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Past Event
27 November 2007

The Rising Tide: US and UK Regulatory Cooperation and Rising Cross-Border Enforcement of Securities Law

Roundtable Discussion
The Rising Tide: US and UK Regulatory Cooperation and Rising Cross-Border Enforcement of Securities Law

Tuesday, November 27, 2007
New York, NY

Discussion Leaders
Tom Delaney
Joseph I. Goldstein
Adriaen M. Morse Jr.
Ed Sautter
Claudius O. Sokenu

An increasing number of financial transactions are done across international borders. As the world's exchanges combine their operations and capital markets become more closely integrated, regulation of the securities and financial services markets has become international in scope with impact beyond home country geographical boundaries.

As national regulators step up their enforcement standards and address the increasingly global nature of the financial markets, there is an increasing number of cross-border investigations involving two or more regulators. The UK Financial Services Authority (FSA) and other European securities regulators are bringing securities enforcement actions in concert with the US Securities Exchange Commission (SEC) and with one another that have the look and feel of SEC cases. These actions reflect the influence of the traditionally aggressive SEC, which continues to make great efforts to foster and enhance cooperation with non-US securities and financial services regulators.

Please join Mayer Brown and ALM Events for a peer-to-peer discussion on cross-border enforcement and key issues to be considered when faced with cross-border securities and financial services investigations. Topics to be discussed include:

  • How the US and UK regulators cooperate
  • Dealing with a UK/US cross-border investigation
  • Comparing the FSA Regulatory Decisions Committee process and the SEC Wells Process
  • Joint FSA and SEC settlement negotiations

Related Files:

Presentation Slides (PDF)

Article: A New Age Dawns - International enforcement is becoming more cooperative and more similar to the SEC's Model

Article: FSA Due Process Superior to That Accorded by SEC

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