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

Mr. Summer has been an Associate Director of the Division of Corporation Finance at the U.S. Securities and Exchange Commission since 2004.  Prior to that he served as an Assistant Director and a Special Counsel in the Division of Corporation Finance.  He joined the SEC in December, 1985.

 

As an Associate Director, Mr. Summer has supervised the Division’s disclosure operations function, led various rule-making projects and worked on various interpretive and policy initiatives.  He has had direct oversight of the Division’s filing review function, which includes reviewing and commenting upon filings made by public companies pursuant to the Federal Securities laws.  Mr. Summer has also led or participated in numerous rulemakings, including rulemakings to update and revise the disclosure requirements related to executive compensation, the disclosure requirements for oil and gas companies, the disclosure requirements for companies with mining operations, as well as various rulemakings to implement the Dodd-Frank Wall Street Reform and Consumer Protection Act

 

Mr. Summer has been a speaker on the Federal securities laws and related issues involving the Division of Corporation Finance and is currently an adjunct professor of law at the Georgetown University Law Center in Washington, D.C., teaching Securities Regulation. He has also taught at Howard University Law School and the University of Virginia Law School.  Mr. Summer received his J.D. from the Georgetown University Law Center in 1982 and his B.S. in finance from the University of Rhode Island in 1979.

Mr. Bartels has served in a number of capacities in the Division of Investment Management, most recently as Senior Policy Advisor to Director Dalia Blass. His work has encompassed rulemaking, applications for exemptive relief, and requests for legal and policy guidance across diverse subjects under the Investment Company Act and the Advisers Act of 1940. Mr. Bartels joined the division in 2010, starting in the Investment Adviser Regulation Office, where he received the Commission’s Law and Policy Award for work on private fund adviser reporting. Mr. Bartels was Branch Chief in the Exemptive Applications and Chief Counsel’s Offices from 2011-2016, focusing on exchange-traded funds, business development companies, funds of funds, and affiliated transactions. Mr. Bartels also served as counsel to Commissioner Kara M. Stein, advising on a wide range of matters under the federal securities laws and supporting the Commission’s Diversity Council. Prior to joining the Division, Mr. Bartels worked in the corporate practice at Sullivan & Cromwell LLP, where he advised clients on securities offerings, mergers and acquisitions, and other corporate transactions. Mr. Bartels received his law degree from Yale Law School and his bachelor’s degree from SUNY Buffalo.

Anthony is Head of Seward & Kissel’s Blockchain and Cryptocurrency Group. He also is a member of the Firm’s Capital Markets and Securities and Investment Management Groups, and is located in Seward & Kissel’s Washington, D.C. office. As member of S&K’s Blockchain and Cryptocurrency Group, Anthony has advised clients on a wide range of topics, including how to structure, issue and register tokens in ICOs, custody of both utility tokens and tokens that are securities, transfer and liquidity issues, and investments in crypto assets by funds and other investors. He has practiced in the capital markets area for more than 20 years, and he can draw on his skills in securities laws and regulations, financial services regulations and corporate governance to advise his clients on transactions from early-stage formation to going public. Anthony has advised clients in both public and private capital markets deals, and his clients include corporations, funds and other entities. He is one of the leading experts on physical precious metals funds. Anthony also has represented issuers and underwriters in filings with FINRA in connection with public offerings. He received his B.A. from California State University, Fullerton, and his J.D. from Harvard Law School.

Anthony has served as President of the Asian Pacific American Bar Association of the Greater Washington, D.C. Area and as Secretary of the District of Columbia Bar. He is fluent in German.

Christian Sabella is Deputy Director of the Division of Trading and Markets at the U.S. Securities and Exchange Commission (SEC), where he is responsible for the Offices of Market Supervision and Clearance and Settlement.  He joined the SEC in 2011 and has served in a number of roles, including as Associate Director for the Office of Clearance and Settlement.  Mr. Sabella has a J.D. from Georgetown University Law Center and received his undergraduate degree from the University of Notre Dame.

Therese Chambers began her career in private practice in the City as a commercial litigator. For the past 20 years she has worked in UK regulatory enforcement at the FCA and FSA, running investigations and conducting litigation in relation to some of the most high profile, complex and challenging regulatory enforcement cases. She is an acknowledged expert on the UK market abuse regime, senior management cases and benchmark enforcement but her experience and expertise covers the full range of the FCA’s regulatory jurisdiction. Therese has also held important responsibilities in relation to enforcement strategy. She is currently responsible for the FCA’s retail investigations portfolio, which includes anti-money laundering, pension scam and misselling investigations.

Elizabeth P. Gray is a partner in the Litigation Department and Co-Chair of the Securities Enforcement Practice Group. Elizabeth’s practice focuses on the representation of investment advisers, investment companies and their boards, broker-dealers, self-regulatory organizations (“SROs”), public companies, accounting firms and senior executives facing examination, investigation and litigation by financial regulators. She counsels clients on securities as well as cybersecurity regulation and breach response, and provides corporate governance advice to boards.

Elizabeth was named by Law360 in 2016 among the 25 Most Influential Women in Securities Law, an elite list including current and former senior regulators and private practitioners who have achieved impressive success in securities litigation and enforcement. Additionally, she received the Women of Influence Award in Securities/Capital Markets Law in 2017 by Best Lawyers and the Coalition of Women’s Initiatives in Law. In 2017, 2018 and 2019, she was selected to serve on Law360’s Securities Editorial Advisory Board. Elizabeth serves on the Board of Directors of the Jane Goodall Institute where she is a member of the Audit and Corporate Governance Committees, and serves on the Advisory Committee of the USF Cybersecurity for Executives Certificate Program.

In addition to more than 15 years of private sector experience, Elizabeth formerly served for 12 years at the U.S. Securities and Exchange Commission, including as Assistant Director in the SEC’s Division of Enforcement and as counsel to SEC Chairman Arthur Levitt. She also was general counsel and chief operating officer of a pharmaceutical clinical trial company for a number of years.

Julie M. Riewe is a litigation partner and a member of the firm’s White Collar & Regulatory Defense Group. Her practice focuses on securities-related enforcement and compliance issues and internal investigations, and she has significant experience with matters involving private equity funds, hedge funds, mutual funds, business development companies, separately managed accounts and other asset managers. Ms. Riewe was recognized as a “Client Service All-Star” by BTI Consulting in 2018.

Ms. Riewe frequently represents private equity and hedge fund firms and public companies in SEC investigations and internal investigations, and advises companies on a variety of regulatory and enforcement issues.

Prior to joining the firm, Ms. Riewe was Co-Chief of the Asset Management Unit of the U.S. Securities and Exchange Commission’s Division of Enforcement. Ms. Riewe oversaw a nationwide program of investigations focusing on investment advisers, investment companies, mutual funds, hedge funds, private equity funds and other investment vehicles managed by investment advisers. She co-led a team of nearly 80 attorneys, industry experts and other professionals in all 12 SEC offices, and was responsible for directing the SEC’s asset management-related enforcement efforts. In recognition of her leadership and integrity, she received the Chairman’s Award for Excellence in Leadership in 2015.

Before her appointment to Co-Chief, Ms. Riewe was Deputy Chief and Assistant Director of the Asset Management Unit in 2012 and 2010, respectively. From 2008 to 2010, she was Branch Chief in the Enforcement Division in Washington, D.C. Ms. Riewe joined the SEC in 2005 as a staff attorney in the Enforcement Division In 2007, she earned the Ellen B. Ross Award for her performance at the SEC.

From 2000 to 2004, Ms. Riewe was a litigation associate with a major international law firm, prior to which she served as a law clerk to the Hon. Diana E. Murphy of the U.S. Court of Appeals for the Eighth Circuit from 1999 to 2000.

Ms. Riewe earned her J.D. and M.P.P. from Duke University School of Law in 1999, where she was a member of the Duke Law Journal and editor-in-chief of the Duke Journal of Gender Law & Policy. She received her A.B. from Duke University in 1993.

Antonia Chion is an Associate Director and head of the Broker-Dealer Task Force of the SEC’s Division of Enforcement, where she assists in planning and directing the Commission’s enforcement program.  Ms. Chion joined the Commission in 1988 and then served in several positions of increasing responsibility in the Enforcement program.  During her tenure at the Commission, Ms. Chion has led significant investigations involving a broad array of subjects, including misconduct by regulated entities, market manipulation, financial fraud, violations of the FCPA, and insider trading.  In 2016 Ms. Chion received the Distinguished Service Award, the SEC’s highest honorary award presented to long-time SEC employees who have made major contributions to the work of the Commission.  In 2000 she received the Stanley Sporkin Award in recognition of outstanding contributions to the SEC’s enforcement program.  In subsequent years, she was a recipient of the Commission’s Law and Policy Award, Capital Markets Award, and the Chairman’s Award for Excellence.

Before joining the Commission, Ms. Chion was the Deputy Bureau Chief of the Narcotics Bureau in the Kings County District Attorney’s Office in Brooklyn, N.Y., where she previously served as a supervisor and trial assistant district attorney.

She received her A.B. from Tufts University and her J.D. from Georgetown University Law Center.

Paul Dudek is counsel in the Washington, D.C. office of Latham & Watkins. Mr. Dudek joins Latham after 23 years as Chief of the Office of International Corporate Finance in the US Securities Exchange Commission’s (SEC) Division of Corporation Finance. His practice covers all aspects of cross-border capital market transactions involving non-US companies and sovereigns, as well as related regulatory matters.

In his previous role, Mr. Dudek oversaw the Office’s efforts to develop and implement rulemaking initiatives and interpretive policies pertaining to US public and private offerings, listings and other transactions and periodic reporting by foreign private issuers in the US and multinational offerings by foreign and domestic issuers, especially with respect to Regulation S, Rule 144A, Form 20-F and Securities Act and Exchange Act filings by foreign private issuers, the Multijurisdictional Disclosure System (MJDS), American depositary receipts (ADRs) and International Financial Reporting Standards (IFRS).

Regina Thoele is Senior Vice President of Compliance at National Futures Association (NFA).  Her current responsibilities include overseeing the Compliance Department’s exam, investigation, financial surveillance, and risk management programs; working on enforcement cases; advising Members on compliance issues; assisting NFA Member committees; participating in industry conferences; and developing and monitoring Compliance Department goals.  In addition, Ms. Thoele works with NFA’s Legal Department to develop rules and interpretive guidance, makes presentations to NFA’s Executive Committee and Board of Directors and to other outside organizations, and develops strategic plans and initiatives for NFA’s Compliance Department.  From July 1994 until March 1998, Ms. Thoele held the position of Arbitration Manager and was responsible for supervising staff and helping manage the Arbitration program.  Ms. Thoele has also served as an adjunct faculty member at the Illinois Institute of Technology, where she taught a compliance course.

Ms. Thoele attended Indiana University and received a B.S. degree in finance.  Ms. Thoele also received her designation as a Certified Regulatory and Compliance Professional through the NASD Institute at The Wharton School, as well as her designation as a Certified Fraud Examiner through the Association of Certified Fraud Examiners.