SEC Regulation Outside the United States, London, November 2023
6 - 7 November 2023
Simmons & Simmons, CityPoint, London EC2Y 9SS
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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
Date:
6 November 2023
,
Track:
SEC Regulation Outside the United States 2023
Jim Burns
Partner
-
Cleary Gottlieb
Mark Berman
CEO
-
CompliGlobe Ltd.
08:35 - 09:00
Fifth Annual Scott Friestad Memorial Lecture
Date:
6 November 2023
,
Track:
SEC Regulation Outside the United States 2023
Introduction by Wilson Friestad, Patomak Global Partners
Mark Uyeda
Commissioner
-
SEC
09:00 - 09:15
London and Washington
Date:
6 November 2023
,
Track:
SEC Regulation Outside the United States 2023
Professor Michael Mainelli
FCCA FCSI(Hon) FBCS FRSA, Chairman
-
Z/Yen Group Limited
09:15 - 10:15
Investment Advisers, Marketing, E, S and G, Private Funds and … ?
Date:
6 November 2023
,
Track:
SEC Regulation Outside the United States 2023
Robert Shapiro
Assistant Director, Division of Investment Management
-
S.E.C.
Daniel Kahl
Partner
-
Kirkland & Ellis
Pete Driscoll
Partner, National Quality Organization PwC
10:15 - 10:30
Coffee Break
Date:
6 November 2023
,
Track:
SEC Regulation Outside the United States 2023
10:30 - 11:45
Disclosure, ICOs and E, S, and G
Date:
6 November 2023
,
Track:
SEC Regulation Outside the United States 2023
Brandon Hammer
Counsel
-
Cleary Gottlieb
Paul Dudek
Partner
-
Latham & Watkins
Anthony Tu-Sekine
Head of Blockchain and Cryptocurrency Group
-
Seward & Kissel
11:45 - 12:10
The FCA and Cross-Border Initiatives
Date:
6 November 2023
,
Track:
SEC Regulation Outside the United States 2023
Jon Relleen
Director of Infrastructure & Exchanges, Supervision, Policy & Competition - Markets
-
Financial Conduct Authority
12:10 - 13:15
Lunch
Date:
6 November 2023
,
Track:
SEC Regulation Outside the United States 2023
13:15 - 14:00
Digital Assets: A security! A commodity!
Date:
6 November 2023
,
Track:
SEC Regulation Outside the United States 2023
Matthew Solomon
Partner
-
Cleary Gottlieb
Melissa Hodgman
Associate Director
-
Division of Enforcement, U.S. Securities and Exchange Commission
Regina Thoele
SVP Compliance
-
National Futures Association
14:00 - 15:00
Compliance and Examinations
Date:
6 November 2023
,
Track:
SEC Regulation Outside the United States 2023
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
Date:
6 November 2023
,
Track:
SEC Regulation Outside the United States 2023
15:15 - 16:15
Enforcement
Date:
6 November 2023
,
Track:
SEC Regulation Outside the United States 2023
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
Date:
6 November 2023
,
Track:
SEC Regulation Outside the United States 2023
Emily Westerberg Russell
Chief Counsel, Division of Trading & Markets
-
U.S. Securities and Exchange Commission
Jim Burns
Partner
-
Cleary Gottlieb
Cynthia Cain Ioannacci
Associate General Counsel
-
National Futures Association
17:15 - 17:30
Conference Wrap Up
Date:
6 November 2023
,
Track:
SEC Regulation Outside the United States 2023
Jim Burns
Partner
-
Cleary Gottlieb
Mark Berman
CEO
-
CompliGlobe Ltd.
CCOs and SEC Examinations (Day 2) 2023: 08:30 – 13:00 GMT
08:30 - 13:00
CCOs and SEC Examinations
Date:
7 November 2023
,
Track:
CCOs and SEC Examinations
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.
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