The US Congress is adopting sweeping amendments to the federal securities laws. Non-U.S. money managers seeking to enter the U.S. markets may be required to register with the SEC. The SEC has strengthened its Enforcement and Inspections programs, and is bringing increasing numbers of insider trading and FCPA actions with more severe penalties. Foreign private issuers are for the first time disclosing fee arrangements with their depositaries. Systemic risk has become a feature of the U.S. regulatory landscape.

SEC Regulation Outside the United States, the only event of its kind, explores these and other U.S. and SEC regulatory developments as they affect non-U.S. persons. A distinguished faculty of six current and nine former senior SEC officials, non-US regulators and industry leaders will guide you through the developments that are having an impact on the world’s markets and help you understand what will be forthcoming from the U.S. Congress and the SEC this year.

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.
Download brochure

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 brochure


Key discussion points will include:
• The U.S. Congress is poised to adopt the Wall Street Reform and Consumer Protection Act of 2009. What will be the impact of increased regulation of non-U.S. hedge fund managers? How will this affect you?

• What is driving the increased numbers of insider trading enforcement actions against non-U.S. persons?

• Will the proposals to Rule 163 ease the way for non-U.S. issuers to access the U.S. markets?

• The SEC is proposing to regulate dark pools. What would this mean to non U.S. money managers?

• The Daimler enforcement action is the first of a new wave of FCPA cases. How robust is your FCPA and sanctions program?

• Risk management and oversight, MD&A, institutional investor activism and non-GAAP financial measures are the new “disclosure hot topics” – do your filings address and analyse these points?

Solicitors Regulation Authority: CPD - 6 hours 45 minutes

New York and California: CLE - 8 hours 45 minutes of which 1 hour 40 minutes is for ethics & professionalism and the balance for skills


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