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SEC Regulation Outside the United States: A Guide for Governments, Corporations and Investors Fifth Edition
Incisive Media, Sep 2005, Pages: 733
Now in its fifth extended edition, 'SEC Regulation Outside the United States' is the definitive guide to how the US federal securities laws and the rules and regulations of the SEC apply outside the United States. It is the only publication of its kind in the world.
This report explains how and why the SEC asserts jurisdiction outside the United States and provides comprehensive guidance to non-US entities and persons on US securities laws and SEC regulations.
The first title to market with the just adopted offering reforms
The SEC's new Securities Offering Reforms are the most important development in more than 30 years and are coming into force. The Reforms change significantly the manner in which securities are offered and sold and how to communicate with investors. This book is the only publication of its kind in the world to explore not only how the US federal securities laws and SEC rules and regulations apply outside the United States, but to explain how the Securities Offering Reforms apply to you.
Additionally covers:
- SEC operations
- registered offers and private placements
- fund and investment adviser regulation
- enforcement
- regulatory relationships
- broker-dealer regulation and ALM issues
- cross-border tender offers
Edited by Mark Berman – a former SEC lawyer and an internationally recognised expert on SEC regulation.
An essential handbook for anyone with a senior compliance responsibility at public companies, asset management firms and investment banks.
About the Author:
Mark Berman is counsel in the Legal, Compliance & Audit Group of Threadneedle Asset Management Limited, and advises on hedge fund legal, corporate governance and AML issues, and regulatory matters. He has counselled multi-national banks and investment firms on compliance, electronic trading and international regulatory matters. From 1985 to 1990, he was a lawyer with the Divisions of Corporation Finance and Market Regulation at the U.S. Securities and Exchange Commission where he worked on domestic and international disclosure and trading practices issues. Mr Berman, who has lectured on law and regulation at the London Business School, is a member of the Advisory Council of the SEC Historical Society.
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