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

SEC Regulation Think-in 2021

SEC Regulation Think-in A (Day 1) 2021

 

13:00 - 13:05

Welcome and Opening Remarks from the Chair

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13:05 - 13:25

Scott Friestad Memorial Address

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  • 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

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  • 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

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15:30 - 15:50

Fireside Chat

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  • Steve Luparello former Director, Division of Trading & Markets, U.S. Securities and Exchange Commission
15:50 - 16:50

Fireside Chat: Hot Issues in Cross-Border Regulation

Track:

  • Ken Bentsen President and CEO - SIFMA
  • Catherine McGuinness Chair, Policy and Resources Committee - City of London Corporation
  • Pete Driscoll Partner, National Quality Organization PwC (former Director, Division of Examinations, SEC)
16:50 - 16:55

Day 1 wrap up

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  • Jim Burns Partner - Willkie, Farr & Gallagher

SEC Regulation Think-in B (Day 2) 2021

13:00 - 13:05

Welcome and Opening Remarks

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  • Jim Burns Partner - Willkie, Farr & Gallagher
13:05 - 13:25

Fireside Chat

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  • Hester Peirce Commissioner - U.S. Securities and Exchange Commission
13:25 - 14:45

Fireside Chat/ Panel: Digital Assets and ICOs, Climate Change, ESG and Offering/Disclosure Considerations

Track:

  • View full profile for Lisa KohlLisa Kohl Acting Deputy Director, Division of Corporation Finance - U.S. Securities and Exchange Commission
  • Anthony Tu-Sekine Head of Blockchain and Cryptocurrency Group - Seward & Kissel
  • Paul Dudek Partner - Latham & Watkins
  • Lillian Brown Partner - WilmerHale
14:45 - 15:45

Enforcement

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  • Adam Aderton Associate Director, Division of Enforcement - U.S. Securities and Exchange Commission
  • Therese Chambers Director of Enforcement - Retail and Regulatory Investigations - Financial Conduct Authority
  • Stephanie Avakian Partner - WilmerHale
15:45 - 16:45

The Markets and SEC and CFTC developments

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16:45 - 17:00

Conference Wrap up

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