SEC Regulation Outside the United States

Event : SEC Regulation Outside the United States

Thu, 31/05/2012  
Conducted by : InvestoRegulation
Contact : Petra Johansson

 United States lawmakers and regulators continue to enact new rules and regulations that affect the financial services industry globally. The U.S.’s landmark Dodd-Frank Wall Street Reform Act might have been signed into law almost two years ago, but the ramifications of the ongoing rule-making and implementation process continue to influence how financial services firms conduct business. And there is more to come. 

 
The Volcker Rule is perhaps the element of Dodd-Frank that is the most controversial for both U.S. and foreign banks. It aims to ban so-called proprietary trading at U.S. banks and that will include foreign banks with U.S. prop trading operations. The ultimate influence this part of Dodd-Frank will have on foreign banks is unclear. For example, as currently drafted, the Volcker Rule could curtail non-U.S. banks’ ability to trade with subsidiaries of American companies even if the transactions occur outside the U.S. 
 
Dodd-Frank is far from the only concern for non-U.S. firms. The Foreign Account Tax Compliance Act (FATCA) is set to come into force in 2014, however if firms are not prepared for it already, they had better get started. The U.S. has aggressively gone after Swiss banks that helped wealthy Americans evade tax. Soon the U.S. Department of Justice will turn its attention to banks in other jurisdictions suspected of peddling tax evasion services. India, Singapore and Hong Kong are amongst the countries on their list. 
 
Dodd-Frank and FATCA may be grabbing all the headlines, but there are many more new regulations coming that will directly impact the way your firm conducts business. 
 
SEC Regulation Outside the United States is designed to educate non-U.S. financial services practitioners about what regulatory developments from the SEC and other U.S. bodies mean for them. A distinguished faculty of current and former SEC officials as well as many other regulatory experts will guide you through the nuances of current and pending US regulation. 
 
Attend SEC Regulation Outside the United States and hear directly from key representatives at the SEC how they legislate and enforce US securities laws, and how these affect companies outside the US. 
 
 
Confirmed speakers from the US Securities & Exchange Commission:
Mauri Osheroff, Associate Director, Division for Corporation Finance, US Securities and Exchange Commission 
Robert Plaze, Deputy Director, Division of Investment Management, US Securities and Exchange Commission
 Scott Friestad, Deputy Director, Division of Enforcement, US Securities & Exchange Commission
 Matt Daigler, Senior Special Counsel, Division of Trading & Markets, US Securities and Exchange Commission
 Andrew Bowden, Associate Director, Office of Compliance Inspections, US Securities and Exchange Commission
 
 


features
Special report
Cayman Islands Hedge Fund Services 2014

Cayman Islands Hedge Fund Services 2014

Fri, 19/12/2014 - 10:24

With service providers reporting growth in hybrid funds, funds for single investors and bespoke managed accounts, this report examines the regulations and new services being developed in Cayman to tackle the fast-changing offshore funds market... »

Article
Survey

Hedgeweek Global Awards 2015

Fri, 19/12/2014 - 09:11

Voting for the 6th edition of the Hedgeweek Global Awards is now open. The Awards will be presented at a lunch ceremony to be held in London. ... »

Special report
Hedge fund managed accounts 2014

Hedge fund managed accounts 2014

Tue, 09/12/2014 - 09:58

Read how managed accounts platforms are now catering to a wide spectrum of investor needs, from straightforward commingled funds to sophisticated infrastructure solutions for the largest institutional investors. And the rise of liquid alternatives means that onshore funds - UCITS, AIFs and '40 Act funds - are becoming just as popular as offshore funds... »

Article
Stack of US dollar bills

Global assets under management* of the private real estate industry have reached USD742bn, an all-time high for the industry, and up from USD697bn as of the end of 2013. Preqin’s Andrew Moylan takes a look at the latest stats on the industry. ... »

Article
S&P Capital IQ Special Report

In this report S&P Capital IQ examines how credit events can impact on the price of equities. The results are compelling. The report looks at the relationship between credit indicators and equity back-tested returns. ​ ... »

events
2 weeks 4 days from now - New Orleans
3 weeks 6 days from now - Boston
3 weeks 6 days from now - New York
4 weeks 3 days from now - New York
specialreports