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  • SEC Regulation Think-In 2020 - 15 and 16 September 2020

Seminar List for 8 Nov 21

13:00 - 13:05

Welcome and Opening Remarks from the Chair

Track:

13:05 - 13:25

Scott Friestad Memorial Address

Track:

  • Gubir Grewal Director, Division of Enforcement - U.S. Securities and Exchange Commission
13:30 - 14:30

The SEC’s New Marketing Rule and Issues for Advisers

Track:

  • Thoreau Bartmann Assistant Chief Counsel, Division of Investment Management - U.S. Securities and Exchange Commission
  • Richard Normington Senior Policy Adviser - International - The Investment Association
  • Robert Plaze Partner - Proskauer Rose
14:30 - 15:30

Compliance, Cybersecurity, Data Integrity and Examinations

Track:

15:30 - 15:50

Fireside Chat

Track:

  • Steve Luparello former Director, Division of Trading & Markets, U.S. Securities and Exchange Commission
15:45 - 16:45

The Markets and SEC and CFTC developments

Track:

16:50 - 16:55

Day 1 wrap up

Track:

  • Jim Burns Partner - Willkie, Farr & Gallagher