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The 8th annual 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.

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.

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Solicitors Regulation Authority: CPD - 7 hours 30 minutes
New York and California: CLE - 9 hours
Hong Kong Law Society accreditation applied for

08.30 - Registration

09.00 - Opening Remarks
Mark Berman, CEO, CompliGlobe

09.05 - Keynote Address
Alexa Lam, Deputy CEO, HK Securities and Futures Commission

09.30 - Panel Discussion: Public Offerings and Private Placements
Paul Dudek, Chief, Office of International Corporation Finance, US Securities & Exchange Commission
Joe Bauerschmidt, Counsel, Jones Day
Jonathan Stone, Partner, Skadden Arps

10.30 - Morning Coffee Break

10.45 - Panel Discussion: Continuing Obligations and XBRL
Paul Dudek, Chief, Office of International Corporation Finance, US Securities & Exchange Commission
Matthew Bersani, Partner, Shearman & Sterling
Alexander Mackintosh, Partner, Ernst & Young

12.00 - Lunch

13.00 - Regulators Panel
Paul Dudek, Chief, Office of International Corporation Finance, US Securities & Exchange Commission
Robert Plaze, Associate Director, Division of Investment Management, US Securities & Exchange Commission
Amarjeet Singh, Chief General Manager, SEBI Northern Regional Office
14.00 - Panel Discussion: Funds, Hedge Funds & Advisers
Robert Plaze, Associate Director, Division of Investment Management, US Securities & Exchange Commission
Mark Berman, CEO, CompliGlobe
Stephen Po, Senior Director and Head of Intermediaries, HK Securities and Futures Commission
Lorna Chen, Counsel, Shearman & Sterling
15.00 - Afternoon Coffee Break

15.15 - Workshop Sessions: Intensive discussions with SEC Staff and Speakers

16.15 - Panel Discussion: Cross-Border Regulation and Enforcement
Mark Berman, CEO, CompliGlobe
Len Jui, Partner, KPMG
Mark Steward,Executive Director Enforcement, HK Securities and Futures Commission

17.15 - Closing Remarks and End of conference



Workshop: SEC Basics, 23rd March 2010
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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.