Menu
  • SEC Regulation Outside the United States, Conference (19 June 2018)
  • SEC Basics, Workshop (18 June 2018)
  • SEC Examinations, Workshop (20 June 2018)

SEC Regulation Outside the United States, Conference

08:30 - 09:00

Registration and Coffee

Date: , Track:
09:00 - 09:20

Welcome and Opening Remarks from the Chair

Date: , Track:

09:20 - 10:20

Key Developments in Capital Formation, Disclosure and Financial Reporting

Date: , Track:

Representatives of the SEC will survey cutting edge issues involving cross border cooperation and the administration and enforcement of the US federal securities laws. Among other subjects, we will examine

  • The latest developments in M&A
  • What is on the horizon and what does it mean for SEC registered firms?
  • The landscape and the key players

 

10:20 - 10:40

Networking Coffee

Date: , Track:
10:40 - 11:40

The markets and SEC and CFTC developments

Date: , Track:

It has never been more important for legal and compliance professionals outside the United States to stay abreast of U.S. regulatory developments coming out of the SEC. This includes not only initiatives from the Division of Investment Management, which has oversight of funds and advisers, but also the Division of Trading and Markets, which oversees intermediaries, such as broker-dealers, exchanges, clearing houses, and others.

The panel, among other topics will cover:

  • Reg SHO, Reg M and Rule 10b-18
  • Blackstreet and 15(a) issues;
  • Future of soft dollars and research in the wake of MiFID II
  • SWAPS regulation
  • Cross border trading
  • Update on Dodd-Frank and market structure initiatives

11:40 - 12:40

Regulators Panel

Date: , Track:

A unique opportunity to "ask the SEC".

An expert panel of current SEC representatives is available to discuss and debate the latest in U.S. securities regulations - face-to-face with you

  • Sara Cortes Assistant Director, Investment Adviser Regulation Office - U.S. Securities and Exchange Commission
  • Pete Driscoll Director, Office of Compliance Inspections and Examinations - U.S. Securities & Exchange Commission
  • Scott Friestad Associate Director, Division of Enforcement - U.S. Securities & Exchange Commission
12:40 - 14:00

Networking Lunch

Date: , Track:
14:00 - 15:00

Compliance and Enforcement

Date: , Track:

This expert panel will examine SEC disclosure and other compliance mandates confronting non-US issuers listed in the U.S.  How far is the reach of the SEC. Update on the latest trends in SEC enforcement actions.

  • Trends in SEC enforcement actions
  • The reach of SEC jurisdiction
  • New and emerging regulation

  • Pete Driscoll Director, Office of Compliance Inspections and Examinations - U.S. Securities & Exchange Commission
  • Scott Friestad Associate Director, Division of Enforcement - U.S. Securities & Exchange Commission
  • Michael Mann Partner - Richards Kibbe & Orbe
  • Erich Schwartz Partner - Skadden Arps
15:00 - 15:15

Afternoon tea

Date: , Track:
15:15 - 16:15

Investment advisers, Funds and Hedge Funds

Date: , Track:

  • Sara Cortes Assistant Director, Investment Adviser Regulation Office - U.S. Securities and Exchange Commission
  • Bob Plaze Partner - Proskauer Rose LLP
  • Mark Berman CEO - Compliglobe
16:15 - 17:15

MiFID II and the SEC

Date: , Track:

Newly implemented MiFID II will affect everyone who deals in the European securities markets, and will have a pronounced effect across the international financial landscape

The SEC has issued three related no-action letters aiming to provide market participants with greater certainty and guidance regarding their U.S. regulated activities.