Welcome to InvestoRegulation
Leading the way in understanding international securities regulation
InvestoRegulation is a leading specialist provider of financial services conferences and continuous development education in the UK and Asia. We run a range of events, exploring current developments, recent legislation and key issues in securities regulation and the international capital markets. Amongst InvestoRegulation's events is the high profile and internationally recognised conference series SEC Regulation Outside the United States - now in it's 15th year.
Complementing our conferences, we offer a full range of customised seminars, workshops and consultancy in allied areas for senior management and CEOs, as well as tailor made workshops for law firms and other professional practices.
We believe strongly in focusing on our core strength of being at the forefront of international securities regulations and we do it well, as you can see from just a few of the testimonials we've had from happy clients.
We hope that our website provides all the information you need. If you have any questions, we'll be more than happy to hear from you.
Upcoming Events
SEC Basics
30 May 2012, London
An intensive, interactive one-day workshop suitable for those with little or no knowledge of the U.S. securities laws, the SEC or the SEC’s rules and regulations. It covers all you need to know to give you a head start when first offering or selling securities to the United States and so first registering with the SEC. The workshop is led by Mark Berman, a former SEC lawyer who advises on SEC practice outside the United States and international financial services regulation.
More information...
15th Annual SEC Regulation Outside the United States
31 May 2012, London
This must-attend conference will put you directly in front of current and former SEC officials who will give you inside knowledge of how the SEC legislates and enforces U.S. securities laws, and how these affect organisations outside the United States. Non-U.S. financial services practitioners wishing to access the U.S. markets can't afford to miss out on this unique opportunity to tap into the combined knowledge and experience of such a distinguished faculty of expert speakers to discover what regulatory developments from the SEC and other U.S. bodies mean for them.
More information...
SEC Inspections & CCOs
1 June 2012, London
An intensive, interactive workshop that examines the responsibilities of Chief Compliance Officers and explores what is involved in a compliance programme, an annual review and a SEC inspection for a non-U.S. manager that is registered with the SEC. The workshop is led - and features presentations - by:
- Robert Plaze, Deputy Director, Division of Investment Management, SEC
- Andrew Bowden, Associate Director, Office of Compliance Inspections and Examinations, SEC
- Mark Berman, CEO, CompliGlobe; a former SEC lawyer
More information...
SEC Basics
30 May 2012, London
An intensive, interactive one-day workshop suitable for those with little or no knowledge of the U.S. securities laws, the SEC or the SEC’s rules and regulations. It covers all you need to know to give you a head start when first offering or selling securities to the United States and so first registering with the SEC. The workshop is led by Mark Berman, a former SEC lawyer who advises on SEC practice outside the United States and international financial services regulation.
More information...
15th Annual SEC Regulation Outside the United States
31 May 2012, London
This must-attend conference will put you directly in front of current and former SEC officials who will give you inside knowledge of how the SEC legislates and enforces U.S. securities laws, and how these affect organisations outside the United States. Non-U.S. financial services practitioners wishing to access the U.S. markets can't afford to miss out on this unique opportunity to tap into the combined knowledge and experience of such a distinguished faculty of expert speakers to discover what regulatory developments from the SEC and other U.S. bodies mean for them.
More information...
SEC Inspections & CCOs
1 June 2012, London
An intensive, interactive workshop that examines the responsibilities of Chief Compliance Officers and explores what is involved in a compliance programme, an annual review and a SEC inspection for a non-U.S. manager that is registered with the SEC. The workshop is led - and features presentations - by:
- Robert Plaze, Deputy Director, Division of Investment Management, SEC
- Andrew Bowden, Associate Director, Office of Compliance Inspections and Examinations, SEC
- Mark Berman, CEO, CompliGlobe; a former SEC lawyer
More information...