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Accessing the U.S. Capital Markets: What Foreign Private Issuers Need to Know


Speaker(s): Alexander F. Cohen, Ian D. Schuman, Paul M. Dudek
Recorded on: Oct. 6, 2016
PLI Program #: 195944

Alex Cohen is a partner in the Washington, D.C. office and Co- chair of Latham & Watkins' national office, a central resource for clients and Latham lawyers facing complex issues arising under the US securities laws. His practice specializes in capital markets and SEC matters.

Profile

Mr. Cohen is a former senior official of the US Securities and Exchange Commission (SEC). He joined the SEC staff in 2006 as Deputy General Counsel for Legal Policy and Administrative Practice and later served as Deputy Chief of Staff.

During his time at the SEC, Mr. Cohen advised the SEC Chairman on highly sensitive questions across all aspects of the agency’s work, including the SEC’s response to the 2008 financial crisis. He also worked closely with the Chairman, Commissioners and senior agency staff to develop and implement SEC rulemakings.

Mr. Cohen’s practice covers:

  • Complex securities transactions
  • Registration and reporting with the SEC
  • Accounting restatements
  • Investigations by the SEC 

Mr. Cohen was resident in Latham’s London and Hong Kong offices from 2001-2006, and has particular expertise advising non-US companies on US securities law matters.

From 1989 to 1990, Mr. Cohen served as a law clerk to Judge Wilfred Feinberg of the US Court of Appeals for the Second Circuit.

Thought Leadership

  • Edits Latham’s "Words of Wisdom" blog, tackling interesting legal issues in the capital markets in a lively, plain-English manner
  • Taught at Georgetown University Law Center as an Adjunct Professor
  • Served as a technical advisor to Oliver Stone's "Wall Street: Money Never Sleeps" (2010)

Education

JD, Yale Law School, 1988 MA,
Yale University, 1985
BA, Yale University, 1982

Bar Qualifications

District of Columbia, New York

Languages

Dutch, English, French, Spanish

Recognition Highlights

Co-chair of Latham's national office, which is "highly commended" as the center of "know-how and expertise on securities law" and recognized as "one of the leading voices on the subject" by Financial Times 2012 US Innovative Lawyers Report

Recommended by Legal 500 US for debt and equity offerings


Ian Schuman is a partner in the New York office of Latham & Watkins and global Co-chair of the firm's Capital Markets Practice Group. He is also a member of the Corporate Department and Capital Markets and Private Equity Finance practices.

Mr. Schuman is experienced in a broad range of capital market transactions, including:

Initial public offerings

High yield debt offerings

Public and private equity offerings

Debt exchange offers and tender offers and consent solicitations

 

Mr. Schuman represents issuers and underwriters in capital markets transactions and companies with respect to general corporate and securities matters, including:

Corporate governance issues

Periodic and current filings with the Securities and Exchange Commission

Satisfaction of requirements set forth by the New York Stock Exchange and Nasdaq

 

Since 2011, Mr. Schuman represented underwriters and issuers on more than 150 debt and equity offerings across various industries. Select issuers include:

At Home Group, Inc.

Bojangles', Inc.

Camping World, Inc.

Canada Goose Holdings, Inc.

Charter Communications, Inc.

Chuy's Holdings, Inc.

Dave & Buster's Entertainment, Inc.

El Pollo Loco, Inc.

Fogo de Chao, Inc.

Hertz Global Holdings, Inc.

Jarden Corporation

J.Jill, Inc.

Manchester United plc

Milacron Holdings Corp.

Ollie's Bargain Outlet

Pinnacle Foods Inc.

Post Holdings, Inc.

Presidio, Inc.

PVH Corporation

The Chef's Warehouse, Inc.

WellCare Health Plans, Inc.

Wingstop Inc.

Zoe's Kitchen, Inc.


Mr. Dudek has been Chief of the Office of International Corporate Finance at the U.S. Securities and Exchange Commission since 1993.  He joined that office as an Attorney Fellow in 1990.  Prior to that, he was with the New York Office of Cleary, Gottlieb, Steen & Hamilton where his practice involved representing a wide range of foreign and U.S. companies and financial intermediaries in capital markets transactions.

Mr. Dudek is a graduate of the New York University School of Law (Order of the Coif) and Fordham University (Phi Beta Kappa).  Mr. Dudek has received the SEC’s Philip A. Loomis, Jr. Award and as a team member the SEC Chairman’s Award for Excellence and (twice) the SEC’s Regulatory Simplification Award.  Mr. Dudek has served as an Adjunct Professor of Law of Georgetown University School of Law and at the Osgoode Hall Law School of York University (Toronto), teaching courses on global securities offerings.  He has taught classes at Duke University Law School and the Center for Transnational Legal Studies (London). 

Mr. Dudek serves as a U.S. representative to the Corporate Governance Committee of the OECD.  He serves as co-moderator of PLI’s Global Capital Markets held annually in the spring in New York City.  He has spoken at numerous legal and finance conferences, including testimony in 2010 before the U.S.-China Economic and Security Review Commission and presentations at the Asia-Pacific Economic Co-operation (APEC) 2011 Annual Conference in Washington, D.C., the 2010 Initial Public Offering Conference in Istanbul hosted by the Capital Markets Board of Turkey, and the 2011 Conference on Capital Market Oversight in the Caribbean and Latin America hosted by the Securities and Exchange Commission of Trinidad & Tobago.