InvestoRegulation - SEC Regulation Outside the United States

28/10/2021

SEC REGULATION OUTSIDE OF THE U.S - FLASH SALE - 3 hours left -

SEC Regulation Outside of the United States for just £150! Hear leading NINE senior SEC representatives including Commissioner Hester Pierce along with SEVEN ex SEC personel and senior representatives from the CFTC, IMA, NFA and FCA. These world experts will discuss the key issues in investment an...

27/10/2021

SEC REGULATION OUTSIDE OF THE U.S - FLASH SALE - 24 hours -

SEC Regulation Outside of the United States for just £150! Hear leading NINE senior SEC representatives including Commissioner Hester Pierce along with SEVEN ex SEC personel and senior representatives from the CFTC, IMA, NFA and FCA. These world experts will discuss the key issues in investment an...

25/10/2021

The BIG issue: ESG.... -

The SEC has made ESG matters a priority - the voting disclosure plan is the first formal proposal with an ESG element to come out of the SEC since Gary Gensler has been Chair.  Further sweeping SEC disclosure proposals on climate change, corporate board diversity and companies' workforces are expe...

20/10/2021

24 hr FLASH SALE - CCOs and SEC Examinations - £100 -

The SEC is becoming more active, assertive and aggressive in its examination of registered investment advisors – make sure you are up to speed on what you can expect and what is involved in this “nerve-wracking” process.   CCOs and SEC Examinations is a half day workshop (10 Nov) that will...

14/10/2021

International regulators speaking at SEC Regulation Outside the U.S. -

11/10/2021

SEC Examinations - What to expect and how to be prepared -

The SEC is becoming more active, assertive and aggressive in its examination of registered investment advisors – make sure you are up to speed on what you can expect and what is involved in this “nerve-wracking” process.  SEC Examinations is a half day workshop (10 Nov) that will help you ...

08/10/2021

SEC REGULATION OUTSIDE OF THE U.S - FLASH SALE - 3 hours left -

SEC Regulation Outside of the United States for just £100! Hear leading NINE senior SEC representatives including Commissioner Hester Pierce along with SEVEN ex SEC personel and senior representatives fromthe CFTC, IMA, NFA and FCA. These world experts will discuss the key issues in investment and...

07/10/2021

SEC REGULATION OUTSIDE OF THE U.S - FLASH SALE - 24 hours -

SEC Regulation Outside of the United States for just £100! Hear leading NINE senior SEC representatives including Commissioner Hester Pierce along with SEVEN ex SEC personel and senior representatives fromthe CFTC, IMA, NFA and FCA. These world experts will discuss the key issues in investment and...

28/09/2021

SEC climate change disclosure requirements increasing -

It is no longer sufficient to follow the SEC issued advice of the 2010 Climate Change Guidance -  now companies will be held to a new standard by the SEC when evaluating their corporate climate change disclosures. The SEC have released a sample letter to companies regarding climate change disc...

22/09/2021

The SEC is clamping down ...... -

In the wake of RBC Capital Markets LLC being charged with engaging in "unfair dealings in municipal bond offerings" - The SEC is clamping down. it is now more important than ever for investors to have a thorough understanding of SEC policy and interpretations. Make sure you are up to date with t...

09/09/2021

Where are the gaps in U.S. securities regulation? -

Gaps in US regulation of the cryptocurrency sector must be fixed according to SEC Chair Gary Gensler.  And what about Decentralized finance (Defi)? Is regulation around the corner? What are the other relevant and impending regulatory developments being considered by the SEC? Join us at SEC Regulat...

02/09/2021

SEC REGULATION OUTSIDE THE U.S. - booking open -

A recent enforcement action found a hedge fund acting as a dealer... As the line between dealers and traders becomes increasingly blurred, hedge fund brokers find themselves at risk of violating the SEC's newest interpretation of the Securities Exchange Act of 1994. Make sure you are up to date with...