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  • SEC Regulation Outside the United States, Conference (19 June 2018)
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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.

Marita Bartolini has over 20 years of examination experience and serves as an Assistant Director for OCIE’s Home Office Investment Adviser and Investment Company Examination Program.  In this capacity, she partners with other assistant directors to lead and manage the group’s 30 examiners.  In her various roles in the IA/IC group, she has led examination teams of both retail and institutional investment advisers; private funds’  alternative mututal funds, money market funds and pricing services.  Marita serves on specialized working groups and various committees that support the developemtn and improvement of the examination program.  Marita has a B.S. degree in finance (Suma cum Laude) from the University of Maryland at College Park, Smith College of Business and Management

Michael D. Coco is International Counsel in the Division of Corporation Finance’s Office of International Corporate Finance (OICF) at the U.S. Securities and Exchange Commission.  Mr. Coco represents the SEC on the International Organization of Securities Commissions’ (IOSCO) Committee on Issuer Accounting, Audit and Disclosure, and that committee’s Disclosure Subcommittee, he also works with IOSCO, the Financial Stability Board, and the Basel Committee on Banking Supervision on issues including securitization, compensation, and other disclosure-related topics.

Mr. Coco joined the staff of the Division of Corporation Finance in 1998.  From 2002 to 2009, as counsel in OICF, he worked with sovereign issuers registering under Schedule B, as well as with other foreign issuers seeking interpretive guidance on disclosure matters.  He also participated on several rulemaking initiatives, including those relating to the use of IFRS by reporting companies and the elimination of the reconciliation requirement.  Prior to that, he served in a number of offices in the Division, working on a range of topics including structured finance, shareholder proposals, and small business disclosure.

Mr. Coco graduated from the University of Virginia School of Law, where he was an editor of the Virginia Journal of International Law.  He received his B.S. from the Georgetown University School of Foreign Service, an M.A. from the Columbia University School of International and Public Affairs, and a certificate in political studies from SciencesPo (Paris). He is fluent in French and Italian.

Carol McGee is the head of the Office of Derivatives Policy in the SEC’s Division of Trading and Markets.  In that role she directs projects relating to key definitional terms and foreign regulatory issues that arise in connection with the regulation of security-based swaps under U.S. law.  The Office of Derivatives Policy also provides interpretive advice on the regulatory treatment of novel derivative products under the Exchange Act, and administers the new product provisions contained in the Dodd-Frank Act.

 

She was previously a Partner at Alston & Bird LLP and the co-leader of its securities practice group.  Ms. McGee also served as Deputy Chief Counsel in the SEC’s Division of Corporation Finance.  Ms. McGee holds a J.D. from the University of Virginia, an M.Phil from the University of St. Andrews and a B.A. from Wellesley College.

Sara Cortes has over a decade of experience in financial regulation. She currently heads the Investment Adviser Regulation Office in the Division of Investment Management of the SEC, where she leads the consideration of policy issues affecting registered investment advisers. Ms. Cortes led the Commission’s Investment Company Reporting Modernization initiative, which the Commission adopted in 2016. This rulemaking will transform the amount and quality of data that mutual funds will provide regarding their portfolios and business operations in order to enhance all aspects of the Commission’s regulation of asset managers.

As Senior Advisor to the Honorable Elisse Walter, she advised the Commissioner on a variety of enforcement actions and domestic and international regulatory initiatives. During Ms. Walter’s tenure as Chairman, Ms. Cortes served as her Deputy on the Financial Stability Oversight Council. Ms. Cortes also advised the Commissioner on rules implementing Title VII of the Dodd-Frank Act regarding the SEC’s domestic and cross-border regulation of security-based swaps, as well as rules implementing provisions of the JOBS Act.

Ms. Cortes has also advised the SEC’s Enforcement Division on numerous enforcement actions as an attorney in the SEC’s Office of General Counsel. Before joining the SEC, Ms. Cortes handled a broad range of enforcement actions and regulatory matters at the Federal Reserve Board. In private practice, Ms. Cortes conducted internal investigations and advised underwriters and issuers in public offerings and private placements.