• SEC Regulation Think-In 2020 - 15 and 16 September 2020

Welcome to SEC Regulation Outside the United States – ThinkIn 2021

Gain a thorough understanding of SEC Regulation Outside the United States.

A new SEC Chair, and new Division directors. Swaps and securities-based swap regulation. ESG trends and litigation. Climate change legislation. Fintech innovation and information security. Cryptoinvesting and legislation. Social media investing. 2021 Examination priorities. COVID-19. The new Advisers Act marketing rule. Handling investment adviser registrations post-moratorium. New FCPA priorities. Insider trading cases. A new private placement regime. SPAC Litigation.

These topics, and more, are influencing how non-U.S. persons interact with U.S. clients and the U.S. markets.

Join us online to gain a thorough understanding of SEC Regulation Outside the United States on 8 and 9 November 2021.

SEC Regulation Outside the United States, now in its 24th year, 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 your business. 

This year, we feature “Think-Ins” and “fireside chats” with key SEC officials.

Book now and tailor your day according to your needs:

SEC Regulation Outside the United States – ThinkIn 2021  8 and 9 November 2021, (1 to 5 pm each day) briefs European financial services practitioners on how the SEC administers and enforces the U.S. securities laws – and what it 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.

SEC Examinations (10 November 2021, 1.15 to 5.30 pm) 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.

“Nothing like it – more than value for money.  I will attend again next year!”

SEC Speakers