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  • SEC Regulation Outside the United States, Conference (23 June 2017)
  • SEC Basics, Workshop (22 June 2017)
  • SEC and NFA Examinations, Workshop (22 June 2017)

Seminar List for 2017-06-23

08:30 - 09:00

Registration and Coffee

Track:
09:00 - 09:20

Welcome and Opening Remarks from the Chair

Track:

09:20 - 10:30

Dodd-Frank, Brexit and U.S. Regulation in 2017 and Beyond: the Regulator’s view

Track:

  • Carol McGee Assistant Director, Dirivision of Trading & Markets - U.S. Securities & Exchange Commission
  • Sara Cortes Assistant Director, Investment Adviser Regulation Office - U.S. Securities and Exchange Commission
  • Scott Friestad Associate Director, Division of Enforcement - U.S. Securities & Exchange Commission
  • Pete Driscoll Acting Director, Office of Compliance Inspections and Examinations - U.S. Securities & Exchange Commission
  • Regina Thoele SVP Compliance - National Futures Association
10:30 - 10:45

Networking Coffee

Track:
10:45 - 11:35

Brexit, MiFID II, Dodd-Frank and U.S. Regulation in 2017 and Beyond: the Industry’s View

Track:

11:35 - 12:35

The markets and SEC and CFTC developments

Track:

  • Patricia Cushing Director, Compliance - National Futures Association
  • Carol McGee Assistant Director, Dirivision of Trading & Markets - U.S. Securities & Exchange Commission
  • Jim Burns Partner - Willkie, Farr & Gallagher
12:35 - 13:40

Networking Lunch

Track:
13:40 - 14:40

The Capital Markets: Selling Securities, Continuing Obligations and M&A

Track: ,

14:40 - 15:40

Compliance and Enforcement

Track:

15:40 - 16:00

Afternoon tea

Track:
16:00 - 17:00

Investment advisers, Funds and Hedge Funds

Track: ,

  • Sara Cortes Assistant Director, Investment Adviser Regulation Office - U.S. Securities and Exchange Commission
  • Bob Plaze Partner - Proskauer Rose LLP
  • Mark Berman CEO - Compliglobe
  • Pete Driscoll Acting Director, Office of Compliance Inspections and Examinations - U.S. Securities & Exchange Commission