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.

Hong Kong: 24th March 2010
Programme | Speakers | Sponsors & Partners | Venue | Register
8th annual conference featuring speakers from the US Securities & Exchange Commission, Hong Kong Securities & Futures Commission, the Indian regulator SEBI and more.
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London: 10th June 2010
Programme | Speakers | Sponsors & Partners | Venue | Register
14th annual conference featuring speakers from the US Securities & Echange Commission, European regulators and more.
Download 2009 brochure


Key discussion points will include:
• Public offerings have all but dried up. How are non-US issuers accessing the US markets?

• Sweeping enforcement actions were taken against fraud and manipulation, and auction rate securities misselling: how did these address credit crisis concerns?

• Stock prices continue to fall. Volumes are down. A money market fund “broke the buck.” Short selling restrictions were introduced. Dark pool trading is back. Credit rating agencies are receiving enhanced scrutiny. How will the markets respond?

• Hedge funds face massive redemptions and losses. Prime brokers have disappeared or are becoming banks. Sources of funding to leverage are drying up. How can hedge funds be protected – will they disappear?

• What will the SEC look for in MD&A disclosure about the credit crisis and demands on liquidity?

• The SEC has proposed to amend Rule 15a-6, the broker-dealer exemption: will this help or hurt the solicitation of US investors?

• Where does the SEC stand on the IFRS-US GAAP roadmap?

• The SEC is stepping up its inspection of non-U.S. investment advisers and broker dealers and issued cautionary guidance on 2 December: what does this mean to you?

• What is driving the increasing numbers of SEC enforcement actions concerning non-U.S. persons?

Solicitors Regulation Authority: CPD - 7 hours 30 minutes

New York and California: CLE - 9 hours

Hong Kong Law Society accreditation applied for


Who should attend SEC Regulation Outside the United States?
• Non-U.S. issuers of securities and ADRs
• Hedge Fund Managers
• Brokers
• Compliance Officers
• Legal Advisors
• Corporate Secretaries
• Corporate Financiers
• Finance Directors
• Financial Services Advisors
• Fund Managers
• Prime brokers
• Exchange officials
• Investor Relations Managers
• Regulators
• Pension Fund Managers