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Upcoming Events

SEC Basics, Workshop
14th October 2014, London

SEC Basics is an intensive, interactive workshop suitable for those with little or no knowledge of the U.S. securities laws, the SEC or the SEC’s rules and regulations. The workshop is led by Mark Berman, a former SEC lawyer who advises on SEC practice outside the United States and international financial services regulation
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SEC Regulation Outside the United States, Conference
London, 15 October 2014
The U.S. Securities and Exchange Commission is continuing to adopt new rules and bring enforcement actions. Dodd-Frank may be nearly three years old, but its repercussions and the impact of the JOBS Act, FCPA and insider trading cases and actions against accountants and others continues to shape how financial services firms conduct business with the U.S. markets. Swaps regulation and CFTC registration is upon us. The SEC has a new chair: what will her priorities be?
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SEC Inspections & CCOs, London
16th October 2014, London
SEC Examinations and CCOs  examines the responsibilities of Chief Compliance Officers and explores what is involved in a compliance programme, an annual review and an SEC inspection of a non-US manager that is registered with the SEC. SEC Examinations and CCOs includes presentations by Drew Bowden, Associate Director, of the SECs Office of Compliance Inspections and Examinations, Dan Kahl of the SEC’s Division of Investment Management and Mark Berman of CompliGlobe Ltd., a former SEC lawyer and CEO of CompliGlobe.
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