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SEC Regulation 2023

SEC Regulation (Day 1) 2023: 08:30 – 17:30 GMT

08:30 - 08:35

Welcome and Opening Remarks

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08:35 - 09:00

Fifth Annual Scott Friestad Memorial Lecture

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Introduction by Wilson Friestad, Patomak Global Partners

09:00 - 09:15

London and Washington

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09:15 - 10:15

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

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10:15 - 10:30

Coffee Break

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10:30 - 11:45

Disclosure, ICOs and E, S, and G

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11:45 - 12:10

The FCA and Cross-Border Initiatives

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  • Jon Relleen Director of Infrastructure & Exchanges, Supervision, Policy & Competition - Markets - Financial Conduct Authority
13:15 - 14:00

Digital Assets: A security! A commodity!

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14:00 - 15:00

Compliance and Examinations

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  • 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

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15:15 - 16:15

Enforcement

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  • 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

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17:15 - 17:30

Conference Wrap Up

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CCOs and SEC Examinations (Day 2) 2023: 08:30 – 13:00 GMT

08:30 - 13:00

CCOs and SEC Examinations

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  • Robert Shapiro Assistant Director, Division of Investment Management - S.E.C.
  • Natasha Greiner Deputy Director - Division of Examinations, U.S. Securities and Exchange Commission
  • Mark Berman CEO - CompliGlobe Ltd.