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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:

10:15 - 10:40

Networking Coffee

Track:
10:40 - 11:35

The markets and SEC and CFTC developments

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
11:40 - 12:45

Regulators Panel

Track:

  • 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
  • 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:
13:45 - 14:45

Compliance, GDPR and Examinations

Track:

  • 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:

  • 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:
16:30 - 17:30

Investment Advisers, and Hedge Funds

Track:

  • View full profile for David BartelsDavid 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