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The US Congress is adopting sweeping amendments to the federal securities laws. Non-U.S. money managers seeking to enter the U.S. markets will 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.

The 14th annual 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.

Download the 2010 brochure

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

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, 9th June 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.


Workshop: SEC Inspections & CCO's, 11th June 2010
Programme | Speakers | Sponsors & Partners | Venue | Register
SEC Inspections & CCOs is an intensive, interactive half day workshop that looking at the responsibilities of Chief Compliance Officers and explores what is involved in a compliance programme, an annual review and a SEC inspection for a non-U.S. manager that is registered with the SEC.