Commissioner Elisse Walter and five senior SEC officials will survey pending US regulatory reforms and key SEC issues at the 14th annual conference, SEC Regulation Outside the United States.
Walter heads a distinguished conference faculty of five current and nine former SEC officials, Dan Waters of the FSA and leading industry experts. The conference, now in its 14th year in London and the only event of its kind in the world, explores US and SEC regulatory developments as they affect non-US persons. This faculty will analyse and guide conference attendees through the developments that are having an impact on the world’s markets, including US regulatory reform, hedge fund regulation, enforcement actions on insider trading and the Foreign Corrupt Practices Act and corporate governance and disclosure “hot topics”.
The Conference will take place on Thursday, 10 June, at the Copthorne Tara Hotel London, Scarsdale Place, Kensington, London.
Mark Berman, CompliGlobe ceo and the conference founder, says: “This conference brings key SEC officials and market participants together in a unique manner, something that no other event outside the United States does. It is the best, probably only means, to understand and discuss US regulatory developments.”
Michael Cole-Fontayn, executive vice president & ceo, BNY Mellon Depositary Receipts, comments: "The conference and its workshops are unique in the way that they provide insights on cutting edge regulatory changes in US markets. We believe that ongoing education is key to enabling intelligent and accurate dialogue with new and prospective DR issuers, as well as investors."
Faculty:
SEC officials
Elisse Walters, Commissioner
Mauri Osheroff, Associate Director, Division of Corporation Finance
Robert Plaze, Associate Director, Division of Investment Management
Scott Friestad, Associate Director, Division of Enforcement
Matt Daigler, Senior Special Counsel, Division of Trading & Markets
Kevin Goodman, Assistant Director, Office of Compliance Inspections and Examinations
Former SEC officials, regulators and industry experts
Dan Waters, Director of Retail Policy & Conduct Risk, Financial Services Authority
John White, Partner, Cravath, Swaine & Moore LLP
Linda Thomsen, Partner, Davis Polk
Barry Barbash, Partner, Willkie Farr
Mark Berman, CEO, CompliGlobe Ltd
Richard Kosnik, Partner, Jones Day
Colleen Mahoney, Partner, Skadden, Arps, Slate, Meagher & Flom
Michael Blane, Director, JMLSG
James Palmer, Partner, Herbert Smith
Scott Simpson, Partner, Skadden, Arps, Slate, Meagher & Flom
Richard Price, Partner, Shearman & Sterling
William Underhill, Partner, Slaughter & May
SEC Regulation Outside the United States agenda, 10 June, 2010:
08.15 – Registration
08.55 – Chairman’s Introduction
John White, Partner, Cravath, Swaine & Moore – Conference co-chair
Mark Berman, CEO, CompliGlobe – Conference co-chair
09.00 – Keynote Address
Elisse Walter, Commissioner, US Securities & Exchange Commission
09.20 – Being a Public Company in 2010: Governance, Disclosure and Shareholder Relations
Elisse Walter, Commissioner, US Securities & Exchange Commission
James Palmer, Partner, Herbert Smith
Richard Kosnik, Partner, Jones Day
John White, Partner, Cravath, Swaine & Moore
10.45 – Morning Coffee Break
11.00 – Capital Transactions in 2010: Considerations for Deal Lawyers
Mauri Osheroff, Associate Director, Division of Corporation Finance, US Securities & Exchange Commission
Richard Price, Partner, Shearman & Sterling
Scott Simpson, Partner, Skadden
William Underhill, Partner, Slaughter & May
12.15 – Lunch
13.15 – Regulator’s Keynote
Dan Waters, FSA
13.35 – Hedge Funds and the Changing US Regulatory Landscape
Barry Barbash, Partner, Willkie Farr
Robert Plaze, Associate Director, Division of Investment Management, US Securities & Exchange Commission
Dan Waters, FSA
Mark Berman, CEO, CompliGlobe
15.00 – Afternoon Coffee Break
15.15 – The Markets and Risk
Michael Blane, Director, JMLSG
Kevin Goodman, Assistant Director, OICE, US Securities & Exchange Commission
Matt Daigler, Division of Trading & Markets, US Securities & Exchange Commission
16.15 – Regulation and Enforcement
Scott Friestad, Deputy Director, Division of Enforcement, US Securities & Exchange Commission
Colleen Mahoney, Partner, Skadden Arps
Linda Thomsen, Partner, Davis Polk
17.15 – Concluding Remarks and End of Conference
* DerivSource is a media sponsor of this InvestoRegulation event. More information about this event is available at their website www.investoregulation.com/sec.html
