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

SEC Regulation Think-in 2020

13:00 - 13:05

Welcome and Opening Remarks from the Chair

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13:05 - 13:25

Keynote Address

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13:30 - 14:20

Key Developments in Capital Formation, Disclosure and Financial Reporting

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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


15:00 - 16:00

The markets and SEC and CFTC developments

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  • Christian Sabella Deputy Director, Division of Trading & Markets - U.S. Securities & Exchange Commission
  • Jim Burns Partner - Willkie, Farr & Gallagher
16:00 - 17:00

Compliance, GDPR Cybersecurity and Examinations

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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