Please note that this Workshop will only be offered as a live, interactive webcast via Zoom. Speakers and participants will be participating in the program remotely. Participants will have the ability to interact with faculty and the live remote audience during the Workshop and will have access to all program materials. Attendees will need to download Zoom Client for Meetings Software prior to the program. If you are using a VPN please disconnect from the VPN prior to starting the program.
See Credit Details Below
Overview
Why You Should Attend
This virtual Workshop provides an introduction to SEC reporting for foreign private issuers (FPIs). Participants will build the foundational knowledge, skills and tools required to successfully navigate the SEC’s reporting scheme for foreign private issuers. Topics addressed include building an understanding of the structure and sources of U.S. federal securities laws and gaining knowledge of key SEC guidance and disclosure and reporting issues relevant for foreign private issuers. This is an interactive Workshop (via Zoom), and open discussion is encouraged through breakout sessions. The Workshop includes online access to PLI’s SEC Reporting Handbook.
Participants who have completed this “101” program or who have prior SEC reporting experience will have the foundational knowledge needed to attend our add-on Essentials Workshops:
· Form 20-F (Part One): Key Information, Risk Factors & Part I Disclosures Essentials Workshop 2024
· Form 20-F (Part Two): Parts II & III Disclosures Essentials Workshop 2024
· MD&A SEC Reporting Essentials Workshop (Note this program addresses the Form 20-F’s Operating and Financial Review and Prospects)
What You Will Learn
After completing this Workshop, participants will be able to:
· Appreciate the scope of U.S. securities regulation embodied in the Securities Act of 1933 (the “Securities Act”) and the Securities Exchange Act of 1934 (the “Exchange Act”)
· Understand the forms required to be filed by foreign private issuers
· Understand how and when foreign private issuers may need to use or refer to the SEC’s Integrated Disclosure System, including Regulation S-K’s disclosure requirements
· Apply the SEC’s rules, guidance, and constraints dealing with public company communications, including Regulation FD (“fair disclosure”) and non-GAAP measure guidance
· Provide an overview of the effects on FPIs of the latest SEC rules regarding insider trading policies, the use of Rule 10b5-1 plans by companies as well as directors and officers, “clawbacks”, cybersecurity and climate-related matters
· Utilize other sources of SEC guidance, including Compliance and Disclosure Interpretations (C&DIs), Staff Legal Bulletins (SLBs), and the Financial Reporting Manual, to address reporting questions
· Understand the SEC’s organization and function
What You Should Bring
To customize your Workshop and gain the most benefit from this interactive learning experience, we recommend you have access to your company’s or a client’s most recent SEC Form 20-F and a recent Form 6-K filing. If you work with a company that is not yet public, filings from a company in your industry are a reasonable alternative.
Who Should Attend
SEC reporting professionals, including those involved in the preparation or review of financial statements, partners of public accounting firms and their staff, lawyers and corporate legal staff, investor relations professionals, and audit committee members.
Program Level
Basic
Prerequisites
None
Advanced Preparation
None
Suggested add-on courses:
Upon completion of this Workshop, you will be ready to apply the SEC’s guidance and continue your learning at our more advanced SEC Reporting Essential Workshops, which build upon this foundational program, including our:
· Form 20-F (Part One): Key Information, Risk Factors & Part I Disclosures Essentials Workshop 2024
· Form 20-F (Part Two): Parts II & III Disclosures Essentials Workshop 2024
· MD&A SEC Reporting Essentials Workshop (Note this program addresses the Form 20-F’s Operating and Financial Review and Prospects)