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SEC Basics, Workshop

28 September 2015, London

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. The workshop is led by Mark Berman, a former SEC lawyer who advises on SEC practice outside the United States and international financial services regulation

SEC Basics, Worshop June 2015, London

SEC Basics will cover the following topics:

  • The SEC
  • The Credit Crisis
  • Offerings and Private Placements
  • Continuing Obligations, Sarbanes-Oxley
  • Tender Offers, Exchange Offers and Going Private Transactions
  • Marketing Securities to U.S. Persons
  • Money Management
Mark Berman, CEO, CompliGlobeMark Berman

Mark Berman advises and conducts training programmes for hedge funds, investment managers, issuers, regulators and multi-national banks and brokers in Europe and Asia on SEC practice outside the United States, UK and EU issues and cross-border regulatory, compliance and AML matters. Read more

Simmons & Simmons
One Ropemaker Street
London EC2Y 9SS
United Kingdom.


W_SIM1RC  Simmons & Simmons is a leading international law firm with fully integrated teams working through offices in Europe, the Middle East and Asia, and brings experienced professionals to some of the most active growth markets today. Our focus on a small number of sectors means we are able to understand and respond to our clients’ needs, and we advise a number of the FTSE 100 and Fortune Global 500 companies. Our industry sectors are: Asset Management & Investment Funds, Energy & Infrastructure, Financial Institutions, Life Sciences and Telecoms, Media & Technology (TMT). We have a track record for innovation and delivering value to clients through new ways of working.
Early Bird Rates available now 
Save up to £200.
Book 3 delegates and the third delegate goes free for any single event.

Book Now Online

CPD/CLE accreditation:

Solicitors Regulation Authority: CPD – 7 hours 30 minutes
New York and California: CLE – 9 hours