Thursday, October 25, 2018
12:00 p.m. – 1:00 p.m. Eastern

It’s time to get ready for the 2019 proxy and annual reporting season. Please join Mayer Brown Partners Jennifer J. Carlson, Robert F. Gray, Jr., Michael L. Hermsen, Anna T. Pinedo and Counsel Laura D. Richman for a complimentary webinar to discuss issues impacting the upcoming proxy season. Topics will include:

  • Pay ratio disclosure
  • Say-on-pay and other compensation disclosure matters
  • Shareholder proposals
  • Institutional shareholder initiatives
  • Proxy advisory reform initiatives
  • Trends in proxy disclosure
  • Virtual meetings
  • SEC’s cybersecurity guidance
  • Annual report risk factors
  • Disclosure update and simplification amendments
  • Director and officer questionnaires

CLE credit is pending. For more information, or to register, please visit the event website.

October 23–26, 2018

Fort Mason Center for Arts & Culture
2 Marina Blvd.
San Francisco, CA 94123

SOCAP is the world’s leading conference activating the capital markets to drive positive social and environmental impact – convening the marketplace at the intersection of money and meaning. The conference brings together impact investors, social entrepreneurs, philanthropists, business leaders and other innovators from across the world in a unique cross-sector approach to catalyze collaboration for change.

Partner Anna T. Pinedo will speak on the “Linking Philanthropic Funding to Impact Performance: A Case Study” panel on Day Three of the conference. This session will include a discussion with the inventors and participants of the first ever Impact Security deal. The Impact Security represents a powerful new way to fund impact using a standardized financial product that explicitly links capital with impact. NPX developed the financial product to benefit all three participants – nonprofits, donors and investors. The first deal, benefiting the nonprofit The Last Mile, launched in May 2018 and included 27 top philanthropists and foundations.

For additional information, please visit the event website.

Wednesday, October 17, 2018
1:00 p.m. – 2:00 p.m. EDT

During this session, Partners Michael L. Hermsen and Anna T. Pinedo will review the accommodations available to foreign private issuers, or non-U.S. domiciled companies, that choose to access the U.S. capital markets. We will discuss assessing a company’s status as a foreign private issuer, the initial registration and ongoing disclosure requirements for foreign private issuers, liability considerations, and related topics. The speakers also will address recent developments significant to foreign private issuers, including:

  • Staff guidance regarding the foreign private issuer definition;
  • Areas of focus for SEC comments in anticipation of upcoming 20-Fs and 40-Fs, including cyber security matters;
  • Disclosure simplification;
  • Exhibits, HTML and XBRL for foreign private issuers and IFRS filers; and
  • Areas of likely SEC focus in the coming months.

Wolters Kluwer will provide CLE credit. For more information, or to register for this session, please visit the event website.

Tuesday, October 16, 2018

The Fairmont Royal York
100 Front Street West
Toronto, ON M5J 1E3
Canada

Please join Mayer Brown Partners Thomas A. Humphreys,  Anna T. Pinedo, Jerome J. Roche, and Donald S. Waack for one (or both) of the following presentations.

During the first session, we will provide an overview of the most significant regulatory changes and proposed amendments affecting financial institutions, with a focus on non-US-domiciled banks doing business in the United States. As year-end approaches, we’ll also share our views on what to expect in the months to come as mid-term elections approach. During our session, we will review the changes that have come as a result of actions taken by the banking agencies, including proposed amendments to the Volcker Rule and the proposed stress capital buffer. We will also address the changes contained in the recently enacted Economic Growth, Regulatory Relief, and Consumer Protection Act. We will also provide some perspective on the additional changes that should be expected in the near term.

During the second session, our discussion will focus principally on the below aspects of the US Tax Cuts and Jobs Act of 2017.

Session 1: Financial Services Regulatory Reform
10:30 a.m. – 12:00 p.m.

  • The Economic Growth, Regulatory Relief, and Consumer Protection Act and the tailoring of regulatory requirements;
  • The likely approach for foreign banking organizations;
  • Amendments proposed by the agencies to the Volcker Rule;
  • Single-counterparty credit exposures; and
  • Other proposed and anticipated changes.

Session 2: US Tax Reform and Cross-Border Impacts
12:30 p.m. – 2:00 p.m.

  • Base Erosion Anti-Abuse Tax;
  • New US limits on business interest expense deductions; and
  • New US treatment of US investments in non-US countries, including Canada
    –Participation exemption
    –GILTI

To register, please visit our event website.

Thursday, October 10, 2018
1:00 p.m. – 2:00 p.m. EDT

This webinar provides all the basics a lawyer needs to be conversant in and familiar with the Commodity Exchange Act and the regulatory framework for futures, commodity options, swaps, and retail foreign exchange. Partner Anna T. Pinedo and Partner Curtis A. Doty will discuss topics including:

  • The jurisdiction of the Commodity Futures Trading Commission (CFTC);
  • Who are the registrants and what authority does the CFTC have over them? What role do the Securities and Exchange Commission and other regulators have?;
  • The regulation of swaps post Dodd-Frank;
  • Commodity pool definition and status as a commodity pool operator; and
  • An overview of recent changes to swaps regulation.

PLI will provide CLE credit.

For more information, or to register, please visit the event website.

Thursday, October 4, 2018
1:00 p.m. – 2:00 p.m. EDT

Interest in the formation of business development companies, especially private BDCs, remains high. BDCs have also recently been in the spotlight as a result of significant changes to the regulatory framework affecting them. During the session, Partner Anna T. Pinedo and Counsel Brian D. Hirshberg will provide a brief overview of the legal and regulatory requirements applicable to BDCs generally, and focus on recent developments.

Topics will include:

  • The 40 Act requirements applicable to BDCs;
  • The tax treatment and diversification requirements;
  • The registration process;
  • Using a BDC to address Volcker Rule constraints;
  • Statutory changes affecting leverage and related rating agency actions; and
  • Different approaches to structuring private BDCs.

West LegalEdcenter will provide CLE credit.

For more information, or to register, please visit the event website.

October 1-2, 2018

PLI California Center
685 Market Street
San Francisco, CA 94105

This program is specifically designed for in-house and law firm attorneys and other professionals who work with financial information. It will enhance understanding of business strategies, accounting fundamentals and vocabulary used by management, investors, auditors and bankers. Practical advice and application of information to actual situations and financial reports will provide participants with opportunities to immediately implement growth and broaden capabilities.

Partner Anna T. Pinedo will lead a panel discussion titled “Investment Banking Basics: Fundamentals of Capital Structures” on Day One of the program. Topics will include:

  • Common financing alternatives — debt, equity and hybrids;
  • Sources of funding — public and private markets;
  • Liquidity — raising and deploying capital;
  • Finding the Optimal Capital Structure; and
  • Current marketplace developments.

PLI will provide CLE credit.

For more information, or to register, please visit the event website.

Thursday, September 20, 2018
11:00 a.m. – 11:30 a.m. EDT

On July 31, 2018, after a review period following its initial proposal, the Office of the Comptroller of the Currency (OCC) announced it would begin accepting applications for its special purpose national bank charter for financial technology (fintech) companies. While the New York State Department of Financial Services has (again) sued the OCC claiming that it lacks the legal authority to issue this type of charter, companies are actively exploring the OCC fintech charter as well as other bank charter alternatives, such as industrial loan companies (ILCs), to facilitate their nationwide operation. Because many of these companies want to avoid owning a “bank” and being regulated as a bank holding company, there is a particular interest in those depository institutions excluded from the Bank Holding Company Act’s definition of “bank.”

Please join Mayer Brown partners Tom Delaney, Jeff Taft and Don Waack as they answer:

  • What are the potential advantages and disadvantages of an OCC fintech charter?
  • What are the alternative banking charters, such as ILCs, credit card banks and full-service insured depository institutions?
  • What is a “bank holding company”? (And why you may want to avoid this status.)

For more information, or to register for this complimentary session, please visit the event website.

Thursday, September 13, 2018
3:00 p.m. – Registration
3:30 p.m. – Roundtable discussion
5:00 p.m. – Networking drinks

Location
Thomson Reuters
3 Times Square
New York, NY 10036

Please join Mayer Brown at IFR’s US ECM Roundtable 2018.  Now in its seventh year, the event will bring together a panel of the most senior ECM practitioners to assess the current state of the market, discuss the latest trends and developments and provide an outlook for the remainder of the year and beyond.

Partner Anna Pinedo joins as a panelist for IFR’s event. Topics for discussion will include:

  • The state of the IPO market,
  • Private capital to public markets,
  • JOBS Act 3.0,
  • SPACs as an alternative to IPO,
  • Areas of success, and
  • Convertible bond market renaissance.

The event is free to attend but you must be registered. To secure your place, please visit IFR’s registration page.

Thursday, October 4, 2018
8:00 a.m. – 8:30 a.m. Registration & Breakfast
8:30 a.m. – 4:30 p.m. Program
4:30 p.m. – 5:30 p.m. Cocktail Reception

Location
Mayer Brown
71 South Wacker Drive
Chicago, IL 60606

Please join Mayer Brown in Chicago for our 1st Annual Executive Compensation University.

During this full-day program, we will explore tax and securities issues impacting executive compensation and hear from leading Mayer Brown lawyers about the changing regulatory landscape as they provide practical, business-focused guidance on dealing with these challenges. This program will cover such areas as the taxation of equity awards, disclosure issues and hot topics and current trends in executive compensation, including updates on issues related to say on pay, proxy disclosure, institutional shareholders and tax reform. The event will include an ethics program focused on issues relevant to in-house counsel dealing with executive compensation and securities issues. We plan to conclude the day with a cocktail reception.

We look forward to open dialogues with our guests.

A detailed program agenda can be found here.

Registration is available here.

CLE credit is pending.