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Programme in Hong Kong

08.15 Registration and Coffee
09.00 Conference Welcome
09.15 Thriving (and Surviving) as a Public Company – What Lies Ahead This expert panel will examine SEC disclosure, financial reporting and other compliance mandates confronting non United States issuers listed in the U.S, as well as related accounting and auditing developments. Topics addressed will include:

  • New personnel and new priorities at the SEC
  • Disclosure effectiveness project and its potential short- and long-term impacts
  • Being a foreign private issuer reviewed by the SEC today: recent focus points for SEC comments (from expanding the dialogue on your segments to non-GAAP measures to impairments to IFRS reviews)
  • IFRS, U.S. GAAP and today’s accounting and financial reporting challenges
  • Auditing matters: the view from the PCAOB
  • Continued spillover of new Dodd-Frank executive compensation disclosures and clawback requirements

Barbara Jacobs, Assistant Director, Division of Corporation Finance, SEC
Frances Duan, Partner, KPMG China
Gerald DiFiore, Partner, Reed Smith
Jonathan Stone, Partner, Skadden Arps

10.35 Morning Coffee Break
11.00 Challenges (And Pitfalls) of Raising Capital Today – The Public and Private Markets This expert panel will review the major developments affecting capital raising in the U.S. public and private markets, as well as cross-border merger and acquisition transactions involving both non-U.S. issuers and U.S. issuers. Key issues today for shareholder relations will also be explored. Topics addressed will include:

  • Hot topics for U.S. and Asian public offerings; Using the JOBS Act reforms
  • General solicitation ban for private offerings ends: How has it worked so far? What about adoption of the SEC’s accompanying proposals?
  • Cross-border M&A activity – what did we see in 2014 and what do we expect in 2015? Changing regulatory environment.
  • Corporate governance matters remain in the hot seat!
  • The voices of shareholders get louder

Barbara Jacobs, Assistant Director, Division of Corporation Finance, SEC
Gerald DiFiore, Partner, Reed Smith
Matthew Bersani, Partner, Shearman & Sterling

12.15 Lunch
13.15 Regulators Panel. Representatives of the SEC, SFC and SEBI will discuss cutting-edge issues involving how regulators cooperate with each other in information sharing, cross border cooperation and the administration and enforcement of the U.S. federal securities laws.Barbara Jacobs, Assistant Director, Division of Corporation Finance, SEC
Alexa Lam, Deputy CEO, HK SFC
Amarjeet Singh, Director of International Affairs, SEBI
Sarah Buescher, Associate Director, Division of Investment Management, SEC
Jane Jarcho, Associate Director, Office
of Compliance Inspections and Examinations, SEC
14.00 The Markets, and SEC and CFTC Developments Market developments have continued to draw significant attention. This panel will review developments (and what is to come) in these areas:

  • Rule 15a-6 and selling the securities of non-U.S. issuers to U.S. residents
  • Security-based and non-security-based swaps regulation
  • Flash trading, dark pools and market structure developments
  • What the SEC and CFTC expect from non-U.S. market participants

Mark Berman, CEO, CompliGlobe (Asia) Ltd
Amarjeet Singh, Director of International Affairs, SEBI

Angelina Kwan, Head of Global Equities Compliance, CLSA

15.00 Afternoon Tea
15.15 Funds, Hedge Funds and Investment Managers – and FATCA This expert panel, including three current and former senior SEC, provides insights and commentary on key issues facing non-U.S. money managers

  • Applicability of the Advisers Act to non-U.S. advisers
  • SEC compliance expectations: what you must do
  • Monitoring and testing
  • What to do when the SEC examines you
  • FATCA

Sarah Buescher, Associate Director, Division of Investment Management, SEC
Mark Berman, CEO, CompliGlobe
Angelica Kwan, Partner, PwC, Hong Kong

16.15 Compliance, FCPA and Enforcement. This panel will explore how the SEC cooperates with non-U.S. regulators in the enforcement of the U.S. federal securities laws outside the United States, featuring these topics:

  • The “jurisdictional reach” of the U.S. federal securities laws
  • SEC compliance expectations: the ramifications of getting it wrong
  • Enforcement trends
  • Key enforcement actions in insider trading, FCPA, accounting fraud and false and misleading disclosure
  • SFC enforcement initiatives

Jane Jarcho, Associate Director, Office of Compliance Inspections and Examinations, SEC
Mark Steward, Director of Enforcement, HKSFC

17.15 End of Conference