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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)

Seminar List for 5th November 2019

08:15 - 08:50

Registration and Coffee

Track: SEC Regulation Outside the U.S. 2

08:50 - 09:00

Welcome and Opening Remarks from the Chair

Track: SEC Regulation Outside the U.S. 2

Mark Berman CEO - CompliGlobe

09:00 - 09:20

Keynote Address

Track: SEC Regulation Outside the U.S. 2

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

Track: SEC Regulation Outside the U.S. 2

Barry Summer Associate Director, Division of Corporation Finance - U.S. Securities and Exchange Commission
Anthony Tu-Sekine Partner - Seward & Kissel
Paul Dudek Counsel - Latham & Watkins

10:30 - 10:50

Networking Coffee

Track: SEC Regulation Outside the U.S. 2

10:50 - 12:00

The markets and SEC and CFTC developments

Track: SEC Regulation Outside the U.S. 2

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

Track: SEC Regulation Outside the U.S. 2

Barry 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
David 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

Track: SEC Regulation Outside the U.S. 2

13:45 - 14:45

Compliance, GDPR and Examinations

Track: SEC Regulation Outside the U.S. 2

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

Track: SEC Regulation Outside the U.S. 2

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

Track: SEC Regulation Outside the U.S. 2

16:30 - 17:30

Investment Advisers, and Hedge Funds

Track: SEC Regulation Outside the U.S. 2

David 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