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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)

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

09:20 - 10:30
January 1, 1970

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

Speakers

  • 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

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