SEC Regulation Outside the U.S. 2
19 June 2018
08:30 - 09:00
09:00 - 09:05
Welcome and Opening Remarks from the Chair
Mark Berman CEO - CompliGlobe
09:05 - 09:25
Keynote Address
Andrew Donohue Former Chief of Staff - U.S. Securities & Exchange Commission
09:25 - 10:30
Key Developments in Capital Formation, Disclosure and Financial Reporting
Michael Coco Senior International Counsel, Office of International Corporate Finance, Division of Corporation Finance - U.S. Securities and Exchange Commission
Paul Dudek Counsel - Latham & Watkins
John White Partner - Cravath Swaine & Moore
10:30 - 10:50
Networking Coffee
10:50 - 11:50
The markets and SEC and CFTC developments
Carol McGee Assistant Director, Dirivision of Trading & Markets - U.S. Securities & Exchange Commission
Regina Thoele SVP Compliance - National Futures Association
Jim Burns Partner - Willkie, Farr & Gallagher
Marlon Paz Partner - Seward & Kissel
11:50 - 13:00
Regulators Panel
Antonia Chion Associate Director, Division of Enforcement - U.S. Securities & Exchange Commission
Marita Bartolini Assistant Director Office of Compliance Inspections & Examinations - U.S. Securities & Exchange Commission
Carol McGee Assistant Director, Dirivision of Trading & Markets - U.S. Securities & Exchange Commission
Michael Coco Senior International Counsel, Office of International Corporate Finance, Division of Corporation Finance - U.S. Securities and Exchange Commission
Sara Cortes Assistant Director, Investment Adviser Regulation Office - U.S. Securities and Exchange Commission
13:00 - 14:00
Networking Lunch
14:00 - 14:15
U.S. regulatory developments – the effect on EU activity
Adam Farkas Executive Director - European Banking Authority
14:15 - 15:15
Compliance and Examinations
Mark Berman CEO - CompliGlobe
Marita Bartolini Assistant Director Office of Compliance Inspections & Examinations - U.S. Securities & Exchange Commission
Regina Thoele SVP Compliance - National Futures Association
15:15 - 15:30
Afternoon tea
15:30 - 16:30
Enforcement
Mark Steward Director of Enforcement and Market Oversight - Financial Conduct Authority
Andrew Lawrence Partner - Skadden Arps Meagher & Flom
Antonia Chion Associate Director, Division of Enforcement - U.S. Securities & Exchange Commission
16:30 - 17:30
Investment Advisers, and MiFID II
Sara Cortes Assistant Director, Investment Adviser Regulation Office - U.S. Securities and Exchange Commission
Bob Plaze Partner - Proskauer Rose LLP
Andrew Donohue Former Chief of Staff - U.S. Securities & Exchange Commission
17:30 - 18:30