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SEC Regulation Outside the United States, Conference

London, 29 September 2015

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.

SEC Regulation Outside the United States is designed to brief European financial services practitioners how the SEC administers and enforces the U.S. securities laws – and what it means to you. A distinguished faculty of current and former SEC officials and other regulatory experts guide you through the nuances of current and pending U.S. regulation and legislation. This is a hands-on conference, the only event of its kind in the world

SEC Regulation outside the U.S., June 2015, London

Topics for discussion include:

  • Thriving (and Surviving) as a Public Company – What Lies Ahead
  • Challenges (and Pitfalls) of Raising Capital Today – The Public and Private Markets
  • Regulations Panel
  • The Markets, and SEC and CFTC Developments
  • Funds, Hedge Funds and Investment Managers– and FATCA
  • Compliance, FCPA and Enforcement
    The Programme –
  speakers from the US Securities & Exchange Commission (2014 shown below):


Paula Drake
Associate Director, Chief Counsel and Chief Ethics Officer of the Office of Compliance, Inspections and Examinations

Sonia Barros
Associate director, Division of Corporation Finance

Scott W. Friestad
Associate Director and Special Advisor to the Director, Division of Enforcement

Dan Kahl
Assistant Director, Division of Investment Management

Plus many more speakers.
Read their bios

Simmons & Simmons
One Ropemaker Street
London EC2Y 9SS
United Kingdom.

W_SIM1RC   Simmons & Simmons is a leading international law firm with fully integrated teams working through offices in Europe, the Middle East and Asia, and brings experienced professionals to some of the most active growth markets today. Our focus on a small number of sectors means we are able to understand and respond to our clients’ needs, and we advise a number of the FTSE 100 and Fortune Global 500 companies. Our industry sectors are: Asset Management & Investment Funds, Energy & Infrastructure, Financial Institutions, Life Sciences and Telecoms, Media & Technology (TMT). We have a track record for innovation and delivering value to clients through new ways of working. Read more
Early Bird Rates available now until 15th September 2014
Save up to £200.
Book 3 delegates and the third delegate goes free for any single event.

Book now Online

CPD/CLE accreditation:

Solicitors Regulation Authority: CPD – 7 hours 30 minutes
New York and California: CLE – 7 hours 40 minutes

Why should you attend SEC Regulation Outside the United States?

Transactions outside the United States are not necessarily beyond US financial services regulators’ reach. The SEC makes a habit of scrutinising global activities – such as public offerings, private placements and takeovers – where there is US investor involvement. The regulator also keeps a close eye on non-US companies trading in US securities and the activities of certain foreign investment managers. The SEC actively cooperates with its global counterparts and takes enforement action where appropriate.

Approximately 1,500 non-US companies are SEC-registered and file reports with the regulator. That figure has remained relatively constant even in the early days of foreign private issuer deregistration. Hundreds of other entities furnish the SEC with information supplying exemption. They are free from continuing obligation requirements and Sarbanes-Oxley.

As the world’s largest financial market, tens of thousands of non-US persons, investors, companies and advisers trade in US securities. Globally, exchanges share information.

Who should attend SEC Regulation Outside the United States

• Non-U.S. issuers of securities and ADRs
• Hedge Fund Managers
• Brokers
• Compliance Officers
• Legal Advisers
• Corporate Financiers
• Company Secretaries
• Fund Managers
• Prime Brokers
• Exchange Officials
• Finance Directors
• Financial Services Advisers
• Regulators
• Investment Relations Managers
• Managing Directors
• Pension Fund Managers
• Securities Exchanges