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SEC Inspections & CCOs is led by Mark Berman of CompliGlobe Ltd., a former SEC lawyer who advises on SEC practice and international financial services regulation. It includes presentations by Robert Plaze, Associate Director for Regulation of the SEC's Division of Investment Management, and Kevin Goodman, Assistant Director of the SEC's Office of Compliance Inspections and Examinations. The workshop is suitable for those with little or no knowledge of the U.S securities laws, the SEC and the SEC’s rules and regulations.

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Mark Berman, CEO, CompliGlobe Ltd

Mark 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 was also a senior lawyer with the London Stock Exchange. Mark is the editor of and a contributor to "SEC Regulation Outside the United States" and "Hedge Funds and Prime Brokers", and wrote "An Introduction to Hedge Funds". Mark is a Trustee Emeritus of the SEC Historical Society.


Kevin Goodman, Assistant Director, OICE, US Securities & Exchange Commission
Bio to follow

Robert Plaze, Associate Director, Division of Investment Management, US Securities & Exchange Commission
His responsibilities include the development of policy and rulemaking under the Investment Company and the Investment Advisers Acts. He has been a member of the Commission staff for more than 20 years during which he has held several positions of responsibility in the Division. He has twice been the recipient of the Commission's Law and Policy Award.



SEC Regulation Outside the United States, 10th June 2010
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The 14th 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.

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Workshop: SEC Basics, 9th June 2010
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SEC Basics is an intensive, interactive workshop that examines the workings and structure of the U.S. Securities and Exchange Commission, the U.S. securities laws and the SEC’s rules and regulations. The workshop is suitable for those with little or no knowledge of the U.S securities laws, the SEC and the SEC’s rules and regulations.