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  • SEC Regulation Outside the United States conference (5 November 2019)
  • SEC Examinations, Workshop (6 November 2019)
  • SEC Basics, Workshop (4 November 2019)

Agenda

4th November 2019

08:15 - 08:50

Registration and Coffee

Date: , Track:
08:30 - 09:00

Registration

Track:
08:50 - 09:00

Welcome and Opening Remarks from the Chair

Date: , Track:

09:00 - 09:20

Keynote Address

Date: , Track:

  • Stephanie Avakian Co-Director, Division of Enforcement - U.S. Securities & Exchange Commission
09:00 - 10:30

Workshop commences

Track:
09:20 - 10:30

Key Developments in Capital Formation, Disclosure and Financial Reporting

Date: , Track:

This expert panel will discuss key developments in ICOs and bitcoin offering developments, the expanding definition of what is a security, changes in disclosure requirements for Foreign Private Issuers, private placements, disclosure implications of the new U.S. tax reform, M&A developments and cross-border accounting issues  

10:30 - 10:45

Morning break

Track:
10:30 - 10:50

Networking Coffee

Date: , Track:
10:50 - 12:00

The markets and SEC and CFTC developments

Date: , Track:

  • Christian Sabella Deputy Director, Division of Trading & Markets - U.S. Securities & Exchange Commission
  • Regina Thoele SVP Compliance - National Futures Association
  • Jim Burns Partner - Willkie, Farr & Gallagher
12:00 - 12:50

Regulators Panel

Date: , Track:

A unique opportunity to “ask the SEC”. A feature of this unique conference is this informal discussion by senior SEC officials on topics relevant to you – explore cryptocurrency, how the SEC views Brexit and MiFID II and other issues in a Q and A format

  • View full profile for Barry SummerBarry Summer Associate Director, Division of Corporation Finance - U.S. Securities and Exchange Commission
  • Mavis Kelly Assistant Director, Office of Compliance, Inspections & Examinations - U.S. Securities & Exchange Commission
  • View full profile for David BartelsDavid Bartels Deputy Chief Counsel of the Division of Investment Management - U.S. Securities & Exchange Commission
  • Christian Sabella Deputy Director, Division of Trading & Markets - U.S. Securities & Exchange Commission
  • Antonia Chion Associate Director, Division of Enforcement - U.S. Securities & Exchange Commission
12:30 - 13:30

Lunch

Track:
12:50 - 13:45

Networking Lunch

Date: , Track:
13:45 - 14:45

Compliance, GDPR and Examinations

Date: , Track:

This expert panel will discuss compliance requirements for non-U.S. registered investment advisers, broker-dealers and companies accessing the U.S. markets, with an emphasis on having policies and procedures reasonably designed to prevent violations and how the SEC examines non-U.S. firms

  • Mavis Kelly Assistant Director, Office of Compliance, Inspections & Examinations - U.S. Securities & Exchange Commission
  • Christopher Hetner Managing Director, Cyber Risk Management - Marsh & McLennan
  • Mark Berman CEO - CompliGlobe
  • Regina Thoele SVP Compliance - National Futures Association
14:45 - 15:45

Enforcement

Date: , Track:

This expert panel will survey SEC enforcement topics and trends, including insider trading, FCPA, accounting fraud, breach of fiduciary duty and focus on the 2019 Enforcement Priorities

  • Robert Kaplam Partner - Debevoise & Plimpton
  • Therese Chambers Director of Enforcement - Retail and Regulatory Investigations - Financial Conduct Authority
  • Elizabeth Gray Partner - Willkie Farr & Gallagher
  • Antonia Chion Associate Director, Division of Enforcement - U.S. Securities & Exchange Commission
15:00 - 15:15

Afternoon break

Track:
15:45 - 16:15

Afternoon tea

Date: , Track:
16:30 - 17:30

Investment Advisers, and Hedge Funds

Date: , Track:

  • View full profile for David BartelsDavid Bartels Deputy Chief Counsel of the Division of Investment Management - U.S. Securities & Exchange Commission
  • Robert Plaze Partner - Proskauer Rose LLP
  • Andrew Donohue Former Chief of Staff - U.S. Securities & Exchange Commission
17:30

End of workshop

Track:

5th November 2019

08:15 - 08:50

Registration and Coffee

Date: , Track:
08:50 - 09:00

Welcome and Opening Remarks from the Chair

Date: , Track:

09:00 - 09:20

Keynote Address

Date: , Track:

  • Stephanie Avakian Co-Director, Division of Enforcement - U.S. Securities & Exchange Commission
09:20 - 10:30

Key Developments in Capital Formation, Disclosure and Financial Reporting

Date: , Track:

This expert panel will discuss key developments in ICOs and bitcoin offering developments, the expanding definition of what is a security, changes in disclosure requirements for Foreign Private Issuers, private placements, disclosure implications of the new U.S. tax reform, M&A developments and cross-border accounting issues

 

10:30 - 10:50

Networking Coffee

Date: , Track:
10:50 - 12:00

The markets and SEC and CFTC developments

Date: , Track:

  • Christian Sabella Deputy Director, Division of Trading & Markets - U.S. Securities & Exchange Commission
  • Regina Thoele SVP Compliance - National Futures Association
  • Jim Burns Partner - Willkie, Farr & Gallagher
12:00 - 12:50

Regulators Panel

Date: , Track:

A unique opportunity to "ask the SEC".

A feature of this unique conference is this informal discussion by senior SEC officials on topics relevant to you – explore cryptocurrency, how the SEC views Brexit and MiFID II and other issues in a Q and A format

  • View full profile for Barry SummerBarry Summer Associate Director, Division of Corporation Finance - U.S. Securities and Exchange Commission
  • Mavis Kelly Assistant Director, Office of Compliance, Inspections & Examinations - U.S. Securities & Exchange Commission
  • View full profile for David BartelsDavid Bartels Deputy Chief Counsel of the Division of Investment Management - U.S. Securities & Exchange Commission
  • Christian Sabella Deputy Director, Division of Trading & Markets - U.S. Securities & Exchange Commission
  • Antonia Chion Associate Director, Division of Enforcement - U.S. Securities & Exchange Commission
12:50 - 13:45

Networking Lunch

Date: , Track:
13:45 - 14:45

Compliance, GDPR and Examinations

Date: , Track:

This expert panel will discuss compliance requirements for non-U.S. registered investment advisers, broker-dealers and companies accessing the U.S. markets, with an emphasis on having policies and procedures reasonably designed to prevent violations and how the SEC examines non-U.S. firms

  • Mavis Kelly Assistant Director, Office of Compliance, Inspections & Examinations - U.S. Securities & Exchange Commission
  • Christopher Hetner Managing Director, Cyber Risk Management - Marsh & McLennan
  • Mark Berman CEO - CompliGlobe
  • Regina Thoele SVP Compliance - National Futures Association
14:45 - 15:45

Enforcement

Date: , Track:

This expert panel will survey SEC enforcement topics and trends, including insider trading, FCPA, accounting fraud, breach of fiduciary duty and focus on the 2019 Enforcement Priorities

  • Robert Kaplam Partner - Debevoise & Plimpton
  • Therese Chambers Director of Enforcement - Retail and Regulatory Investigations - Financial Conduct Authority
  • Elizabeth Gray Partner - Willkie Farr & Gallagher
  • Antonia Chion Associate Director, Division of Enforcement - U.S. Securities & Exchange Commission
15:45 - 16:15

Afternoon tea

Date: , Track:
16:30 - 17:30

Investment Advisers, and Hedge Funds

Date: , Track:

  • View full profile for David BartelsDavid Bartels Deputy Chief Counsel of the Division of Investment Management - U.S. Securities & Exchange Commission
  • Robert Plaze Partner - Proskauer Rose LLP
  • Andrew Donohue Former Chief of Staff - U.S. Securities & Exchange Commission

6th November 2019