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

SEC Regulation Think-in 2020

SEC Regulation Think-in A (Day 1) 2020

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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Moderated by Raquel Fox, Director of the Office of International Affairs - U.S. Securities and Exchange Commission

13:25 - 13:45

Fireside Chat

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  • Bill Hinman Director, Division of Corporation Finance - U.S. Securities and Exchange Commission
13:45 - 14:45

Key Developments in Capital Formation, Private Placements and Disclosure – Panel

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14:45 - 15:30

Compliance and Examinations

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  • Pete Driscoll Director, Office of Compliance Inspections and Examinations - U.S. Securities and Exchange Commission
  • Regina Thoele SVP Compliance - National Futures Association
  • Mark Berman CEO - CompliGlobe
15:30 - 15:50

Fireside Chat

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  • Brett Redfearn Director, Division of Trading & Markets - U.S. Securities and Exchange Commission
15:50 - 16:40

The markets and SEC and CFTC developments

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  • Emily Westerberg Russell Chief Counsel, Division of Trading & Markets - U.S. Securities and Exchange Commission
  • Dorothy DeWitt Director of the Division of Market Oversight - U.S. Commodity Futures Trading Commission
  • Jim Burns Partner - Willkie, Farr & Gallagher
16:40 - 16:45

Day 1 wrap up

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SEC Regulation Think-in B (Day 2) 2020

13:00 - 13:05

Welcome and Opening Remarks

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Moderator

13:05 - 13:45

GDPR and Cybersecurity

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13:45 - 14:30

Enforcement

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  • Therese Chambers Director of Enforcement - Retail and Regulatory Investigations - Financial Conduct Authority
  • Stephanie Avakian Director, Division of Enforcement - U.S. Securities and Exchange Commission
  • Elizabeth Gray Partner - Willkie Farr & Gallagher
  • Julie Riewe Partner - Debevoise & Plimpton
14:30 - 14:50

Fireside chat

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  • Dalia Blass Director, Division of Investment Management - U.S. Securities and Exchange Commission
14:50 - 15:40

Advisers, Funds and Hedge Funds

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15:40 - 16:40

Brexit, COVID-19 and Compliance

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  • Melissa Gainor Assistant Director, Division of Investment Management - U.S. Securities and Exchange Commission
  • Pete Driscoll Director, Office of Compliance Inspections and Examinations - U.S. Securities and Exchange Commission
16:40 - 16:45

Conference Wrap up

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