Welcome to SEC Regulation Outside the United States 2025

Gain a thorough understanding of SEC regulation

All change at the SEC under new Chairman Paul Atkins. The SEC has convened the Crypto Task Force to regulate digital currencies. Comments are being reviewed on a Concept Release to define Foreign Private Issuer. Crypto enforcement actions are dwindling. A Cross-Border Task Force has been formed in the Division of Enforcement.

These topics, and others, are influencing how non-U.S. persons interact with U.S. clients and the U.S. markets. More is on the way.

Join us as we explore these and other cutting-edge U.S. regulatory issues in our 28^th annual conference, SEC Regulation Outside the United States, Monday and Tuesday, 1 and 2 December.

SEC Regulation Outside the United States and CCOs and SEC Examinations are the only events of their kind outside the United States. We offer you a thorough understanding of the complexities and nuances of U.S. financial services regulation and how SEC practice affects you.

This year, we feature presentations with five current and eight former SEC and FCA officials.

Book now and tailor your day according to your needs:

SEC Regulation Outside the United States (Monday, 1 December 2025 and Tuesday, 2 December 2025, 13:00 to 17:00 GMT) briefs non-U.S. financial services participants and practitioners on how the SEC administers and enforces the U.S. securities laws and the rules thereunder – and what this means to you. Current and former senior SEC officials and other regulatory experts guide you through the nuances of current and pending U.S. regulation and legislation.

CCOs and SEC Examinations (Wednesday, 3 December 2025, 13:15 to 1730 GMT) examines the responsibilities of investment adviser Chief Compliance Officers and explores what is involved in a compliance program, an annual review and an SEC examination.

______________________

This half day workshop examines the responsibilities of Chief Compliance Officers and explores what is involved in a compliance program, an annual review and an SEC examination of a non-U.S. investment adviser that is registered with the SEC.

CCOs and SEC Examinations will cover the following topics:

Registration and exemptions with the SEC
The legal and compliance requirements imposed on RIAs and ERAs
The role, responsibilities and liability of supervisors and Chief Compliance Officers
Written policies and procedures; controls for ERAs
Hot Topics: off-channel communications, the Marketing Rule, oversight, data protection, cybersecurity
What does the Division of Examinations do?
How does the SEC liaise with non-U.S. regulators?