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  • SEC Regulation Outside the United States, Conference (19 June 2018)
  • SEC Basics, Workshop (18 June 2018)
  • SEC Examinations, Workshop (20 June 2018)

Compliance and Enforcement

14:00 - 15:00
January 1, 1970

This expert panel will examine SEC disclosure and other compliance mandates confronting non-US issuers listed in the U.S.  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

Speakers

  • Pete Driscoll Director, Office of Compliance Inspections and Examinations - U.S. Securities & Exchange Commission
  • Scott Friestad Associate Director, Division of Enforcement - U.S. Securities & Exchange Commission
  • Michael Mann Partner - Richards Kibbe & Orbe
  • Erich Schwartz Partner - Skadden Arps

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