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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.

The 15th annual 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.

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

The 2012 programme will be published in early 2012. In the meantime you can download last year's brochure

Last year's programme SEC Regulation Outside the US:

08.15 - Registration

08.55 - Chairman's Introduction
John White, Partner, Cravath, Swaine & Moore - Conference co-chair
Mark Berman, CEO, CompliGlobe - Conference co-chair

09.00 - Keynote Address
Elisse Walter, Commissioner, US Securities & Exchange Commission

09.20 - Being a Public Company in 2010: Governance, Disclosure and Shareholder Relations
•Corporate governance trends
•ISS voting recommendations for non-U.S. companies
•Activist shareholders
•Implications for deal activity of accounting convergence and the U.S.'s possible move toward IFRS
•Executive compensation (remuneration)
•Risk oversight and management
•SEC reporting obligations for foreign private issuers
•Disclosure hot buttons – MD&A, Form 20-F developments, non-GAAP financial measures, risk, liquidity
Elisse Walter, Commissioner, US Securities & Exchange Commission
Patricia McConnell, International Accounting Standards Board
James Palmer, Partner, Herbert Smith
Richard Kosnik, Partner, Jones Day
John White, Partner, Cravath, Swaine & Moore

10.55 - Morning Coffee Break

11.10 - Capital Transactions in 2010: Considerations for Deal Lawyers
•Trends with cross-border M&A
•Rights offerings
•Private offerings
•Credit ratings, rating agencies, and debt offerings in 2010
Mauri Osheroff, Associate Director, Division of Corporation Finance, US Securities & Exchange Commission
Richard Price, Partner, Shearman & Sterling
Scott Simpson, Partner, Skadden Arps
William Underhill, Partner, Slaughter & May

12.15 - Lunch

13.15 - Regulator's Keynote
Dan Waters, Director - Conduct Risk, UK Financial Services Authority

13.35 - Hedge Funds and the Changing US Regulatory Landscape
Barry Barbash, Partner, Willkie Farr
Robert Plaze, Associate Director, Division of Investment Management, US Securities & Exchange Commission
Dan Waters, Director - Conduct Risk, UK Financial Services Authority

Mark Berman, Principal, CompliGlobe

15.00 - Afternoon Coffee Break

15.15 - The Markets and Risk
Michael Blane, Director, Joint Money Laundering Steering Group
Kevin Goodman, Assistant Director, OICE, US Securities & Exchange Commission
Linda Sundberg, Senior Special Counsel, Division of Trading & Markets, US Securities & Exchange Commission

16.15 - Regulation and Enforcement
Scott Friestad, Deputy Director, Division of Enforcement, US Securities & Exchange Commission
Colleen Mahoney, Partner, Skadden Arps
Linda Thomsen, Partner, Davis Polk

17.15 - Concluding Remarks and End of Conference


Workshop: SEC Basics, 30th May 2012
Programme | Speakers | Sponsors & Partners | Venue | Register
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.