The US financial services industry is in the midst of the biggest regulatory shake up since the 1930s. Is your business ready for it? Are you?

From understanding Dodd-Frank and the Foreign Corrupt Practises Act to learning the new rules for investment advisers, there is a lot of work to be done. Firms need to understand and comply with the new rules and regulation to avoid the risk of steep fines or even prosecution.

SEC Regulation Outside the United States, the only event of its kind, is designed to educate non-US financial services practioners about how regulatory developments from the SEC and other US bodies impact them. A distinguished faculty of current and former SEC officials and other regulatory experts will guide you through the nuances of current and pending US regulation. These experts will also answer your questions about how to best meet the challenges of the fuild US regulatory environment.

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.

London: 31st May 2012
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15th annual conference featuring speakers from the US Securities & Exchange Commission, European regulators and more. The U.S. Securities and Exchange Commission is the world's largest financial regulator with a reach which extends far beyond its shores. Any non-U.S. entity which trades or invests in U.S. securities is subjected to the SEC regulations and therefore needs to be aware about the associated rules, responsibilities and any developments in this space.
Full details for SEC Regulation Outside the United States 2011 in London will be published in February 2012 - in the meantime, please download the 2010 brochure

Hong Kong: 26th October 2011
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Now in its 10th edition, InvestoRegulation, is proud to present the SEC Regulation outside the United States conference which will take place in Hong Kong on the 26th October 2011. The U.S. Securities and Exchange Commission is the world's largest financial regulator with a reach which extends far beyond its shores. Any non-U.S. entity which trades or invests in U.S. securities is subjected to the SEC regulations and therefore needs to be aware about the associated rules, responsibilities and any developments in this space.
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Topics for discussion include:

• The best way for non-US advisers to respond to new registration exemptions in the Advisers Act

• The SEC's changing attitude to audits by Chinese foreign private issuers

• The impact of the Tenaris case, the first-ever FCPA deferred prosecution, on foreign private issuers

• How to prepare for the shortened filing period for annual reports on form 20-F

• How Dodd-Frank corporate governances issues will affect Asian companies

• The impact of derivatives rule making on Asian markets

• Will the SEC adopt a uniform fiduciary duty rule for brokers and advisers?

Plus, do not miss the chance to brush up on your SEC Basics through our one day workshop on the 25th October 2011. Run by ex-SEC Lawyer and expert advisor Mark Berman of CompliGlobe Ltd, this workshop is aimed at practitioners who are new to the field or those wishing to develop a greater understanding of US securities regulation. This is a one day intensive introduction to the SEC and US securities laws as they affect YOU outside teh US.

Solicitors Regulation Authority: CPD - 7 hours

New York and California: CLE - 8 hours 20 minutes

Hong Kong Law Society accreditation applied for

Why should you attend SEC Regulation Outside the United States and SEC Basics?

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 adn 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 and SEC Basics?

With its unique format addressing financial regulatory issues within the European and Asian regions, this event is of interest to senior level professionals including:
• Non-U.S. issues 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