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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 Deputy Director of the Division of Investment Management of the US Securities and Exchange Commission.

Mark Berman, CEO, CompliGlobe

Mark Berman is the founder and a Principal of CompliGlobe Limited www.compliglobe.com. He advises and has advised Asian and European hedge funds, investment managers, banks and investment firms on U.S. and cross-border regulatory, compliance, training and AML matters. Mr Berman was a senior lawyer with the SEC’s Division of Corporation Finance and the Division of Market Regulation, where he worked on domestic and cross-border disclosure and trading practices issues, respectively. He has lectured on law and regulation at the London Business School, is the editor of and a contributor to “SEC Regulation Outside the United States” and “Hedge Funds and Prime Brokers”. He is the author of “Introduction to Hedge Funds”. Mr Berman is a Trustee of the SEC Historical Society.

Robert Plaze, Director of the Division of Investment Management, US Securities and Exchange Commission

Robert E. Plaze is Deputy Director of the Division of Investment Management of the US Securities and Exchange Commission. The Division is responsible for administering the securities laws regulating America’s $43 trillion investment management industry, including mutual funds, money market funds, exchange-traded funds, and advisers to institutional clients (such as pension funds and hedge funds) as well as individual clients. More specifically, on behalf of the Commission, the Division administers the Investment Company Act and the Investment Advisers Act of 1940.
Mr. Plaze has been a member of the Commission staff for 28 years during which he has held positions of significant responsibility. Most recently he has been responsible for preparing rules implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act affecting money managers, and amendments to rules governing the operation of money market funds. Mr. Plaze holds an AB (1978) and JD (1983) from Georgetown University and is a member of the District of Columbia Bar.




SEC Regulation Outside the United States, 26th October 2011
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Now in its 10th edition, InvestoRegulation, is proud to present the SEC Regulation outside the United States conference which will take place in Hong Kong on the 26th October 2011. The U.S. Securities and Exchange Commission is the world's largest financial regulator with a reach which extends far beyond its shores. Any non-U.S. entity which trades or invests in U.S. securities is subjected to the SEC regulations and therefore needs to be aware about the associated rules, responsibilities and any developments in this space.

Attend SEC Regulation Outside the United States and hear directly from key representatives at the SEC how they legislate and enforce US securities laws, and how these affect companies outside the US.

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