • Chapter 2, Parties to Contracts, includes updated discussion on whether an entity’s change of name on the enforceability of a contract.
  • Chapter 8, Misrepresentations by Sellers and Buyers, defines seller conduct that amounts to active concealment of defects.
  • Chapter 9, Mortgage Financing, includes discussion of “points,” which are upfront payments made at closing, sometimes referred to as a premium or discount or origination fees.
  • Chapter 10, Existing Mortgages—Continuation After Sale, provides discussion of N.Y. Real Prop. Law § 274-A, a New York statute that requires a mortgage holder to provide a payoff statement to a mortgagor who has signed a contract to sell or has received a written mortgage commitment from another lender.
  • Chapter 23, Contract Remedies for Buyer Default, includes updated discussion of seller’s damages after buyer’s breach, specifically determining the time of breach.
  • Chapter 24, Contract Remedies for Seller Default, covers the English Good Faith Rule and the American Rile with respect to damages resulting from the seller’s inability to convey proper title.
  • Chapter 26, Deed Elements, covers updated discussion of conveyances where grantee exercises undue influence over the grantor.
  • Chapter 33, Land Descriptions, reviews the “being the same” clause.
  • Chapter 34, Surveys, provides new discussion on when boundary lines touch or pass through buildings.

Order a print copy today.

PLI PLUS subscribers can access this title through their subscription.