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

Sara Cortes has over a decade of experience in financial regulation. She currently heads the Investment Adviser Regulation Office in the Division of Investment Management of the SEC, where she leads the consideration of policy issues affecting registered investment advisers. Ms. Cortes led the Commission’s Investment Company Reporting Modernization initiative, which the Commission adopted in 2016. This rulemaking will transform the amount and quality of data that mutual funds will provide regarding their portfolios and business operations in order to enhance all aspects of the Commission’s regulation of asset managers.

As Senior Advisor to the Honorable Elisse Walter, she advised the Commissioner on a variety of enforcement actions and domestic and international regulatory initiatives. During Ms. Walter’s tenure as Chairman, Ms. Cortes served as her Deputy on the Financial Stability Oversight Council. Ms. Cortes also advised the Commissioner on rules implementing Title VII of the Dodd-Frank Act regarding the SEC’s domestic and cross-border regulation of security-based swaps, as well as rules implementing provisions of the JOBS Act.

Ms. Cortes has also advised the SEC’s Enforcement Division on numerous enforcement actions as an attorney in the SEC’s Office of General Counsel. Before joining the SEC, Ms. Cortes handled a broad range of enforcement actions and regulatory matters at the Federal Reserve Board. In private practice, Ms. Cortes conducted internal investigations and advised underwriters and issuers in public offerings and private placements.

Pete Driscoll was previously OCIE’s Chief Risk and Strategy Officer prior to which he was managing executive from 2013 through early 2016. He joined the SECin 2001 as a staff attorney in the Division of Enforcement in the Chicago Regional Office and was later a Branch Chief and Assistant Regional Director in OCIE. Prior to the Agency, Mr. Driscoll began his career with Ernst & Young LLP and held several accounting positions in private industry. He received his B.S. in Accounting and law degree from St. Louis University.  He is licensed as a certified public accountant and is a member of the Missouri Bar Association.

Regina Thoele is Senior Vice President of Compliance at National Futures Association (NFA).  Her current responsibilities include overseeing the Compliance Department’s exam, investigation, financial surveillance, and risk management programs; working on enforcement cases; advising Members on compliance issues; assisting NFA Member committees; participating in industry conferences; and developing and monitoring Compliance Department goals.  In addition, Ms. Thoele works with NFA’s Legal Department to develop rules and interpretive guidance, makes presentations to NFA’s Executive Committee and Board of Directors and to other outside organizations, and develops strategic plans and initiatives for NFA’s Compliance Department.  From July 1994 until March 1998, Ms. Thoele held the position of Arbitration Manager and was responsible for supervising staff and helping manage the Arbitration program.  Ms. Thoele has also served as an adjunct faculty member at the Illinois Institute of Technology, where she taught a compliance course.

Ms. Thoele attended Indiana University and received a B.S. degree in finance.  Ms. Thoele also received her designation as a Certified Regulatory and Compliance Professional through the NASD Institute at The Wharton School, as well as her designation as a Certified Fraud Examiner through the Association of Certified Fraud Examiners.

Scott Friestad joined the Division of Enforcement in 1995 and has overseen a number of high-profile investigations in every major programme area, including Regulation FD, public company accounting and disclosure, the Foreign Corrupt Practices Act, insider trading and broker-dealer regulation.

Mr. Friestad has served as a Special Assistant United States Attorney in the U.S. Attorney’s Office for the Southern District of New York.