SEC Basics is an intensive, interactive workshop that examines the workings and structure of the US Securities & Exchange Commission, the US securities laws and the SEC's rules and regulations. This workshop is suitable for those with no or limited knowledge of the US securities laws, the SEC and the SEC’s rules and regulations.

Due to the extraodrinary conditions in the market and the adoption of rules to implement the Dodd-Frank Act, SEC Basics in Hong Kong on 25th October 2011 will concentrate on issues relevant to foreigh private issuers in Asia and the new exemptions from registration under the US Investment Advisers Act of 1940.

The workshop is led by Mark Berman of CompliGlobe (Asia) Ltd, a former SEC lawyer who advises on SEC practice and international financial services regulation. He will be joined by Robert Plaze, Deputy Director of the SEC's Division of Investment Management.

London: 30th May 2012
Programme | Speakers | Sponsors & Event Partners | Venue | Register
The SEC Basics workshop is held in conjuction with InvestoRegulation's 15th annual conference featuring speakers from the US Securities & Exchange Commission, European regulators and more.
Full details for SEC Basics 2012 in London will be published in early 2012 - in the meantime, please download last year's brochure

Hong Kong: 25th October 2011
Programme | Speakers | Sponsors & Event Partners | Venue | Register
The SEC Basics workshop is held in conjunction with InvestoRegulation's 10th annual conference featuring speakers from the US Securities & Exchange Commission, Hong Kong Securities & Futures Commission, the Indian regulator SEBI and more.
Download brochure

SEC Basics 2012 will cover:

• The SEC
• Offerings and private placements
• Continuing obligations and Sarbanes-Oxley
• Liability
• The Markets and Marketing securities to US persons
• Advisers Act rgistration and the New SEC Exemptions from Registration

Solicitors Regulation Authority: CPD - 7 hours 30 minutes
New York and California: CLE - 9 hours
Hong Kong Law Society accreditation applied for

Why should you attend SEC Regulation Outside the United States and SEC Basics?

Transactions outside the United States are not necessarily beyond US financial services regulators' reach. The SEC makes a habit of scrutinising global activities - such as public offerings, private placements and takeovers - where there is US investor involvement. The regulator also keeps a close eye on non-US companies trading in US securities adn the activities of certain foreign investment managers. the SEC actively cooperates with its global counterparts and takes enforement action where appropriate.
Approximately 1,500 non-US companies are SEC-registered and file reports with the regulator. That figure has remained relatively constant even in the early days of foreign private issuer deregistration. Hundreds of other entities furnish the SEC with information supplying exemption. They are free from continuing obligation requirements and Sarbanes-Oxley.
As the world's largest financial market, tens of thousands of non-US persons, investors, companies and advisers trade in US securities. Globally, exchanges share information.

Who should attend SEC Regulation Outside the United States and SEC Basics?

With its unique format addressing financial regulatory issues within the region, this event is of interest to senior level professionals including:
• Brokers
• Chief Financial Officers
• Company Secretaries
• Compliance Officers
• Corporate Financiers
• Dealers
• Exchange Officials
• Finance Directors
• Financial Services Advisers
• Fund Managers
• General Counsels
• Hedge Fund Managers
• Investment Advisers
• Investment Relations Managers
• Legal Advisers
• Managing Directors
• Mutual Fund Managers
• Non-U.S. issues of securities and ADRs
• Pension Fund Managers
• Regulators
• Securities Exchanges
• Vice Presidents