Sign up for free newsletter

 

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
Article
Preqin Special Report: Hedge Fund Manager Outlook – Augst 2015

In this excerpt from Preqin Special Report: Hedge Fund Manager Outlook, we take a closer look at the level of competition in the industry today and use our latest survey results to reveal fund manager predictions for asset growth for the rest of 2015. ... »

Article
survey

The Preqin Special Report: Private Debt Fund Manager Outlook features exclusive survey results drawn from over 100 private debt fund managers worldwide. This extract discusses what fund managers have highlighted as the biggest issues facing the industry and their views on regulation. ... »

Special report
Cybersecurty for Hedge Funds

Cybersecurity for Hedge Funds

Thu, 30/07/2015 - 11:00

Cybersecurity is no longer simply an IT issue, it is now a business issue. This is the conclusion of the experts and fund managers around the world whose opinions were polled for this landmark Hedgeweek Special Report, which outlines Best Practices for Cybersecurity in a fast-changing environment where managers need to keep several steps ahead of cyber criminals... »

Article
EU Flag

Hedge fund manager outlook on the AIFMD

Wed, 22/07/2015 - 19:52

The introduction of the Alternative Investment Fund Managers Directive (AIFMD) into European law in 2013 was part of a series of moves towards greater regulatory oversight of the hedge fund industry in recent years. In our survey, we asked hedge fund managers for their views on the effect of these new regulations on the industry as well as their expectations about the impact of the AIFMD on their firm over the next 12 months, the results of which are analyzed in this extract from the Preqin Special Report: AIFMD in the Hedge Fund Industry – 2015 Update. ... »

Article
Ken MacCuish, Intralinks

A couple of years ago, the title Chief Information Security Officer, or CISO for short, was a foreign concept within the hedge fund community. The winds have changed, however, as hedge funds become increasingly targeted by cyber hackers, causing many to hire a CISO to uphold the network integrity of the firm.  ... »

Article
Sovereign Wealth Funds

Sovereign wealth funds, though small in number and secretive in nature, wield considerable influence as investors as a result of their sizeable assets under management. This extract is taken from Preqin’s latest report which features exclusive content from the 2015 Preqin Sovereign Wealth Fund Review.  ... »

latestjobs
Analyst/Associate Healthcare Investment Banking

Mon, 31 Aug 2015 00:00:00 GMT

Ph. D / Quantitative Researcher - NYC

Mon, 31 Aug 2015 00:00:00 GMT

Investment Banking Restructuring Analyst/Associate

Mon, 31 Aug 2015 00:00:00 GMT

events
1 week 17 hours from now - New York
1 week 1 day from now - New York
1 week 6 days from now - London
2 weeks 17 hours from now - California
specialreports