Zurich, 16 June 2015 SEC Compliance "Hot Topics" Seminar  What you need to know and Why. Further information

London, 30 September 2015 SEC Inspections and CCOs  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 SEC. Further information

London,  28 September 2015 SEC Basics is an intensive, interactive workshop suitable for those with little or no knowledge of the U.S. securities laws, the SEC or the SEC’s rules and regulations.  Further information

London, 29 September 2015 SEC Regulation Outside the United States is your only chance to hear directly from the SEC – four top representatives from the United States Securities and Exchange Commission will be in London in June along with a distinguished faculty of regulatory experts to update you and to guide  you through the details of the ever-changing U.S. regulatory system.  This one day conference is a unique opportunity to hear directly how and what the latest SEC thinking is on regulato...

3rd December 2014, Hong Kong SEC Inspections and CCOs  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 SEC. Further information

Hong Kong, 2nd December 2014 SEC Regulation Outside the United States is your only chance to hear directly from the SEC – three top representatives from the United States Securities and Exchange Commission will be in Hong Kong on 2 December along with a distinguished faculty of regulatory experts to update you and to guide  you through the details of the ever-changing U.S. regulatory system.  This one day conference is a unique opportunity to hear directly how and what the latest SEC thinking i...

1st December 2014, Hong Kong SEC Basics is an intensive, interactive workshop suitable for those with little or no knowledge of the U.S. securities laws, the SEC or the SEC’s rules and regulations.  Further information

November 2013 This must-attend conference put attendees directly in front of current and former SEC officials who provided inside knowledge of how the SEC legislates and enforces U.S. securities laws, and how these affect organisations outside the United States. For non-U.S. financial services practitioners wishing to access the U.S. markets this was a unique opportunity to tap into the combined knowledge and experience of a distinguished faculty of expert speakers to discover what regulator...

10th November 2010, This presentation from Hedge 2010 in London looks at what’s happening in the United States regarding hedge fund managers and asks how does this stack up with the AIFM and EU regulatory structure? [sdm_download id="250" fancy="0"]

5th October 2010, Delivered during Singapore’s inaugural Corporate Governance week, this presentation looks at the Credit Crisis and the Changing Legislative Landscape, and asks: Will Good Corporate Governance Make a Difference? [sdm_download id="245" fancy="0"]