SEC Regulation Outside the United States – 26th annual conference

SEC Regulation Outside the United States is co-hosted by InvestoRegulation and Simmons & Simmons. By registering this invitation your contact details may be shared with the co-hosts for the purposes of organising this event and for their own privacy notices. Click here for further information.

There is rarely an occasion when the SEC is away from the headlines. On Wednesday 23 August 2023, the SEC adopted in a 3-2 vote the private fund adviser disclosure rule and related rule amendments.

The high-profile Ripple and Terraform crypto cases have sparked recent SEC interventions, while earlier this year the SEC fined dozens of firms nearly $2bn for using “unofficial communications” such as WhatsApp to conduct business. Elsewhere, the SEC’s move to T+1 settlement – and its May 2024 deadline – is forcing non-U.S. market participants to consider how to handle cross-border settlement issues in order to avoid market disruption events. In recent months, the agency has stepped-up legal action against firms for being unregistered brokers or dealers, while its FCPA and insider dealing cases continue apace.

Join us as we explore these and other cutting-edge issues in our 26th anniversary conference, “SEC Regulation Outside the United States”, Monday, 6 November 2023, live and in London. We are delighted to welcome SEC Commissioner Mark Uyeda, who will deliver the Scott Friestad Memorial Keynote address.

Michael Mainelli, poised to be elected as the 695th Lord Mayor of London, and Jon Relleen, FCA Director of Infrastructure & Exchanges, will also deliver remarks.

Event details

Date: 6 - 7 November 2023
Location: Simmons & Simmons London office, Citypoint, 1 Ropemaker Street

SEC Regulation Outside the United States (Monday 6 November 2023, 8.30am-5.30pm GMT).

“SEC Regulation Outside the United States”, is a truly unique global conference, offering a thorough understanding of the complexities and nuances of U.S. financial services regulation and the impact of non-U.S. SEC practice. This year, the event features in person presentations with nine current and eight former SEC, CFTC, NFA and FCA officials.

The conference is designed to brief non-U.S. financial services participants and practitioners on how the SEC administers and enforces the U.S. securities laws – and what this means for you. Current and former senior SEC officials and other regulatory experts will guide you through the nuances of current and pending U.S. regulation and legislation.

CCOs and SEC Examinations (Tuesday 7 November, 8.30am-1pm GMT).

Our workshop examines the responsibilities of investment advisers and Chief Compliance Officers and explores what is involved in a compliance program, an annual review and an SEC examination.