Live from the SEC: A Review of Recent Developments in International Securities Regulation and Enforcement

Practices: Corporate & Securities Litigation

Ropes & Gray New York City Office at 45 Rockefeller Plaza

The program will consist of a video broadcast live from the SEC headquarters in Washington, DC and will feature updates on SEC policy including introductory remarks from the new Chairman, Hon. Christopher Cox. Subjects to be covered include: securities offering reform, underwriter due diligence, IFRS and progress on "convergence", the status of recent rulemaking and enforcement actions under Sarbanes-Oxley (including certifications under Section 404 and Section 307-related rules relating to those "appearing and practicing" before the SEC), regulation of hedge funds, and developments with respect to enforcement (including FCPA and financial fraud cases). Particular attention will be given to issues of extra-territorial reach and multi-jurisdictional cooperation among regulators arising in on-going proceedings relating to current public investigations and developments in the investment company industry.

CLE and CPD accreditations have been requested

Securities and Exchange Commission Participants:
Hon. Christopher Cox, Chairman
Elizabeth Jacobs, Deputy Director, Office of International Affairs
Martin Dunn, Deputy Director, Division of Corporation Finance
Paul Dudek, Chief, Office of International Corporate Finance, Division of Corporation Finance
Donald Nicolaisen, Chief Accountant
Giovanni Prezioso, General Counsel
Paul Berger, Associate Director, Division of Enforcement
Meyer Eisenberg, Deputy General Counsel and Acting Director, Division of Investment Management
Robert Plaze, Associate Director, Division of Investment Management
Douglas Scheidt, Associate Director, Division of Investment Management

Cookie Settings