The U.S. Securities and Exchange Commission is continuing to adopt new rules and bring enforcement actions. Dodd-Frank may be nearly three years old, but its repercussions and the impact of the JOBS Act, FCPA and insider trading cases and actions against accountants and others continues to shape how financial services firms conduct business with the U.S. markets. Swaps regulation and CFTC registration is upon us. The SEC has a new chair: what will her priorities be?

SEC Regulation Outside the United States is designed to brief Asian financial services practitioners how the SEC administers and enforces the U.S. securities laws – and what it means to you. A distinguished faculty of current and former SEC officials and other regulatory experts guide you through the nuances of current and pending U.S. regulation and legislation. This is a hands-on conference, the only event of its kind in the world.

Confirmed speakers from the US Securities & Exchange Commission:

Carlo di Florio, Director, Office of Compliance Inspections and Examinations
Mauri Osheroff, Associate Director, Division of Corporation Finance
Matt Daigler, Special Counsel, Division of Trading & Markets
Tram Nguyen, Division of Investment Management, SEC

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Topics for discussion include:

• Corporate Finance in 2013 – a review of the major U.S. developments that affect non-U.S. issuers

• Continuing Obligations, Mergers and Acquisitions and Accounting and Auditing – a review of the major developments that will affect continuing obligations, cross-border M&A transactions and key accounting developments. The growing impact of shareholder activism and corporate governance reform will also be explored.

• The Markets, and SEC and CFTC Developments

• Regulators Panel

• Hedge Funds and Investment Managers – the new exemptions from Advisers Act registration, Form PF, large trader reporting

• Compliance & Enforcement - trends in SEC enforcement actions, the Foreign Corrupt Practices Act


PLUS don't miss the one-day pre-conference SEC Basics workshop on 11 March 2013 and the half-day post-conference SEC Inspections & CCOs workshop on 13 March 2013. Save when you register for the conference and workshop/s together!

CPD/CLE accreditation:

Solicitors Regulation Authority: CPD - 7 hours 30 minutes

New York and California: CLE - 7 hours 40 minutes

Why should you attend SEC Regulation Outside the United States?

Transactions outside the United States are not necessarily beyond US financial services regulators' reach. The SEC makes a habit of scrutinising global activities - such as public offerings, private placements and takeovers - where there is US investor involvement. The regulator also keeps a close eye on non-US companies trading in US securities and the activities of certain foreign investment managers. The SEC actively cooperates with its global counterparts and takes enforement action where appropriate.

Approximately 1,500 non-US companies are SEC-registered and file reports with the regulator. That figure has remained relatively constant even in the early days of foreign private issuer deregistration. Hundreds of other entities furnish the SEC with information supplying exemption. They are free from continuing obligation requirements and Sarbanes-Oxley.

As the world's largest financial market, tens of thousands of non-US persons, investors, companies and advisers trade in US securities. Globally, exchanges share information.

Who should attend SEC Regulation Outside the United States

• Non-U.S. issuers of securities and ADRs
• Hedge Fund Managers
• Brokers
• Compliance Officers
• Legal Advisers
• Corporate Financiers
• Company Secretaries
• Fund Managers
• Prime Brokers
• Exchange Officials
• Finance Directors
• Financial Services Advisers
• Regulators
• Investment Relations Managers
• Managing Directors
• Pension Fund Managers
• Securities Exchanges


Workshop: SEC Basics - Hong Kong, 11 March 2013
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.
The workshop is led by Mark Berman of CompliGlobe, a former SEC lawyer who advises on SEC practice and international financial services regulation.

SEC Inspections & CCOs - Hong Kong, 13 March 2013
SEC Inspections & CCOs examines the responsibilities of Chief Compliance Officers and explores what is involved in a compliance programme, an annual review and a SEC inspection for a non-US manager that is registered with the SEC. SEC Inspections & CCOs features presentations by Carlo di Florio, Director of the SECs Office of Compliance Inspections and Examinations, and Mark Berman, CEO of CompliGlobe and a former SEC lawyer.