ASIA

China

Securities Enforcement and Market Oversight Training Program

• Beijing, June 2005
• Co-sponsored by the China Securities Regulatory Commission
• Market Oversight Training Program
• Beijing, May/June 2006
• 175 participants
• Co-sponsored by the China Securities Regulatory Commission

Hong Kong, China

• Sarbanes-Oxley and cross-border regulatory cooperation
• Hong Kong, June 2006
• 40 participants

Tim Warren of SEC's Chicago Regional Office discussing investigative strategy in Mumbai

India

Bilateral Enforcement Training Conference

• Mumbai, December 2005
• 27 participants
• Co-sponsored with the Securities Exchange Board of India and funded by USAID

Bilateral Enforcement Training Conference

• New Dehli, March 2006
• 26 participants
• Co-sponsored with the Securities Exchange Board of India and funded by USAID

Bilateral Securities Law Familiarization Program with Indian Judges

• Washington, DC, March 2006
• 7 participants
• Funded by USAID

Malaysia

APEC Financial Regulators Training Initiative: Regulation of New Products Training Program

• Kuala Lumpur, May 2006
• Sponsored by APEC and funded by the Asian Development Bank

Philippines

APEC Financial Regulators Training Initiative: Investigation and Enforcement Program

• Manila, July 2006
• 25 participants from 11 countries
• Sponsored by APEC and funded by the Asian Development Bank

APEC Financial Regulators Training Initiative: Supervision Program

• Manila, December 2005
• 47 participants from 12 countries
• Sponsored by APEC and funded by the Asian Development Bank

Singapore

Regional Securities Enforcement and Market Oversight Training Program 3rd Annual Capital Markets Seminar

• Singapore, August 2005
• 67 participants from 15 countries
• Sponsored and Funded by the Monetary Authority of Singapore

Thailand

Regional Enforcement Training Program

• Bangkok, November, 2005
• 75 participants from at least 9 jurisdictions
• Sponsored by Thai Securities and Exchange Commission and Asia-Pacific Regional Committee of IOSCO

Bilateral Enforcement Training Program - U.S. SEC's Experience in Fighting Market Manipulation, Insider Trading, and Corporate Fraud

• Bangkok, May 2005
• Approximately 50 participants
• Sponsored by US Department of State, Thailand Criminal Law Institute and Thailand Securities and Exchange Commission

Vietnam

Bilateral Compliance, Inspections, Examinations and Surveillance Program

• Hanoi, Vietnam December 4-8, 2006
• 31 participants from the State Securities Commission, Ho Chi Minh Securities Trading Center and Hanoi Securities Trading Center
• Sponsored by USAID and STAR-Vietnam

John Walsh, Deputy Director, Office of Compliance, Inspections and Examinations, and Joseph Cella, Chief of Surveillance, describe the SEC's examination and surveillance techniques for the Vietnamese State Securities Commission in Hanoi, December, 2006.

Bilateral Securities Enforcement and Market Oversight Training Program

• Hanoi, December 2005
• Funded by USAID
• Multiple Assessment Missions (May 3-13, 2005; July-September, 2005; and October - December 2005) evaluating Vietnam's market, resulting in assistance in drafting Vietnamese Securities law and implementing regulations, and recommendations on market structure.
• Co-Sponsors include USAID and STAR-Vietnam

Kurt Gresenz, Branch Chief, Division of Enforcement, explains investigating and prosecuting financial fraud for the Vietnamese State Securities Commission in Hanoi, December, 2005.

http://www.sec.gov/about/offices/oia/oia_asia.htm