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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 U.S.

2017-06-23

13:40 - 14:40

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

Date:

16:00 - 17:00

Investment advisers, Funds and Hedge Funds

Date:

  • 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