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?
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., 15 October 2014, London
- 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 – Read more ..
Associate Director, Chief Counsel and Chief Ethics Officer of the Office of Compliance, Inspections and Examinations
Associate director, Division of Corporation Finance
Scott W. Friestad
Associate Director and Special Advisor to the Director, Division of Enforcement
Assistant Director, Division of Investment Management
Plus many more speakers.
Read their bios
One Ropemaker Street
London EC2Y 9SS
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
• Compliance Officers
• Legal Advisers
• Corporate Financiers
• Company Secretaries
• Fund Managers
• Prime Brokers
• Exchange Officials
• Finance Directors
• Financial Services Advisers
• Investment Relations Managers
• Managing Directors
• Pension Fund Managers
• Securities Exchanges