SEC Regulation conference + workshops

The U.S. Securities and Exchange Commission is continuing to adopt new rules and bring enforcement actions. Dodd-Frank may be nearly three years old, but its repercussions and the impact of the JOBS Act, FCPA and insider trading cases and actions against accountants and others continues to shape how financial services firms conduct business with the U.S. markets. Swaps regulation and CFTC registration is upon us. The SEC has a new chair: what will her priorities be?

Now in its 11th year, SEC Regulation Outside the United States, the only event of its kind in the world, is designed to brief European financial services practitioners how the SEC administers and enforces the U.S. securities laws – and what they mean to you. A distinguished faculty of more than 10 current and former SEC officials and other regulatory experts guide you through the nuances of current and pending U.S. regulation and legislation.
Please contact us directly at bookings@investoregulation.com to take advantage of our 3rd delegate goes free offer

SEC Regulation Outside the United States conference - 2 December

SEC Basics workshop - 1 December

SEC Inspections & CCOs workshop - 3 December