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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

08:30 - 09:00

Registration and Coffee

Track:
09:00 - 09:10

Welcome and Opening Remarks from the Chair

Track:

09:10 - 10:15

Key Developments in Capital Formation, Disclosure and Financial Reporting

Track:

  • Barbara Jacobs Assistant Director, Division of Corporation Finance - U.S. Securities & Exchange Commission
  • Paul Dudek Counsel - Latham & Watkins
10:15 - 10:40

Networking Coffee

Track:
10:40 - 11:35

The markets and SEC and CFTC developments

Track:

11:40 - 12:45

Regulators Panel

Track:

  • Barbara Jacobs Assistant Director, Division of Corporation Finance - U.S. Securities & Exchange Commission
  • Melissa Gainor Senior Special Counsel, Division of Investment Management - US Securities and Exchange Commission
  • Antonia Chion Associate Director, Division of Enforcement - U.S. Securities & Exchange Commission
  • Pete Driscoll Director, Office of Compliance Inspections and Examinations - U.S. Securities & Exchange Commission
12:45 - 13:45

Networking Lunch

Track:
13:45 - 14:45

Compliance, GDPR and Examinations

Track:

  • Mark Berman CEO - CompliGlobe
  • Pete Driscoll Director, Office of Compliance Inspections and Examinations - U.S. Securities & Exchange Commission
  • Regina Thoele SVP Compliance - National Futures Association
15:30 - 16:30

Enforcement

Track:

  • Elizabeth Gray Partner - Willkie Farr & Gallagher
  • Antonia Chion Associate Director, Division of Enforcement - U.S. Securities & Exchange Commission
  • Mark Steward Director of Enforcement and Market Oversight - Financial Conduct Authority