Celesq® Attorneys Ed Center
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Programs in Banking & Finance Law

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IOLTA – The Basics – What Lawyers Need to Know (02/03/2021)

Program Number: 3141 Presenter: Daniel J. Siegel, Esq.

Mismanaging an IOLTA is one of most common ways lawyers find themselves in disciplinary proceedings. Commonly, the problems arise because lawyers do not know the rules that apply to handling their IOLTA accounts, generally because they were never trained in the best practices. This course will explain the basics of IOLTA accounts, and offer practical advice how to set up an account, how to handle the required accounting, and offer detailed information about IOLTA account do’s and don’ts. The program is based upon the American Bar Association Model Rule of Professional Conduct 1.15 and the Model Rule on Financial Recordkeeping.

$95.00Audio Tape Add to Cart

Is Financial Crime Going Viral? Money Laundering, Fraud and Ponzi Schemes in the Pandemic Era (01/26/2021)

Program Number: 3136 Presenter: Ross S. Delston, Timothy Dunfey, Esq.

Financial crime is a constant whatever the era but in times of crisis criminals become even more creative. Coronavirus ‘cures’, PPEs, testing and vaccines all present attractive opportunities for fraudsters to take advantage of our collective anxiety by selling fakery. Ponzi schemes, a ubiquitous phenomenon, often come to light in times of financial crisis since old investors demand redemption and new investors are hard for fraudsters to find. Finally, in the pandemic, trade-based money laundering, another common criminal scheme, can be used to greater effect due to price gyrations and scarcity in previously available goods and commodities. Learning Objectives: • Distinctions between and among different types of fraud, money laundering and other financial crime; • How to recognize commonly used financial crime schemes; • Why red flags are crucial to legal practitioners in banking, securities, contract, M&A, and consumer fields; Topics are targeted to attorneys in the regulatory, compliance, litigation and criminal

$95.00Audio Tape Add to Cart

The SEC’s Whistleblower Program in 2021 and Beyond (02/24/2021)

Program Number: 3129 Presenter: Jay A. Dubow, Esq., Robert L. Hickok, Esq., Kaitlin L. Meola, Esq.

The Securities and Exchange Commission’s Whistleblower Program was created in 2010 to assist the SEC in discovering securities law violations by providing incentives for individuals to report possible violations. The Program has been successful; to date, the SEC has received tens of thousands of whistleblower tips, resulting in more than $2 billion in monetary sanctions, and has awarded more than $700 million to whistleblowers whose tips resulted in enforcement actions. On September 23, 2020, the SEC voted to amend the Program’s rules in order “to provide greater clarity to whistleblowers and increase the program’s efficiency and transparency.” The amendments—effective December 7, 2020—include changes to the way the SEC determines awards, changes that streamline the process for submitting and evaluating tips, and clarifies various definitions. The changes may incentivize whistleblowers to report possible securities law violations, and companies should ensure that their internal whistleblower policies are current and provide adequate internal processes for

$95.00Audio Tape Add to Cart

The Trouble with TikTok & Other Cautionary Foreign Investment Tales: Navigating the New CFIUS Landscape (02/19/2021)

Program Number: 3117 Presenter: David Hall, Esq., Tahlia Townsend, Esq.

As headline grabbing actions around TikTok, StaynTouch, Grindr, and PatientsLikeMe demonstrate, the risks associated with foreign investment in the U.S. have substantially increased. New regulations significantly tightened the rules governing overseas investment into U.S. businesses in 2020, dramatically expanding the circumstances in which pre-investment notification to the Committee on Foreign Investment in the United States (CFIUS) is either mandatory or recommended. This session will cover when foreign investments in the U.S. may trigger mandatory pre-transaction notification requirements, and when voluntary notification may be advisable; the impact of the recent increased focus on security of sensitive personal data; why understanding U.S. export controls is now essential to the CFIUS analysis; the key steps and timelines for making a CFIUS filing; the consequences of not making a filing when required or recommended; and key recommendations for investment due diligence and planning.

$95.00Audio Tape Add to Cart

Evolving Foreign Trade Risks Under CFIUS: What Lies Ahead? (02/10/2021)

Program Number: 3112 Presenter: Michael Clark, Esq., Alan F. Enslen, Esq., Aldo M. Leiva, Esq., Hon. Joe D. Whitley, Esq.

The panelists will provide an overview of key changes to U.S. dual-use export controls in the past 18 months and enforcement initiatives relating to ongoing interagency efforts to designate and safeguard U.S. emerging and foundational technologies, and the continued evolution of regulations and policies governing national security reviews of foreign direct investment into the United States—along with observations about the anticipated status of these initiatives in the next year. Attention will also be given to cybersecurity due diligence for covered transactions, how investigations get launched, opportunities for assisting clients, such as internal investigations and examining compliance issues, and an overview of potentially applicable federal statutes that may be implicated.

$95.00Audio Tape Add to Cart

Everything You Wanted to Know About Blockchain But Didn’t Know to Ask (02/19/2021)

Program Number: 3110 Presenter: Dr. Sharon Meit Abrahams, Valerie Pennacchio, Esq., Teresa Walker, Esq.

You may be familiar with Bitcoin or other cryptocurrencies but do you know anything about the underlying technology and why it will become so important to the legal industry? Of all the emerging technologies, blockchain, also referred to as distributed ledger technology (DLT) might be the least understood. We are all searching for truth these days and to find resources upon which we can depend, especially in the legal industry. Learn about how blockchain technology is already in use in the legal industry and consider ways in which it will continue to grow in the industry.

$95.00Audio Tape Add to Cart

Estate Planning Opportunities with "20/20 Vision": The Impact of the Federal Election on Existing Estate Plans (01/19/2021)

Program Number: 3109 Presenter: Melanie E. Cuddyre, Esq.

This program will discuss the unique estate planning opportunities created as a result of the 2020 Federal election. The 2021 Federal Estate and Gift Tax Exclusion is $11.7M per individual (or $23.4M for a married couple). While the exclusion was already set to drop to $5 million, as adjusted for inflation, on January 1, 2026, the recent Federal election creates the possibility that the exclusion will be reduced before that date, and potentially be reduced to a lesser amount. The Internal Revenue Service (IRS) has issued regulations confirming that gifts made prior to a reduction in the exclusion will not be “clawed back” into the gross estate for Federal Estate Tax purposes. Lifetime gifting opportunities, including the use of Spousal Limited Access Trusts (SLATs), Grantor Retained Annuity Trusts (GRATs), Qualified Personal Residence Trusts (QPRTs), and other techniques allow individuals to take advantage of the current exclusion rate while they are still able. This program discusses

$95.00Audio Tape Add to Cart

What You Don’t Know, But Need to Know, About Hotel Investments in 2021 (02/02/2021)

Program Number: 3108 Presenter: Dr. Sharon Meit Abrahams, Yariv C. Ben-Ari, Esq., Jonathan Falik, Esq.

This session is intended to present a practical approach to understanding basic hotel industry financial terminology, definitions, and applications. The package includes debt terms, equity terms and investment terms and issues. Speakers will discuss the critical legal issues in the purchase and sale of a hotel property, considering the unique aspects of this asset class. The program will focus on seller representations and warranties, key contract provisions in the purchase and sale agreement, and retention or termination of the hotel management/franchise affiliation. The program will also address the significance of the terms of the hotel management agreement. The presentation will relate to the current hospitality environment in Q1 2021.

$95.00Audio Tape Add to Cart

Challenging the SEC in Federal Court: Recent Developments in Case Law and Practice Notes (01/14/2021)

Program Number: 3103 Presenter: Jay A. Dubow, Esq., Mary Grace W. Metcalfe, Esq., Ghillaine A. Reid, Esq.

Challenging an ongoing investigation by the SEC is a daunting task, particularly for those identified as subjects of the investigation. Two recent holdings, one by the Third Circuit in Gentile v. Sec. & Exch. Comm’n, 2020 WL 5416297 (3d Cir. Sept. 10, 2020) and the other by the United States District Court for the District of New Jersey in Sec. & Exch. Comm’n v. Gentile, 16-cv-01619-BRM-JAD (Order Sept. 29, 2020), both of which involved the same parties, offer some clarification on when and how best to mount such a challenge. The Third Circuit’s opinion makes clear that the SEC’s ability to investigate is one of the “rare circumstances” in which an agency’s action is exempt from the waiver of sovereign immunity that might otherwise apply under the Administrative Procedure Act and, as a result, is not subject to judicial review. By contrast, the district court’s opinion reinforces that, once an investigation

$95.00Audio Tape Add to Cart

IRS Summons and Other Methods of Obtaining Taxpayer Information, Enforcement, and Defenses (05/21/2020)

Program Number: 3091 Presenter: Megan Brackney, Esq.

The IRS has several methods for obtaining information about taxpayers. This program will discuss the IRS’s methods of obtaining information, focusing primarily on the IRS’s summons authority, including the scope that authority, taxpayer’s rights and privileges, summons enforcement litigation, and the attorney’s ethical obligations when responding to IRS requests for information under Circular 230. Learning Objectives: 1. Understand the methods that the IRS uses to gather information from and about taxpayers. 2. Discuss the methods of enforcement of IRS summons and defenses to enforcement. 3. Examine the potential defenses and privileges that may limit the IRS’s ability to obtain information. 4. Understand the lawyer’s ethical obligations when responding to an IRS request for information.

$95.00Online Audio Add to Cart

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