Conferences

Introduction

Our flagship conferences are internationally recognised as being the essential way to gain access to top quality speakers who have an unparalleled knowledge of the U.S. regulatory regime.

Transactions outside the United States do not necessarily escape the reach of U.S. financial services regulation. The SEC scrutinises global activities such as public offerings and private placements with U.S. tranches, takeovers where the targets have U.S. shareholders, trading by non-U.S. companies in U.S. securities and certain activities of non-U.S. investment managers. It co-operates with non-U.S. regulators and takes enforcement action when and as required. 

More than 1,200 non-U.S. companies are registered and file reports with the SEC, a figure that has remained relatively constant in the early days of foreign private issuer deregistration. Hundreds of others use an “information supplying exemption” to furnish the SEC with information, away from continuing obligation requirements – and Sarbanes-Oxley. Tens of thousands of non-U.S. persons, companies, funds and advisers trade U.S. securities.  U.S. companies place their securities with non-U.S. subsidiaries and investors.  Non-U.S. exchanges share information with their U.S. counterparts directly and through the Intermarket Surveillance Group – they, in turn, share information with the SEC and other regulators.

We currently run our conferences in London and Hong Kong annually. Each conference provides the opportunity to attend a choice of two workshops. You can also read more about our previous conferences so that you can see how people benefited from participating.

Between conferences, InvestoRegulation are also available to provide consultancy and bespoke training to clients and would be happy to advise you about how we can assist with any needs you may have.

Please do look at our upcoming conferences below and if you have any questions we'd be happy to help.