London 2009
Conference Overview - SEC Regulation Outside The United States-
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The 13th Annual Conference - Thursday 12 March 2009 - The America Square Conference Centre, London
SEC Regulation Outside the United States is the only forum to examine the U.S federal securities laws and the rules and regulations of the U.S. Securities and Exchange Commission as they apply outside the United States.
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• The Credit Crisis: how are the SEC and other regulators responding to this?
• Are non-US issuers returning to the US markets and seeking listings?
• Sarbanes-Oxley: has the new Section 404 management guidance on internal control
over financial reporting and PCAOB AS 5 reduced burdens on management?
• Will proposals on mutual recognition for exchanges and broker dealers
facilitate cross border trading and brokerage?
• What is the impact of foreign private issuer deregistration?
• Will the new rules and guidance end the need for IFRS-US GAAP reconciliations?
• Proposals will permit more companies to sell securities in shelf offerings: will these
reduce the costs to raise capital?
• Requirements to sell restricted securities have been relaxed: how will this affect
non-US holders of restricted securities?
• The SEC is stepping up its inspection of non-U.S. investment advisers and broker
dealers: what does this mean to you?
• What is driving the increasing numbers of SEC enforcement actions concerning
non-U.S. persons?
• Might the SEC regulate hedge funds?
If you work in or are considering involvement with any aspect of the U.S. markets, it is vital to know how the U.S system works and to keep pace with development in U.S securities laws and SEC rules.
SEC Regulation Outside the United States provides you with an unrivalled opportunity to discover first-hand the scope and practical implications of U.S. laws and SEC rules from the people who draft, administer and enforce them.
SEC Basics (a one day workshop) is aimed at practitioners who are new to the field or those who wish to develop a greater understanding of the core issues of regulation in the U.S. securities markets.
SEC Inspections and CCO's (a half day workshop)
SEC Inspections & CCOs, examines the responsibilities of Chief Compliance Officers, and explores what is involved in a compliance programme, and an annual review and an SEC inspection for a non-U.S. manager that is registered with the SEC.
| Pricing (excluding VAT) | ||
| SEC Regulations Outside the US | £660 |
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| SEC Basics | £399 |
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| SEC Inspections & CCO's | £250 |
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| Conference & one workshop | £825 |
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| Conference & both workshops | £1100 |
For group bookings please contact us
