U.S. Capital Markets: Insights for Chinese Companies

Wednesday, May 18, 2016

1:00 p.m. – 4:00 p.m., UC Irvine School of Law, EDU 1111 (Directions)

SEC-UCI Law School Joint Seminar

US Capital Markets

As Chinese companies gain an increasingly prominent presence in the U.S. market, this seminar is very timely. This event brings together government, academic and private practitioners to discuss capital market opportunities as well as regulatory and practical consequences for Chinese companies doing business in the U.S.

Register online >

Workshop Panelists

  • Sherman Zhang, China Enterprise Counsel
  • Marc Blau, SEC Los Angeles Regional Office
  • Rhoda Chang, SEC Los Angeles Regional Office
  • Gabriel Colwell, Squire Patton Boggs LLP
  • Sara Kalin, SEC Los Angeles Regional Office
  • Junling Ma, SEC Los Angeles Regional Office
  • Michele Wein Layne, SEC Los Angeles Regional Office
  • David Min, UC Irvine School of Law
  • Dabney O’Riordan, SEC Los Angeles Regional Office
  • Alka Patel, SEC Los Angeles Regional Office
  • Jennifer Waier, U.S. Attorney’s Office, Central   District of California
  • Benjamin van Rooij, UC Irvine School of Law

Agenda

1:00-1:15 p.m.          Welcoming Remarks

                                      Benjamin van Rooij, John S. and Marilyn Long Chair Professor for US-China Business and                                                               Law Director, Long US-China Institute, University of California Irvine

                                      Sherman Zhang, President, China Enterprise Counsel

                                      Michele Wein Layne, Regional Director, SEC Los Angeles Regional Office

 1:15-2:30 p.m.          Panel One: U.S. Capital Markets: Opportunities and Considerations for China-Based Companies

          • The SEC: An Overview
          • Raising Capital in the U.S.
          • Acquiring U.S. Publicly-Traded Companies
          • Regulatory Requirements and Considerations:
            • Financial Disclosure
            • Corporate Governance
            • Internal Control, Audit and Compliance

                Moderator:       Professor Benjamin van Rooij, UCI Law School 

                Speakers:        Marc Blau, Assistant Regional Director, SEC Los Angeles Regional Office

                                            Junling Ma, Senior Counsel, SEC Los Angeles Regional Office

                                            Sara Kalin, Assistant Regional Director, SEC Los Angeles Regional Office

                                            Rhoda Chang, Assistant Regional Director, SEC Los Angeles Regional Office

 

2:30-2:45 p.m.          Break

2:45–4:00 p.m.          Panel Two: How China-Based Companies Meet the Challenges of U.S. Capital Markets Regulation

          • SEC Investigations
          • Criminal Investigations
          • Foreign Corrupt Practices Act
          • Insights and Perspectives from the Company Side:
            • Internal Investigations
            • Cooperation
            • Litigation

                Moderator:       Professor David Min, UCI Law School 

                Speakers:        Dabney O’Riordan, Associate Regional Director, SEC Los Angeles Regional Office

                                            Jennifer Waier, Assistant United States Attorney, Central District of California

                                            Alka Patel, Associate Regional Director, SEC Los Angeles Regional Office

                                            Gabriel Colwell, Partner, Squire Patton Boggs (US) LLP