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Past Web Seminars

After a period of tremendous popularity, the SPAC market was at a near standstill from 2009 to 2011. There has been a reawakening in 2011, but limitations still exist.  One contributing factor in this decline is the amount of time required for the SEC to review the disclosure documents relating to the business combinations that SPACs propose to engage in.

To overcome this challenge, a new structure called the IPACSM or "Innovated Public Acquisition Company," has entered the market. The IPACSM is designed to operate like a SPAC, but offers increased flexibility on pricing and deal structure and allows for a more rapid transaction cycle by permitting a business combination to be consummated prior to SEC review.

This web seminar with IPACSM creator Mitchell Nussbaum, partner and chair of Loeb & Loeb LLP's Securities Practice, explored the structural elements of the IPACSM and the significant benefits of this groundbreaking new financing vehicle for investors and target companies.

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Emerging growth Canadian companies regularly need to raise capital. This panel of experts will offer insights on how such companies can access the U.S. financial markets, with or without concurrent offerings in Canada.

In addition, the Canadian financial markets are becoming increasingly more influential for U.S. companies, both in terms of listing on the Toronto Stock Exchange and TSX Venture Exchange, and meeting capital raising needs. This web seminar will offer growing companies on both sides of the border information on the state of the Canadian markets and the best ways to access capital in those markets.

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In this live web seminar, the experts behind DealFlow Media offer insights into growing your shareholder base, raising new capital and getting the maximum value possible from third-party research.

DealFlow Media has been publishing research and data on small-cap companies, financing structures and industry participants for a decade. DealFlow products such as The PIPEs Report and PrivateRaise have become industry standards for deal analysis and research, while our new Investor Targeting and Transaction Analysis products provide unparalleled information about investors and deal structures to company management.

This web seminar will examine how to find investors most likely to invest in your company, the value of peer analysis, how to increase trading liquidity in your stock, and how to attract and maintain third-party research coverage.

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Decreased activity in the IPO and M&A markets over the last several years has left many private company stakeholders without a path to liquidity. This demand for liquidity has created a growing secondary market for private company stock.

While the emergence of a market for private company stock is welcomed, it comes with a host of legal, investment and tax considerations.

This web seminar explores these issues and provides an interactive experience with the web seminar sponsors Littman Krooks, GATE Technologies and Arcstone Equity Research.

Are you investing in or advising Chinese companies? Then you already know that amidst recent fraud allegations, there continues to be strong interest in China.

To meet the growing appetite for Chinese equities, there are new alternatives to complicated offshore transactions such as U.S. IPOs or reverse mergers. While many Chinese companies begin to evaluate local funding and mainland listings, overseas deal advisers are creating innovative techniques to secure capital within mainland China.

This web seminar examines how RMB funds are changing the investment landscape, the key differences in accounting and due diligence practices, and using Chinese sales channels to sell structured products such as private placements.

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Join Alexandra Lebenthal of Alexandra & James, and John Knox of Orrick, Herrington & Sutcliffe as they discuss how investors can take advantage of the recent debate over municipal defaults. Tarred with a one-size-fits-all brush as fears of defaults have gripped the industry, it turns out that default risk in the muni bond market may actually be quite small.

In this exclusive web seminar, we'll discuss how investors can maximize returns from this asset class, as well as understand where the real risk of municipal defaults exists going forward. We'll also explore what actually happens to bondholders when municipal issuers file for bankruptcy.

Purchase the archive now for a hard-hitting look at how you can turn the muni bond volatility to your advantage.

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Social media websites such as Facebook, LinkedIn and Twitter have transformed the way we communicate with both friends and colleagues. Social media is also becoming increasingly relevant in the world of investment banking specifically when it comes to selling a deal. After all, dealmaking is about people, and people like to connect using social media.

The SEC recently released an inspection sweep letter related to social media sites. This web seminar introduces you to the ways you can conduct transactions using online networking technologies, and explains how to stay compliant and avoid running afoul of the law.

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The web seminar discusses the status of the SPAC market, recent structural changes including the legal impact of the tender offer rules as an alternative to the traditional proxy regime, sponsor ownership, warrant pricing and a look into the impact on foreign private issuer SPACs.

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Toronto Stock Exchange and TSX Venture Exchange are dynamic markets to access capital and drive your company's growth. With more than 50 Chinese listed companies, TMX equity exchanges are a global destination of choice for small- to mid-cap companies.

Capital Pool Companies (the "CPC") program, as a unique listing vehicle, offers an alternative means, two-step introduction for growth companies to access to capital and go public outside the conventional IPO process. With over 2,000 transactions in the past 20 years in Canada, the CPC program provides investors and companies a clean public vehicle, a pool of capital and market support in their transition to public in a market with comprehensive listing standards.

**This web seminar is presented in Mandarin Chinese only.

Click here for more information or to purchase the audio.

The recent passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act, and the subsequent release of task force reports by the SEC and the GAO, have put the life settlement market squarely in the sights of federal regulators as never before. What does this new scrutiny and complex legislation mean for the future of the market? Join some of the life settlement market's top legal experts in a 90-minute discussion of the specific impacts of the Dodd-Frank bill, and the likely fallout from critical reports by the GAO and the SEC, on the secondary market for life insurance.

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Web Seminar :: Registered Direct Offerings

Registered Direct Offerings ("RDOs") have become a widely accepted way for public companies to raise capital discreetly, quickly and with minimal disruption to their share price. Companies raised in excess of $5.5 billion via the RDO in 2009.

Capital Pool Companies - Exploring Alternative Public Offering OPportunities on TSX Venture Exchange

Capital Pool Companies offer development stage and emerging growth companies an alternative means to raise capital and go public outside the traditional IPO process. With over 2,000 transactions in the past 20 years, the CPC program offers investors and companies a clean public vehicle, growth capital and market support in their transition to public status in a proven venture market with comprehensive listing standards.

Confidentially Marketed Public Offerings (CMPOs) and Underwritten Registered Directs have been increasing in popularity as preferred alternatives to raise capital. Volatility in the capital markets has caused companies and their advisors to be wary of traditional public offerings that are considered time consuming, risky, and likely to depress a company's stock price.

The Life Settlements business continues to evolve, with continuing state-by-state legislative battles, pending litigation, and new guidance from the IRS on the tax treatment of these transactions. It's important to stay informed on the state of the market, and understand how recent developments in each of these three areas may impact your business. This panel of experts provides guidance on these matters that will help you position yourself to benefit from these changes.

PIPE Market Enforcement :: The SEC Responds to Crisis

The recent crisis in the securities markets has revived the SEC's efforts to regulate, investigate and litigate PIPE fund activities. From new proposals for fund registration, derivative regulation, and short-sale restrictions, to amendments to Rules 144 and 415 affecting alternative public offerings, and re-invigorated enforcement of naked shorting and manipulative trading violations, the SEC is moving on the PIPE market from a number of fronts. This webinar provides you with latest updates on regulatory and litigation issues, and their impact on the trading and financing of microcap companies.

Future of PIPE Funds :: Winding Down, Shoring UP or Starting a New Hedge Fund

Are longer lockups viable? Do changes to redemption policies work? Will PIPE funds alter their investment strategy? Join DealFlow Media's expert panel for this special pre-conference webinar. Whether you're winding down, gathering assets, or launching a new investment vehicle, this live webinar will provide a unique perspective on managing a hedge fund in today's marketplace.

Investors have an unprecedented opportunity to profit from the turmoil created by the Troubled Asset Relief Program. Guidelines are being drawn that will govern the purchase of $700 billion of distressed securities and include an array of rules that will alter the way Wall Street does business. This webinar delves deep into this critical mandate. This is your opportunity to hear from a panel of experts on TARP and ask questions about the legislation. As part of your webinar registration, you will receive the program materials plus special legal alerts prepared by the panelists.

The recent lengthening of an underwriter's mortality table has caused ripples throughout the Life Settlements industry. While this revision has caused short-term upheaval, some predict it will help in the long term. Market participants are now pushing for the need for meaningful benchmarking and measurement of actual-to-expected results. This webinar discussed the pros and cons of standardizing measurements and the impact this revised mortality rating has on the investor market.

One of the major developments in the Life Settlements market has been the sudden growth of synthetic products. These structures have become a means to invest without actually purchasing the physical policies. This product is attracting new players into the market, such as some hedge funds, that are not allowed to hold physical policies among their assets. This webinar discusses the emerging use of synthetics, the techniques involved, the potential elimination of policy-related risks and the legal advantages of these new transactions.

With the stocks of financial giants deteriorating, the SEC took its most aggressive action yet against abusive short selling and so-called "rumor mongering" that may accompany short sales. This webinar discusses the developments in these enforcement matters and covers the new SEC rules, how you can protect yourself, and what to expect should you receive a subpoena.

Fraud committed against residential mortgage brokers has grown dramatically over the past few years with significant consequences affecting consumers, lenders, and their communities. The reverse mortgage industry is now facing its own abusive schemes.

The SEC has recently adopted significant changes to securities law. This webinar focuses on the latest interpretations of Rule 415, amendments to Rule 144 and Regulation D, and the impact they have had on private placements, reverse mergers and the capital formation process for public companies.

State legislatures across the country are considering a pair of competing proposals on how to regulate the Life Settlements market. This webinar compares and contrasts the NCOIL and NAIC model acts and examines their implications.

With the debt market getting riskier, litigation surrounding debt transactions may soon be on the rise. This webinar archive provides an update on the state of the law regarding liability for lenders and for secondary market investors in corporate debt.

SPAC sponsors seeking to obtain shareholder approval for their proposed business combinations are realizing the influence that certain activist hedge fund investors wield as part of the proxy process. This webinar archive explores the influence that these hedge funds control in determining the outcome of the shareholder voting, and discusses some new and innovative features that enhance the likelihood of consummating the business combination.

The SEC just voted unanimously to adopt three of the initial six proposals to improve the regulatory environment for smaller public companies. SEC Chairman Christopher Cox said, "[These] rule amendments will enable smaller companies to raise capital more effectively and ease some of the burdens of our reporting and disclosure requirements, and they will ensure that investors in these companies are paying for important protections and not red tape." This webinar focuses on the impact these measures will have, and how they might improve capital-raising, reporting and disclosure requirements for public companies.

Life Settlements is a growing asset class for capital market investors, and is attracting the attention of institutional capital from around the globe. Before investing, there are many issues investors should be aware of. This webinar focuses on the risks associated with this market, the pros and cons, and what makes Life Settlements an attractive opportunity for institutional investors.

Life Settlement agents focusing on the baby-boomer or senior market need to have a strong understanding of the Life Settlement marketplace. Purchase this webinar archve to learn what makes Life Settlements an attractive opportunity for agents and advisors.

By the end of this year, the SEC is poised to adopt significant changes to rules governing the capital formation process. Although intended to benefit smaller issuers, the scope of these changes will shape capital-raising decisions by companies of all sizes whether public or private. This webinar examines the critical components of the rules and the potential impact to current practices.

After a year of deliberation, the SEC finally began its campaign to reform the practice of short selling by amending Regulation SHO. While changes enacted to Reg SHO have been incremental thus far, there are rule proposals that could potentially lead to a substantial overhaul of the Regulation. The impact of these regulatory changes will be felt by hedge funds and institutional investors who rely on the technique of short selling to hedge their market position. Purchase this webinar archive to learn about the SEC's stance on short selling and the implication it will have on your investment strategies.

For nearly three years now, the Chinese government has been issuing new policies regarding the use of offshore entities to acquire domestic operations. On May 29, 2007 the PRC State Administration of Foreign Exchange released Implementation Notice No. 106 which clarifies many of the earlier rules and appears to be a tightening of policy. Purchase this webinar archive to learn about the impact this will have on cross-border transactions, the challenges ahead and solutions that will still allow U.S. investment into Chinese companies.

Fees for brokers in Life Settlement transactions can be extraordinarily high, in some cases equal to what the policy seller receives. Brokers and providers generally agree that consumers should know exactly how much in commissions they are paying to sell their life insurance policies, but recent lawsuits have alleged fraud and the use of "co-brokering fees" to suppress higher bids from competitors. Purchase this webinar archive to learn about the issues related to commissions and the latest legal developments surrounding disclosure.

Recently the SEC introduced regulations to protect investors from spam campaigns and suspended trading in 35 public companies. Those continuing to engage in fraudulent e-mail campaigns face severe penalties, and must now consider alternative means. Purchase this webinar archive to learn about the legal issues related to email promotion, and discover credible ways to reach investors in today's environment.

Dividend recapitalization is the practice among private equity funds of having a portfolio company take on debt which is used to pay a large dividend to the company's shareholders. If the private equity fund owns most of the shares, it gets most of the dividend, which can sometimes be greater than the initial investment. In the first quarter of 2007, issuers have financed a record $26.9 billion, a number expected to grow to $108 billion, which is almost twice the amount financed in 2006. Purchase this webinar archive to learn about the risks involved with these types of transactions, and how to profit from the surge in this market.

The Securities & Exchange Commission just approved an important set of proposals that will dramatically impact smaller public companies. The preliminary consensus from industry experts is that if these proposals are passed, they would provide a more favorable regulatory environment for public companies and professionals involved in the capital formation process. Attend this special webinar to get timely and important information on how the SEC's Open Meeting discussion might affect everything from PIPEs and reverse mergers to Sarbanes-Oxley compliance.

The National Association of Insurance Commissioners is revising its model act on life settlements. If approved, the revisions must still be adopted by legislatures in each state for it to become law. The NAIC is trying to prevent the purchase of insurance by investors with the intention of later being sold as a life settlement. Another provision would require fees for life settlements to be disclosed so seniors know how much of their settlement is going to brokers. Purchase this webinar archive to learn how these new revisions could affect the way you do business.

PIPE investors have endured what many consider a growing regulatory burden, especially after the Sarbanes-Oxley Act of 2002. The easy-to-follow rules that govern private placements on some foreign exchanges are starting to appeal to domestic PIPE funds. In Australia alone, companies completed $21 billion in private placements last year. Attend this webinar to learn about the issues investors face with offshore transactions, and how you can position yourself for an international deal.

An increasing number of companies are using alternative techniques to go public. In 2006, the aggregate value of newly reverse-merged companies reached $12 billion. Shell due diligence is arguably the most important element in a reverse merger transaction. A "dirty" shell can mean more than just a failed deal, it can lead to financial and legal consequences down the road. Purchase this webinar archive to learn how incorporating unorthodox research methods into traditional due diligence can reduce your liability.

The life settlements market is perhaps the fastest growing sector in the financial services industry. At its inception in 1999 there were approximately $200 million in face value of life insurance policies settled. In 2006 that number reached $12.5 billion. Within a few years, the size of the market is projected to swell to over $160 billion. Purchase this webinar archive and learn how hedge funds, brokers, and policy holders are all profiting from this new asset class.

When a company files for bankruptcy, many believe equity holders should accept their place within general unsecured creditor committees, and that holders with their own committee might only complicate reorganizations. The fact is, equity committees are becoming more popular and have been successful in maximizing value for stakeholders. Purchase this webinar archive to learn from the experts how, when and why to use an equity committee.

Recent moves by the SEC to re-interpret Rule 415 of the Securities Act and to amend Regulation SHO's market making and close-out provisions will directly impact the PIPE market. Purchase this webinar archive to find out what you can do to protect yourself and your clients.

China's economy continues to expand at a torrid pace, leaving foreign investors scrambling to understand the changing rules which govern overseas investment. In this webinar, you'll hear from expert legal counsel with years of experience navigating China's complex bureaucracy. Discussion will include how private companies are going public on foreign exchanges and why government regulation continues to baffle the venture capital community.

Rising interest rates are expected to push a growing number of companies into bankruptcy. Alternatives are being developed to work out insolvent companies' obligations, by cutting time and cost from the bankruptcy process. This webinar archive provides clarity on the issues that will make the next wave of bankruptcies more complicated than ever.

With interest rates rising and the economy slowing, more companies are expected to default on their debt. This webinar will feature leading distressed debt investors and special situations bankers discussing recent opportunities. Find out how you can position yourself to profit from the upcoming credit crunch.

Hedge funds are increasingly using their capital and their influence to effect change at companies. While many fund managers view their actions as necessary to increase value, some advisors warn such actions may run counter to long-term shareholder interests. Join experts in the field of activist investing for a live 90-minute webinar archive discussing the latest strategies being used to unlock shareholder value.

Join us for a discussion of current trends in second lien financings. Industry experts will review deal terms including intercreditor agreements and the latest developments in company restructurings. This webinar archive focuses on the issues you need to know to perfect and enforce second liens.

With registration requirements being imposed on the hedge fund industry, money managers can expect more scrutiny from the SEC in the near future. This webinar archive discusses best practices related to valuation policies, as it becomes one of the more important issues for institutional fund managers.

Keeping up with the changing rules and regulations is imperative if you are involved in PIPEs. This webinar archive will keep you informed on recent issues involving Section 16, EITF 00-19, and best trading practices.

Investors use many trading techniques to boost returns and lower their market exposure. This Webinar archive focuses on identifying and combating manipulative stock trading. Learn what public company executives can do to identify abusive trading practices and defend their company's value.

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