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

Mr. Bentsen is President and CEO of SIFMA. Mr. Bentsen is also the CEO of the Global Financial Markets Association (GFMA), SIFMA’s global affiliate, Chair of the International Council of Securities Associations (ICSA), Co-Chair of the British American Finance Alliance (BAFA), a coalition of 19 British and American trade associations and industry bodies representing both financial and professional services, and Chairman of Engage China, a coalition of 12 U.S. financial services trade associations united in support of high-level engagement with China. Previously, Mr. Bentsen served as President, and earlier as the Executive Vice President of Public Policy and Advocacy for SIFMA, responsible for SIFMA’s legal, regulatory, and legislative affairs and advocacy initiatives.

Prior to joining SIFMA, Mr. Bentsen was president of the Equipment Leasing and Finance Association (ELFA), where he led the 700-member financial services trade association representing commercial and investment banks, financial services companies and manufacturers in the commercial finance sector. From 2003 to 2006, Mr. Bentsen was a Managing Director at Public Strategies, Inc. where he was a strategic and management consultant principally to the firm’s financial services clients.

From 1995 to 2003, Mr. Bentsen served as a Member of the United States House of Representatives from Texas, where he sat on the House Financial Services Committee (and its predecessor House Banking and Financial Services Committee), and separately on the House Budget Committee. Mr. Bentsen was an active participant in the drafting and enactment of the Sarbanes-Oxley Act, the Gramm-Leach-Bliley Act, the Terrorism Risk Insurance Act and the Commodities Futures Modernization Act. During his tenure in the Congress, he played an active role in legislation and oversight of regulations affecting bank and thrift charters, federal deposit insurance, securities law, derivatives, and the federal government sponsored enterprises (Fannie Mae, Freddie Mac, and the FHLB system). Mr. Bentsen was also instrumental in the passage of the landmark Balanced Budget Act of 1997, particularly with respect to health care policy.

Prior to his service in Congress, Mr. Bentsen was an investment banker at George K. Baum & Co. and previously Drexel, Burnham Lambert, Inc., where he specialized in municipal and mortgage finance.

Mr. Bentsen is a Trustee of the Hirshhorn Museum and Sculpture Garden of the Smithsonian Institution and the Center for Congressional and Political Studies at the American University. He also serves on the boards of the United States Capitol Historical Society, the Memorial Foundation of the Martin Luther King, Jr. Memorial and the Committee on Capital Markets Regulation.

Mr. Bentsen has a B.A. from the University of St. Thomas and an M.P.A. from American University.

Pete Haggerty is a Senior Regulatory Counsel in OCIE’s Investment Adviser/Investment Company (IA/IC) Examination Program. OCIE conducts the SEC’s National Exam Program, and the IA/IC examination program is responsible for conducting exams of investment advisers and investment companies. Prior to joining OCIE, Mr. Haggerty worked in the SEC’s Division of Enforcement for over ten years, including four years with the Division’s Asset Management Unit (AMU), where he brought a variety of enforcement actions against hedge funds, corporations and individuals. Mr. Haggerty also served as Special Counsel in the SEC’s Division of Trading and Markets, where he worked on rulemaking initiatives and broker-dealer registration issues. Mr. Haggerty began his career in private practice, working as a litigator with a focus on commercial and securities litigation.

Adam Aderton is Co-Chief of the SEC Enforcement Division’s Asset Management Unit, a national specialized unit that focuses on misconduct by investment advisers, investment companies, and private funds.  Mr. Aderton joined the SEC as an Enforcement staff attorney in 2008 and became an Assistant Director in 2013.  Before joining the SEC, Mr. Aderton served as a law clerk to Judge J. Frederick Motz of the U.S. District Court for the District of Maryland and worked in the securities litigation and enforcement practice at Wilmer Cutler Pickering Hale and Dorr LLP.  Mr. Aderton received his undergraduate degree from Truman State University and his J.D. from the University of Virginia.

Lisa Kohl is Acting Deputy Director to the Director of the Division of Corporation Finance at the Securities & Exchange Commission.  Prior to joining the Director’s Office, she was a Legal Branch Chief in the Division’s disclosure review program, and previously served as an attorney-advisor in the disclosure review program.  She joined the SEC in 2010.

Lisa earned her B.A. from the University of Michigan and her J.D. from the American University Washington College of Law.

Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018.

Prior to joining the SEC, Commissioner Peirce conducted research on the regulation of financial markets at the Mercatus Center at George Mason University. She was a Senior Counsel on the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where she advised Ranking Member Richard Shelby and other members of the Committee on securities issues. Commissioner Peirce served as counsel to SEC Commissioner Paul S. Atkins. She also worked as a Staff Attorney in the SEC’s Division of Investment Management. Commissioner Peirce was an associate at Wilmer, Cutler & Pickering (now WilmerHale) and clerked for Judge Roger Andewelt on the Court of Federal Claims.

Commissioner Peirce earned her bachelor’s degree in Economics from Case Western Reserve University and her JD from Yale Law School.

Catherine McGuinness is Chair of the Policy and Resources Committee at the City of London Corporation.  As Chair of the Policy Committee, Catherine is Deputy Chair of the The City UK, the promotional body for the UK financial services industry and the International Regulatory Strategy Group.  She is Chair of the City’s Courts Sub Committee, the body responsible for the management of the Old Baily and the City of London Magistrates’ Court.  She has led the City’s work on education, chairing its Education Board and the City of London Academies Trust.  Catherine has also been closely involved with the City’s cultural offer, having chaired the boards of the Barbican Arts Centre and Guildhall School of Music & Drama, and with the City’s relationship with Northern Ireland.

She is on the board of London & Partners, the Mayor of London’s official promotional agency and a commissioner on the IPPR Commission on Environmental Justice (and previously on the Commission on Economic Justice).

A Solicitor by training, she practiced in financial services law for several years.  Catherine studied PPE at St Anne’s College, Oxford.

Gurbir Grewal is the Director of the Division of Enforcement of the Securities and Exchange Commission. Immediately before joining the Commission, Gurbir was the Attorney General for the State of New Jersey. Prior to that, he served as the Bergen County Prosecutor, the chief law enforcement officer for New Jersey’s most populous county. Earlier in his career, Gurbir served as an Assistant United States Attorney for the District of New Jersey, where he was Chief of the Economic Crimes Unit, and an Assistant United States Attorney for the Eastern District of New York, where he was assigned to the Business and Securities Fraud Unit. He was also an attorney in private practice. He holds a J.D. from the College of William & Mary, Marshall-Wythe School of Law, and a B.S. in Foreign Service from the Georgetown University School of Foreign Service.

 

 

Rachel Kaplan Reicher is the Chief Counsel of the Division of

Market Oversight (DMO) at the U.S. Commodity Futures

Trading Commission (CFTC), and the Deputy Director

of DMO’s Chief Counsel Unit.  She leads the Chief Counsel Unit in advising DMO and the Commission on law and policy that affects DMO’s oversight of the vibrancy, integrity and structure of the commodity futures, options and swaps markets.  Among other things, Rachel and her team support the development and drafting of DMO policy and staff action documents as well as complex rulemakings on a wide range of topics affecting DMO.

 

Prior to joining the CFTC, for fourteen years, Rachel advised a wide variety of clients on federal regulatory law and policy related to derivatives as a Counsel at Skadden and an Associate at Kirkland & Ellis.  She represented clients before the CFTC and the Securities and Exchange Commission, the Department of the Treasury, the Federal Reserve Board and Congress on a broad range of issues arising under Titles II, VII and VIII of the Dodd-Frank Act and the Commodity Exchange Act.

Rachel earned her J.D. from the Boston University School of Law and graduated cum laude from Tufts University with Bachelor’s degrees in Environmental Science and Psychology. Rachel is a member of the board of directors of Kol Shalom in Rockville, Maryland.

Thoreau Bartmann is Senior Special Counsel for the Investment Adviser Rulemaking Office (IARO) at the US Securities and Exchange Commission. Thoreau has been involved in all aspects of asset management regulation, leading a variety of rulemaking initiatives for the Division of Investment Management during his more than ten years of experience at the SEC. Recently, he was team lead for the efforts to modernize the regulation of both investment adviser marketing and fund fair valuation. Before joining IARO, Thoreau was the branch chief managing the effort that led to the adoption of structural reforms to the $3 trillion money market fund industry and was the Division’s lead on the mutual fund liquidity rule adoption and its implementation. Prior to the SEC. Thoreau was a securities enforcement associate at the law firm Fried, Frank, Harris, Shriver and Jacobson where he provided advice to private funds on issues related to late trading and market timing. Thoreau earned his J.D. from the University of North Carolina, Chapel Hill, and B.A from the University of Alabama, Birmingham.

Richard Normington is the IA’s Senior Policy Adviser on trade & investment issues. He is a member of HM Treasury’s Financial Services Expert Trade Advisory Group and works with the Department for International Trade and its international investment agenda.

Richard set up the IA’s Trade & Investment Committee in 2017 and was the IA lead for the industry-wide campaign to successfully lift the U.S. SEC’s GDPR-related moratorium on UK-registered investment advisers. His committee is responsible for advising on business barriers and opportunities for the investment management industry globally,

He worked previously at the TheCityUK as part of its international strategy team, having transferred over from International Financial Services London (IFSL) where he specialized in infrastructure investment.

His earlier career was dedicated to international policy including working for six years as the Secretary General of a global political association chaired by Prime Minister John Howard of Australia, and heading a UK political party’s International Office and its Westminster Foundation for Democracy program.