Tag Archives: compliance

New Practice Guide! Insider Trading 

PLI Press is thrilled to announce the publication of Insider Trading. 

This new practice guide serves as an essential resource for practitioners and investors focused on insider trading law, compliance, and enforcement. Edited by   Eugene Ingoglia— an industry expert who has prosecuted and defended insider trading cases, including the case of SAC Capital portfolio manager Mathew Martoma, considered largest insider trading scheme ever charged—this guide adopts a multidimensional approach to the topic of insider trading law, examining it from several overlapping practice perspectives, including civil, criminal, transactional, bankruptcy, and regulatory.  

Table of Contents: 

Order a print copy today. 

PLI PLUS subscribers can access this title through their subscription. 

Financial Product Fundamentals: Law, Business, Compliance (Second Edition) 

Financial Product Fundamentals: Law, Business, Compliance (Second Edition) serves as a comprehensive reference guide for attorneys, regulatory officers, compliance personnel, and any other professionals navigating securities regulation and compliance. This newly updated treatise contains expert analysis of a wide range of financial topics, including investment trusts, mutual funds, hedge funds, and variable insurance products.  

Highlights of the recent update include:  

  • Chapter 4, Securitization, is a new chapter covering securitization’s definition, functionality, and broader regulatory framework. This new chapter also covers tax and ERISA considerations, and treatment of security transactions under both bank capital rules and UCC Article 9.  
  • Chapter 23, Collective Trust Funds, expands upon the earlier version’s discussion of the collective trust fund and its inclusion of the prudence standard and private equity investments. (Section 23:3.9) 

Order a print copy today.  

NEW Answer Book! SEC Compliance and Enforcement Answer Book 2015

Titles-7775-SEC-Comp-Enforce-AB-2015_20150602102052Counsel to broker-dealers, investment advisers, U.S.-registered issuers and other participants in the securities markets must have a thorough and clear understanding of the SEC’s enforcement mechanisms. PLI’s new SEC Compliance and Enforcement Answer Book 2015 is a comprehensive and concise reference book organized in an easy-to-use Q&A format.

Edited by David M. Stuart (Cravath, Swaine and Moore LLP), this expert Q&A guide compiles the perspectives of leading practitioners from around the country who have previously served in the SEC Enforcement Division, many of whom were in some of the most senior positions in the Division.

Leveraging the authors’ experience and expertise, SEC Compliance and Enforcement Answer Book 2015 provides nuts and bolts guidance on:

  • Conducting an effective internal investigation – while the SEC is simultaneously investigating
  • Responding to SEC requests and subpoenas for documents, interviews, and testimony
  • Cooperating effectively with SEC staff
  • The Wells process, negotiating resolutions, and litigating with the SEC
  • The complexities that arise when criminal and international law enforcement authorities becomes involved in an SEC investigation

Additionally, SEC Compliance and Enforcement Answer Book 2015 answers questions on insider trading, accounting and securities fraud, market manipulation and foreign corruption. The Q&A guide also tackles special issues related to investigations of attorneys, accountants, and those identified by whistleblowers.

If you’d like to order SEC Compliance and Enforcement Answer Book 2015, please email the PLI Library Help Desk or call 877-900-5291.  SEC Compliance and Enforcement Answer Book 2015 is also available on Discover PLUS .

 

New Treatise! Global Business Fraud and the Law: Preventing and Remedying Fraud and Corruption

AnotheTitles_7655_Global-Business-Fraud-and-the-Law_20150519154305r new PLI title has been added to Discover PLUS: Global Business Fraud and the Law: Preventing and Remedying Fraud and Corruption.

This brand-new book presents a comprehensive and practical guide to preventing business fraud and corruption, and remedying unlawful behavior should it occur. Expert practitioners from around the globe offer an international perspective based on their extensive experience.

Whether you run a company that operates across international borders or provide legal counsel to such a company, this book provides an invaluable resource.

Part I of Global Business Fraud and the Law explores the nuts and bolts of global compliance issues and potential for internal investigations that could confront organizations and individuals conducting international commerce.

Chapter 1 Design, Implementation, and Operation of Global Compliance Programs
Chapter 2 Considerations in Global Internal Investigations
Chapter 3 The Audit Committee’s Evolving Role in Overseeing Corporate Investigations
Chapter 4 Foreign Corrupt Practices Act
Chapter 5 Conducting an FCPA Internal Investigation
Chapter 6 Global Antitrust Cartel Enforcement: Identifying Risks and Ensuring Compliance
Chapter 7 The Economic Espionage Act
Chapter 8 International Intellectual Property Protection
Chapter 9 OFAC Enforcement of U.S. International Economic Sanctions

Part II provides country-specific practice guides to the law of business fraud and corruption in several countries key to global commerce:

Chapter 10 Brazil
Chapter 11 Russia
Chapter 12 India
Chapter 13 China
Chapter 14 Australia
Chapter 15 United States
Chapter 16 United Kingdom

If you’d like to order Global Business Fraud and the Law: Preventing and Remedying Fraud and Corruption, please email the PLI Library Help Desk or call 877-900-5291.

Insider Trading Law and Compliance Answer Book 2011-12

Insider Trading Law and Compliance Answer Book provides both the lawyer and the lay investor with a complete understanding of the criminal and civil issues that can arise, the possible penalties that could be  incurred and the defenses available. It reflects the in-depth knowledge of legal practitioners who provide ongoing counseling and litigation representation to a wide array of clients.

Because the insider trading laws apply to everyone – not just corporate insiders – a proper understanding of both the basics of insider trading law as well as some of the complexities and nuances of this important area of the law is important to anyone who invests in the securities markets.

Insider Trading Law and Compliance Answer Book provides you with a step-by-step understanding of the legal requirements imposed upon all investors. It walks you through:

  • The elements of an insider trading claim
  • What is legitimate company research that can be freely acted upon and what is nonpublic information that may not
  • When acting on a “tip” can incur legal liability
  • The framework of penalties when insider trading has been successfully proven

With today’s turbulent financial markets, an increased number of insider trading charges and convictions are hitting the newspapers. Insider Trading Law and Compliance Answer Book, which fully integrates recent regulatory changes, will provide a concise road map, helping the reader to navigate the legal requirements safely.

To order the book click here, or write us at libraryrelations@pli.edu.