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SEC Regulation Outside the US

22 Jun 2017 08:15 - 23 Jun 2017 17:30
Simmons & Simmons
CityPoint, 1 Ropemaker St, London EC2Y 9SS.
Conferences & Seminars, Other, General Interest
Banking, Investor Relations, Legal, Securities & Investment, Wealth Management

Prices: Conference (23 June) £955. SEC Basics Workshop 1 (22 June halfday) £475.  SEC and NFA Examinations Workshop 2 (22 June halfday) - £475. Conference and SEC Basics £1185. Conference and NFA Examinations Workshop £1185. Conference and 2 Workshops £1460. 2 Workshops (22 June) £725. All prices above include VAT and there is additional 10% discount for all Industry Events Online members. 


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Now in its 20th year, this is the only event of its kind to offer delegates a thorough understanding of the complexities and nuances of the legislative processes and how SEC practices can affect your business. 

SEC Basics, Workshop (22 June 2017) is an intensive, interactive workshop suitable ideal for those with little or no knowledge of the U.S. securities laws, the SEC or the SEC’s rules and regulations.

SEC and NFA Examinations (22 June 2017) examines the responsibilities of Chief Compliance Officers and explores what is involved in a compliance programme, an annual review and an SEC inspection of a non-US manager that is registered with the SECand/or NFA.

SEC Regulation Outside the United States, Conference (23 June 2017) briefs European financial services practitioners on how the SEC administers and enforces the U.S. securities laws – and what it means to you. SEC officials and other regulatory experts guide you through the nuances of current and pending U.S. regulation and legislation.

Attracting over 150 high profile attendees every year, the conference is a must attend event for key decision makers involved in fields of Fund Management, Brokers, Compliance, Lawyers and Finance.  
With a carefully crafted programme of topics including the markets and SEC and CFTC development; Dodd Frank – latest developments; Cybersecurity: What you Need to Know Now, Latest trends in compliance and enforcement; and a look at What’s on the Horizon for 2017, SEC Regulation London will ensure attendees are fully informed on the most up-to-date regulatory and industry best practices. 

A selection of expert speakers include:-

  • Mark Berman – CEO – Compliglobe
  • Pete Driscoll – Acting Director, Office of Compliance, Inspections and Examinations, SEC
  • Scott Friestad – Associate Director, SEC Division of Enforcement, SEC
  • Barbara Jacobs, Assistant Director, Division of Corporate Finance, SEC
  • Scott Simpson – Partner, Skadden
  • Rachel Sturgeon, Senior Manager, Investigations, National Futures Association
  • Regina Theole, SVP Compliance, National Futures Association 
  • Robert Platze – Partner, Stroock & Stroock
  • Julian Perimutter, Partner, Simmons & Simmons
  • Michael Mann – Partner, Richards Kibbe & Orbe
  • Barry Barbash – Partner, Willkie, Farr & Gallagher
  • Rita Molesworth – Partner - Willkie

Further details can be found at

SEC Basics Workshop 1: 08:30-12.30 (Registration 08:15-08:30)
NFA Examinations Workshop 2: 13:00-17:30 (Registration 12:45-13:00)
Conference 23 June: Coffee and registration 08:15-08:45.  Conference closes at 17:00


6.45 Hours
78 York Street, London W1H 1DP.

Tel: +44 (0)207 101 5072
Contact: Caroline Robins