Welcome to SEC Regulation Outside the United States 2023

Gain a thorough understanding of SEC regulation

The SEC is regulating crypto and bitcoin through enforcement actions. It is proposing far-reaching custody rule amendments to “safeguard assets”. Proposals for ESG regulations for issuers and advisers and private fund disclosure proposals remain outstanding. The SEC fined 16 firms more than $1.1bn for record keeping failures for not keeping records from “off-channel communications” – WhatsApp messaging.The May 2024 deadline for T+1 settlement is forcing non-U.S. market participants to consider how to handle cross-border settlement issues in countries with T+2 settlement. Increasingly, firms are being sued for being unregistered brokers or dealers.

These topics, and more, 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 26th anniversary conference, SEC Regulation Outside the United States, Monday, 6 November 2023, in person in London.

SEC Regulation Outside the United States, is the only event of its kind in the world. 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 in person 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 6 November 2023, 8.30 am to 5.30 pm GMT) briefs non-U.S. financial services participants and practitioners on how the SEC administers and enforces the U.S. securities laws – 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 (Tuesday 7 November 2023, 9 am to 1.30 pm 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.