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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 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.

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Solicitors Regulation Authority: CPD - 7 hours
New York and California: CLE - 8 hours 20 minutes
Hong Kong Law Society accreditation applied for

SEC Regulation Outside the United States - 2011 Programme:

08.15 - Registration and Coffee

09.00 - Chairman's Opening Address

Mark Berman, CEO, CompliGlobe (Asia) Ltd.

09.10 - Keynote Address:

Alice Law, Senior Director of Policy, China &Investment Products, HK Securities and Futures Commission

09.30 - The biggest regulatory change since the 1930s - An overview of the Dodd-Frank Act

• A look at the main components of Dodd-Frank and activities throughout 2011
    o Registration, exemptions and provisions for non-U.S. advisers
    o The proposed asset-backed security disclosure requirements
    o Swap data repositories and real time reporting
    o ‘Say on pay’ and proxy vote reporting
    o Other SEC changes
• Understanding the role of the new Financial Stability Oversight Council
• Proposed timelines for the implementation of the updated regulations

Len Jui,Partner, KPMG
Mauri Osheroff, Associate Director, Division for Corporation Finance, US Securities and Exchange Commission
Jonathan Stone,Partner, Skadden Arps
Moderated by Mark Berman

10.30 - Morning Break

10.45 - Implementing corporate finance practices in 2011 – a way forward

This expert panel will review the major developments that will affect non-U.S. issuers. Learn about how corporations and market participants can ensure that they are compliant with SEC requirements. Updates will include:
• IPO and secondary offerings: New trends in transaction structure and disclosure
• SEC reviews of foreign listed companies at registration and for ongoing requirements
• M&A activities involving U.S. listed firms

Len Jui,Partner, KPMG
Mauri Osheroff, Associate Director, Division for Corporation Finance, US Securities and Exchange Commission
Matthew Bersani, Partner, Shearman & Sterling
Moderated by Len Jui

11.45 - Regulators Panel:

Round table discussion with international regulators

Mauri Osheroff, Associate Director, Division for Corporation Finance, US Securities and Exchange Commission
Robert Plaze, Associate Director, Division of Investment Management, US Securities and Exchange Commission
Alice Law, Senior Director of Policy, China &Investment Products, HK Securities and Futures Commission
Amarjeet Singh, Office of International Affairs, Securities and Exchange Board of India
Moderated by Mark Berman

12.30 - Lunch

13.30 - Welcome back

Len Jui, Partner, KPMG

13.40 - Corporate governance and accounting

• An update on the Work Plan for Global Accounting Standards and its impact on foreign private issuers
• The convergence of US GAAP and IFRS – where do we stand?
• Practical suggestions to manage more than one set of standards
• Recent PCAOB regulatiory focus on Audit Firms providing audit services in China, and its pursuit of joint inspection with PRC regulators
• The SEC’s view on China’s unique transaction structures
• Recent SEC hot accounting topics and review comments on financial statements of foreign private issuers

Len Jui, Partner, KPMG
Mauri Osheroff, Associate Director, Division for Corporation Finance, US Securities and Exchange Commission
Moderated by Len Jui

14.40 - Hedge funds and investment managers

• Registration, exemptions and provisions for non-US advisers
• Inspections and compliance programs for non-US firms

Robert Plaze, Associate Director, Division of Investment Management, US Securities and Exchange Commission
Lorna Chen, Partner, Shearman & Sterling
Angelina Kwan, Managing Director, Stratford upon Avon Finance Limited
Moderated by Mark Berman

15.40 - Afternoon Break

16.00 - Understanding the SEC’s enforcement program

• Strategies to ensure that your organisation is well prepared for any planned inspections
• Avoiding liability through the Foreign Corrupt Practices Act
• Understanding the impact of the Morrison Case and expanded jurisdiction
• AML and actions and interventions from the OFAC

Philip Thomas, Director Asia, CompliGlobe (Asia) Ltd.
William McGovern, Partner, Kobre & Kim
Mark Steward, Executive Director, Enforcement, HKSFC
Moderated by Mark Berman

17.00 - Breakout sessions with SEC speakers and industry speakers

17.45 - Closing Remarks and End of conference

Workshop: SEC Basics, 25th October 2011, Hong Kong
Programme | Speakers | Sponsors & Partners | Venue | Register
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 either new to the field or who would like to develop a greater understanding of U.S. securities regulation.


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