transcript   Transcript

Regulatory Developments Affecting the Capital Markets in the US

Recorded on: Jan. 23, 2017
Running Time: 01:11:55

Full Transcript:



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Taken from the Web Program Sixteenth Annual Institute on Securities Regulation in Europe: Practical Implications of U.S. Law on EU Practice Recorded January, 2017 in London.

Regulatory Developments Affecting the Capital Markets in the US [01:11:55]
  • Disclosure Simplification
  • Non-GAAP Financial Measures
  • JOBS Act/Fast Act Developments
  • Resource Extraction Rules
  • Mining Disclosures
  • PCAOB Reproposal on Auditors’ Reports
  • Volcker Rule Implications for Capital Markets Deals
(CFE Field of Study: Fraud)

Moderator: Sebastian R. Sperber
Speakers: Nicholas Baumgartner, Peter Castellon, Erik Morris, Deborah A. Smith


The purchase price of this segment includes the following article from the Course Handbook available online:

  • Comment Letter of Cleary Gottlieb Steen & Hamilton RE: PCAOB Release No. 2016-003; Rulemaking Docket Matter No. 034; Proposed Auditing Standard—The Auditors Report on an Audit of Financial Statements when the Auditor Expresses an Unqualified Opinion and the Related Auditor’s Report; and Related Amendments to PCAOB Standards (August 15, 2016)
    Sebastian R. Sperber
  • FAST Act Amendments to the U.S. Securities Laws (December 16, 2015)
    Sebastian R. Sperber
  • SEC Proposes to Overhaul Its Disclosure Requirements for Mining Companies (June 20, 2016)
    Sebastian R. Sperber
  • Non-GAAP Financial Measures: The SEC’s Evolving Views (June 13, 2016)
    Sebastian R. Sperber
  • SEC Releases New Guidance on Non-GAAP Financial Measures (May 18, 2016)
    Sebastian R. Sperber
  • The SEC’s New Proposal on Resource Extraction Payments: A Deeper Dive (January 22, 2016)
    Sebastian R. Sperber
  • SIFMA Reg S-K Comment Letter to SEC Re: Business and Financial Disclosure Required by Regulation S-K (File Number S7-06-16) (July 21, 2016)
    Sebastian R. Sperber
  • SIFMA Reg S-X Comment Letter to SEC Re: Request for Comment on the Effectiveness of Financial Disclosures About Entities Other Than the Registrant (November 30, 2015)
    Sebastian R. Sperber

Presentation Material

  • Non-GAAP Financial Measures
    Nicholas Baumgartner, Peter Castellon, Erik Morris, Deborah A. Smith, Sebastian R. Sperber
  • Regulatory Developments Affecting the Capital Markets in the U.S.
    Nicholas Baumgartner, Peter Castellon, Erik Morris, Deborah A. Smith, Sebastian R. Sperber
  • Volcker Rule Implications for EU Capital Markets Deals
    Nicholas Baumgartner, Peter Castellon, Erik Morris, Deborah A. Smith, Sebastian R. Sperber
(s)
Nicholas Baumgartner ~ Deputy General Counsel, Equity Capital Markets, Citigroup Global Markets Limited
Peter Castellon ~ Proskauer Rose LLP
Erik Morris ~ Director, Credit Suisse
Deborah A Smith ~ Executive Director and Senior Counsel, Goldman Sachs International
Sebastian R Sperber ~ Cleary Gottlieb Steen & Hamilton LLP
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