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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: SEC Regulation Outside the U.S. 2

09:00 - 09:10

Welcome and Opening Remarks from the Chair

Track: SEC Regulation Outside the U.S. 2

Mark Berman CEO - CompliGlobe

09:10 - 10:15

Key Developments in Capital Formation, Disclosure and Financial Reporting

Track: SEC Regulation Outside the U.S. 2

Anthony Tu-Sekine Partner - Seward & Kissel
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: SEC Regulation Outside the U.S. 2

10:40 - 11:35

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

11:40 - 12:45

Regulators Panel

Track: SEC Regulation Outside the U.S. 2

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
Barbara Jacobs Assistant Director, Division of Corporation Finance - U.S. Securities & 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: SEC Regulation Outside the U.S. 2

13:45 - 14:45

Compliance, GDPR and Examinations

Track: SEC Regulation Outside the U.S. 2

Christopher Hetner Managing Director, Cyber Risk Management - Marsh & McLennan
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

14:45 - 15:45

Enforcement

Track: SEC Regulation Outside the U.S. 2

Therese Chambers Director of Enforcement - Retail and Regulatory Investigations - Financial Conduct Authority
Elizabeth Gray Partner - Willkie Farr & Gallagher
Julie Riewe Partner - Debevoise & Plimpton
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
Bob Plaze Partner - Proskauer Rose LLP
Andrew Donohue Former Chief of Staff - U.S. Securities & Exchange Commission