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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)

SEC Regulation Outside the United States, Conference

08:30 - 09:00

Registration and Coffee

09:00 - 09:20

Welcome and Opening Remarks from the Chair

09:20 - 10:30

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

Representatives of the SEC will survey cutting edge issues involving cross border cooperation and the administration and enforcement of the US federal securities laws.

  • 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

10:45 - 11:35

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

This expert panel will examine SEC disclosure and other compliance mandates confronting non-US issuers listed in the U.S., as well as major developments affecting capital raising by non-U.S. issuers in the U.S. public and private markets.

11:35 - 12:35

The markets and SEC and CFTC developments

It has never been more important for legal and compliance professionals outside the United States to stay abreast of U.S. regulatory developments coming out of the SEC. This includes not only initiatives from the Division of Investment Management, which has oversight of funds and advisers, but also the Division of Trading and Markets, which oversees intermediaries, such as broker-dealers, exchanges, clearing houses, and others.

The panel, among other topics will cover:

  • Reg SHO, Reg M and Rule 10b-18
  • Blackstreet and 15(a) issues;
  • Future of soft dollars and research in the wake of MiFID II
  • SWAPS regulation
  • Cross border trading
  • Update on Dodd-Frank and market structure initiatives

  • 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

13:40 - 14:40

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

14:40 - 15:40

Compliance and Enforcement

How far is the reach of the SEC. Update on the latest trends in SEC enforcement actions.

  • Trends in SEC enforcement actions
  • The reach of SEC jurisdiction
  • New and emerging regulation

15:40 - 16:00

Afternoon tea

16:00 - 17:00

Investment advisers, Funds and Hedge Funds

  • 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