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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 a senior representative of the SEC's Division of Investment Management.

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.






SEC Regulation Outside the United States, 31st May 2012
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The 15th annual SEC Regulation Outside the United States, explores the effects of the credit crisis, the SEC?s response and how the SEC regulates capital markets. A faculty of current and former senior SEC officials, non-US regulators and distinguished industry leaders will guide you through the developments that have had an incalculable impact on the world?s markets and the 'real economy' and the SEC's role in this.

The world remains seized by the credit crisis: how are the SEC and other regulators responding?

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.

Download the 2010 brochure