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  • SEC Regulation Outside the United States, Conference (19 June 2018)
  • SEC Basics, Workshop (18 June 2018)
  • SEC Examinations, Workshop (20 June 2018)

SEC Regulation Outside the United States, Conference

08:30 - 09:00

Registration and Coffee

Date: , Track:
09:00 - 09:05

Welcome and Opening Remarks from the Chair

Date: , Track:

09:05 - 09:25

Keynote Address

Date: , Track:

  • Andrew Donohue Former Chief of Staff - U.S. Securities & Exchange Commission
09:25 - 10:30

Key Developments in Capital Formation, Disclosure and Financial Reporting

Date: , Track:

This expert panel will discuss key developments in ICOs and bitcoin offering developments, the expanding definition of what is a security, changes in disclosure requirements for Foreign Private Issuers, private placements, disclosure implications of the new U.S. tax reform, M&A developments and cross-border accounting issues

 

  • Michael Coco Senior International Counsel, Office of International Corporate Finance, Division of Corporation Finance - U.S. Securities and Exchange Commission
  • Paul Dudek Counsel - Latham & Watkins
  • John White Partner - Cravath Swaine & Moore
10:30 - 10:50

Networking Coffee

Date: , Track:
10:50 - 11:50

The markets and SEC and CFTC developments

Date: , Track:

This expert panel will explore key SEC and CFTC trading and market developments as they are affecting UK and European firms and how they access U.S. markets and participants, including cross-border brokerage, swaps, trading in the bitcoin/cryptocurrency, equity, fixed income and derivatives space.

  • Carol McGee Assistant Director, Dirivision of Trading & Markets - U.S. Securities & Exchange Commission
  • Regina Thoele SVP Compliance - National Futures Association
  • Jim Burns Partner - Willkie, Farr & Gallagher
  • Marlon Paz Partner - Seward & Kissel
11:50 - 13:00

Regulators Panel

Date: , Track:

A unique opportunity to "ask the SEC".

A feature of this unique conference is this informal discussion by senior SEC officials on topics relevant to you – explore cryptocurrency, how the SEC views Brexit and MiFID II and other issues in a Q and A format

  • Antonia Chion Associate Director, Division of Enforcement - U.S. Securities & Exchange Commission
  • Marita Bartolini Assistant Director Office of Compliance Inspections & Examinations - U.S. Securities & Exchange Commission
  • Carol McGee Assistant Director, Dirivision of Trading & Markets - U.S. Securities & Exchange Commission
  • Michael Coco Senior International Counsel, Office of International Corporate Finance, Division of Corporation Finance - U.S. Securities and Exchange Commission
  • Sara Cortes Assistant Director, Investment Adviser Regulation Office - U.S. Securities and Exchange Commission
13:00 - 14:00

Networking Lunch

Date: , Track:
14:00 - 14:15

U.S. regulatory developments – the effect on EU activity

Date: , Track:

Keynote address on how the  U.S. regulatory developments have had, and are having an impact upon EU activity, with a view to thoughts on Brexit

  • Adam Farkas Executive Director - European Banking Authority
14:15 - 15:15

Compliance and Examinations

Date: , Track:

This expert panel will discuss compliance requirements for non-U.S. registered investment advisers, broker-dealers and companies accessing the U.S. markets, with an emphasis on having policies and procedures reasonably designed to prevent violations and how the SEC examines non-U.S. firms

  • Mark Berman CEO - CompliGlobe
  • Marita Bartolini Assistant Director Office of Compliance Inspections & Examinations - U.S. Securities & Exchange Commission
  • Regina Thoele SVP Compliance - National Futures Association
15:15 - 15:30

Afternoon tea

Date: , Track:
15:30 - 16:30

Enforcement

Date: , Track:

This expert panel will survey SEC enforcement topics and trends, including insider trading, FCPA, accounting fraud, breach of fiduciary duty and focus on the 2018 Enforcement Priorities

  • Mark Steward Director of Enforcement and Market Oversight - Financial Conduct Authority
  • Andrew Lawrence Partner - Skadden Arps Meagher & Flom
  • Antonia Chion Associate Director, Division of Enforcement - U.S. Securities & Exchange Commission
16:30 - 17:30

Investment Advisers, and MiFID II

Date: , Track:

  • Sara Cortes Assistant Director, Investment Adviser Regulation Office - U.S. Securities and Exchange Commission
  • Bob Plaze Partner - Proskauer Rose LLP
  • Andrew Donohue Former Chief of Staff - U.S. Securities & Exchange Commission
17:30 - 18:30

Drinks Reception

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