• SEC Regulation Outside the United States conference (5 November 2019)
  • SEC Examinations, Workshop (6 November 2019)
  • SEC Basics, Workshop (4 November 2019)

SEC Regulation Outside the United States, Conference

08:30 - 09:00

Registration and Coffee

Date: , Track:
09:00 - 09:05

Welcome and Opening Remarks from the Chair

Date: , Track:

09:05 - 09:25

Keynote Address

Date: , Track:
09:25 - 10:30

Key Developments in Capital Formation, Disclosure and Financial Reporting

Date: , Track:

This expert panel will discuss key developments in ICOs and bitcoin offering developments, the expanding definition of what is a security, changes in disclosure requirements for Foreign Private Issuers, private placements, disclosure implications of the new U.S. tax reform, M&A developments and cross-border accounting issues


10:30 - 10:50

Networking Coffee

Date: , Track:
10:50 - 11:50

The markets and SEC and CFTC developments

Date: , Track:

This expert panel will explore key SEC and CFTC trading and market developments as they are affecting UK and European firms and how they access U.S. markets and participants, including cross-border brokerage, swaps, trading in the bitcoin/cryptocurrency, equity, fixed income and derivatives space.

11:50 - 13:00

Regulators Panel

Date: , Track:

A unique opportunity to "ask the SEC".

A feature of this unique conference is this informal discussion by senior SEC officials on topics relevant to you – explore cryptocurrency, how the SEC views Brexit and MiFID II and other issues in a Q and A format

13:00 - 14:00

Networking Lunch

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14:00 - 14:15

U.S. regulatory developments – the effect on EU activity

Date: , Track:

Keynote address on how the  U.S. regulatory developments have had, and are having an impact upon EU activity, with a view to thoughts on Brexit

14:15 - 15:15

Compliance and Examinations

Date: , Track:

This expert panel will discuss compliance requirements for non-U.S. registered investment advisers, broker-dealers and companies accessing the U.S. markets, with an emphasis on having policies and procedures reasonably designed to prevent violations and how the SEC examines non-U.S. firms

15:15 - 15:30

Afternoon tea

Date: , Track:
15:30 - 16:30


Date: , Track:

This expert panel will survey SEC enforcement topics and trends, including insider trading, FCPA, accounting fraud, breach of fiduciary duty and focus on the 2018 Enforcement Priorities

16:30 - 17:30

Investment Advisers, and MiFID II

Date: , Track:
17:30 - 18:30

Drinks Reception

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