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

Special report
US Hedge Fund Services 2015

US Hedge Fund Services 2015

Wed, 30/09/2015 - 11:21

A rising tide of regulation is threatening to swamp US hedge funds with significant trading, distribution and reporting issues.This Hedgeweek Special Report unravels these issues, guides managers through the solutions currently available to them, and examines the challenges of running activist hedge funds, where assets have grown to USD120 billion over the past decade... »

Special report
The TYVIX Index: Navigating through interest rate volatility

With interest rates set to rise, this Hedgeweek Special Report examines the the latest tools available to fixed income investors and traders in the form of the CBOE/CBOT 10-year US Treasury Note Volatility Index (The TYVIX Index) and TYVIX futures, which give traders an effective way to hedge, gain exposure to, or trade interest rate volatility.... »

Preqin Special Report: Hedge Fund Manager Outlook – Augst 2015

Unrealised assets in tail-end funds

Mon, 28/09/2015 - 14:40

Distributions from private equity funds have improved greatly in recent years as managers have taken advantage of improving market conditions to realise value from remaining assets in their portfolios. This has gone some way to alleviating concerns regarding the overhang of unrealised value in ageing funds; however, the issue has not yet been fully rectified, particularly as funds raised in the boom years of 2005-2008 reach the 10-year mark. ... »

Index options & futures

John Angelos, CBOE

Interest rate volatility is like a storm cloud building on the horizon. The US Federal Reserve has kept rates stable for nigh on a decade, but global asset managers are now preparing for their fixed income portfolios to feel the impact of a rate rise later this year.  ... »


Dixon Boardman

Dixon Boardman, a veteran hedge fund of fund manager, is a survivor. Having founded, Optima Fund Management in 1988, his firm now manages USD4 billion. Boardman – and Optima - have stood firm through a sustained period of challenges for the fund of funds business. ... »

Algo Systems Engineer

Wed, 07 Oct 2015 00:00:00 GMT

Senior Credit Sales - Investment Grade

Wed, 07 Oct 2015 00:00:00 GMT

Investment Banking Sr. As/Jr. VP - M&A (Consumer)

Wed, 07 Oct 2015 00:00:00 GMT

4 days 5 hours from now - New York
1 week 3 days from now - Cairo
1 week 3 days from now - Hong Kong
1 week 3 days from now - New York