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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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Joe Bauerschmidt, Counsel, Jones Day
Joe Bauerschmidt has more than 15 years of capital markets experience, spanning more than 150 deals. Joe's principal focus has been on securities offerings in the public and private capital markets representing leading international investment banks as well as corporate issuers. Joe spent the first half of his career on Wall Street, where he completed more than 40 SEC-registered offerings and many high-yield debt offerings and refinancings. Since coming to Asia in 1997, Joe has worked on nearly one dozen proposed and completed Nasdaq IPOs and more than 35 complex high-yield financings.

Mark Berman, CEO, CompliGlobe
Mark Berman is the founder and a Principal of CompliGlobe Limited www.compliglobe.com. He advises and has advised Asian and European hedge funds, investment managers, banks and investment firms on U.S. and cross-border regulatory, compliance, training and AML matters. Mr Berman was a senior lawyer with the SEC’s Division of Corporation Finance and the Division of Market Regulation, where he worked on domestic and cross-border disclosure and trading practices issues, respectively. He has lectured on law and regulation at the London Business School, is the editor of and a contributor to “SEC Regulation Outside the United States” and “Hedge Funds and Prime Brokers”. He is the author of “Introduction to Hedge Funds”. Mr Berman is a Trustee of the SEC Historical Society.

Matthew Bersani, Partner, Shearman & Sterling
Based in the Hong Kong office, he specialises in corporate finance and securities transactions. Transactions in which he has been involved include privatisations, Rule 144A/Regulation S offerings, registered U.S. public offerings and dual listings in Hong Kong and New York. Among other distinctions, he has been included in Euromoney's Guide to the World's Leading Capital Market Lawyers.

Lorna Chen, Counsel, Shearman & Sterling
Lorna Chen is a counsel in the Global Asset Management Group of Shearman & Sterling. Her practice includes advising private investment funds, including private equity funds, hedge funds and funds of funds based in the United States, Asia and Europe, and their sponsors, advisors, underwriters and administrators in their global investments, including fund structuring and formation, negotiation with investors, as well as U.S. regulatory advice. Ms. Chen advises clients on a variety of other topics, including advising issuers and underwriters in capital markets, project finance and securitization transactions from the perspective of the U.S. Investment Company Act of 1940. In addition, Ms. Chen advises financial institutions on anti-money laundering law compliance issues. She was named in Chambers Global2010 for investment funds Asia-wide, and as a "Key Individual".

Paul Dudek, Chief, Office of International Corporation Finance, US Securities & Exchange Commission
Paul Dudek is Chief of the Office of International Corporate Finance at the U.S. Securities and Exchange Commission. As Chief, Mr. Dudek is responsible for overseeing the development and implementation of rulemaking initiatives and interpretive policies of the Commission pertaining to offerings by foreign and domestic issuers. Mr. Dudek's office serves as the central point of contact for foreign issuers that are planning to list their securities in the United States. Prior to joining the SEC, Mr. Dudek was an associate at the New York office of Cleary, Gottlieb, Steen & Hamilton, where his practice involved representing a wide range of foreign and U.S. companies and financial intermediaries in capital markets transactions. Mr. Dudek is the recipient of the SEC's Philip A. Loomis Award and has spoken extensively on matters relating to global securities offerings.

Len Jui, Partner, KPMG

Alexa Lam, Deputy CEO, HK Securities and Futures Commission
Alexa Lam is a member of the Board of the Hong Kong Securities and Futures Commission and the Executive Director of the SFC’s Intermediaries and Investment Products Division- The Division regulates and supervises financial market intermediaries (investment banks, brokers, asset managers and investment advisers), and authorises collective investments. Ms Lam has led numerous initiatives to develop the regulatory framework to enable new financial products, including Hedge Funds, to be introduced to retail investors in Hong Kong. Previously Ms Lam taught at the University of Hong Kong and was in private practice in New York and Hong Kong specialising in corporate commercial work and China investments.

Robert Plaze, Associate Director, Division of Investment Management, US Securities & Exchange Commission
Robert Plaze is the Associate Director for Regulation of the SEC’s Division of Investment Management. His responsibilities include the development of policy and rulemaking under the Investment Company and the Investment Advisers Acts. He has been a member of the Commission staff for more than 20 years during which he has held several positions of responsibility in the Division. He has twice been the recipient of the Commission's Law and Policy Award.

Stephen Po, Senior Director and Head of Intermediaries, HK Securities and Futures Commission
Stephen Po is a senior director of the Intermediaries and Investment Product Division of Securities and Futures Commission. He is also a director of Investor Compensation Company Limited, which is set up for the purpose of overseeing Investor compensation fund. Mr Po has primary responsibility for ongoing supervision of financial intermediaries engaged in securities futures business in Hong Kong.

Amarjeet Singh, Chief General Manager, SEBI Northern Regional Office
Amarjeet Singh is Chief General Manager with the Securities and Exchange Board of India (SEBI). Mr Singh heads the Office of International Affairs and Human Resource Development as well as working as an Executive Assistant to the Chairman of SEBI. Previously he was head of the Northern Regional Office of SEBI and has been closely involved with the committee on financial sector self-assessment of India. Mr Singh has been involved with various internal working groups set up by the Government of India for the G20 and FSB.

Mark Steward,Executive Director Enforcement, HK Securities and Futures Commission
Mark Steward is Executive Director, Enforcement Division at the SFC. Prior to joining the SFC, Mr. Steward held several senior positions with the Australian Securities and Investments Commission (ASIC) and was most recently Deputy Executive Director, Enforcement at ASIC. Mr. Steward has been involved in corporate and securities regulation since 1987 in both Australia and in the UK specialising in investigatory work and resulting litigation. Mr. Steward completed a law degree at the University of Melbourne in 1989. He has practiced extensively in Australian courts. Mr Steward is a member of the SFC (HKEC Listing) Committee and the Executive Committee.

Jonathan Stone, Partner, Skadden Arps



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.