Training Program for Securities Regulators
China Securities Regulatory Commission
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Shanghai Futures Exchange
- May 21-23, 2000
Sunday, May 21
- Opening Remarks
- Gao Xi-Qing - Vice-Chairman, CSRC Stephen Wallenstein - Duke University Global Capital Markets Center Anthony Neoh - Chief Advisor, CSRC
1. Systems and Basic Principles of U.S. Securities Laws and Regulations - Professor Robert Hillman - University of California, Davis, School of Law
- 2. Fraud and Signs of Fraud: Lessons from Recent U.S. Experience / Civil and Criminal Penalties
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- Kam Lee & Robert Strahota - U.S. Securities & Exchange Commission
- Professor James Cox - Duke University, School of Law
4. Accounting and Reporting Trends - IAS / GAPP- Yvonne Kam - PricewaterhouseCoopers
Monday, May 22
- 5. Supervision and Regulation of On-Line Trading / Electronic Surveillance System
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- Sam Harris - The SAS Institute
6. Evaluation of the Current State of Chinese Securities Laws- Professor Robert Hillman - University of California, Davis, School of Law
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David Berger - Wilson Sonsini Goodrich & Rosati Stephen Wallenstein - Duke University Global Capital Markets Center
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8. Securities Firms Compliance -
Robert Strahota - U.S. Securities & Exchange Commission
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9. The Global Investment Banking Industry: Present Situation and Future Trends -
Wei Christianson - Morgan Stanley Dean Witter
Tuesday, May 23
- 10. Cross-Border Listings: Accessing U.S. Capital Markets - Regulatory Issues
- Robert Strahota - U.S. Securities & Exchange Commission
- 11. Cross-Border Listings Including NASDAQ: Business and Legal Considerations
- Michael Hickman - Cleary, Gottlieb, Steen & Hamilton Gary Peck - Bank of New York
- Closing Remarks
- Tu Guangshao - Secretary General, CSRC & President, Shanghai Stock Exchange
Each presentation was followed by an informal question and answer session.
The audience in China was approximately 250 regulators, policy makers, and enforcement representatives from the CSRC, corporate directors and secretaries, along with representatives of both the Shanghai and Shenzhen Stock Exchanges.
