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Seminar List for 6 November 2023

08:30 - 08:35

Welcome and Opening Remarks

Track: SEC Regulation Outside the United States 2023

Jim Burns Partner - Cleary Gottlieb
Mark Berman CEO - CompliGlobe Ltd.

08:35 - 09:00

Fifth Annual Scott Friestad Memorial Lecture

Track: SEC Regulation Outside the United States 2023

Mark Uyeda Commissioner - SEC

09:00 - 09:15

London and Washington

Track: SEC Regulation Outside the United States 2023

Professor Michael Mainelli FCCA FCSI(Hon) FBCS FRSA, Chairman - Z/Yen Group Limited

09:15 - 10:15

Investment Advisers, Marketing, E, S and G, Private Funds and … ?

Track: SEC Regulation Outside the United States 2023

Robert Shapiro Assistant Director, Division of Investment Management - S.E.C.
Daniel Kahl Partner - Kirkland & Ellis
Pete Driscoll Partner, National Quality Organization PwC

10:15 - 10:30

Coffee Break

Track: SEC Regulation Outside the United States 2023

10:30 - 11:45

Disclosure, ICOs and E, S, and G

Track: SEC Regulation Outside the United States 2023

Brandon Hammer Counsel - Cleary Gottlieb
Paul Dudek Partner - Latham & Watkins
Anthony Tu-Sekine Head of Blockchain and Cryptocurrency Group - Seward & Kissel

11:45 - 12:10

The FCA and Cross-Border Initiatives

Track: SEC Regulation Outside the United States 2023

Jon Relleen Director of Infrastructure & Exchanges, Supervision, Policy & Competition - Markets - Financial Conduct Authority

12:10 - 13:15

Lunch

Track: SEC Regulation Outside the United States 2023

13:15 - 14:00

Digital Assets: A security! A commodity!

Track: SEC Regulation Outside the United States 2023

Matthew Solomon Partner - Cleary Gottlieb
Melissa Hodgman Associate Director - Division of Enforcement, U.S. Securities and Exchange Commission
Regina Thoele SVP Compliance - National Futures Association

14:00 - 15:00

Compliance and Examinations

Track: SEC Regulation Outside the United States 2023

Lisa Byington Compliance Consultant - CompliGlobe Ltd
Natasha Greiner Deputy Director - Division of Examinations, U.S. Securities and Exchange Commission
Regina Thoele SVP Compliance - National Futures Association

15:00 - 15:15

Afternoon Tea

Track: SEC Regulation Outside the United States 2023

15:15 - 16:15

Enforcement

Track: SEC Regulation Outside the United States 2023

Melissa Hodgman Associate Director - Division of Enforcement, U.S. Securities and Exchange Commission
Stephanie Avakian Partner - WilmerHale
Anthony Monaghan Director of Retail and Regulatory Investigations - UK Financial Conduct Authority

16:15 - 17:15

The Markets, T+1 and SEC and CFTC Developments

Track: SEC Regulation Outside the United States 2023

Emily Westerberg Russell Chief Counsel, Division of Trading & Markets - U.S. Securities and Exchange Commission
Jim Burns Partner - Cleary Gottlieb
Cynthia Cain Ioannacci Associate General Counsel - National Futures Association

17:15 - 17:30

Conference Wrap Up

Track: SEC Regulation Outside the United States 2023

Jim Burns Partner - Cleary Gottlieb
Mark Berman CEO - CompliGlobe Ltd.