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  • SEC Regulation Outside the United States, Conference (19 June 2018)
  • SEC Basics, Workshop (18 June 2018)
  • SEC Examinations, Workshop (20 June 2018)

SEC Regulation Outside the U.S. 2

19 June 2018

08:30 - 09:00

Registration and Coffee

Date:
09:00 - 09:05

Welcome and Opening Remarks from the Chair

Date:

09:05 - 09:25

Keynote Address

Date:

  • Andrew Donohue Former Chief of Staff - U.S. Securities & Exchange Commission
09:25 - 10:30

Key Developments in Capital Formation, Disclosure and Financial Reporting

Date:

  • 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

Date:
10:50 - 11:50

The markets and SEC and CFTC developments

Date:

  • 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

Date:

  • 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

Date:
14:00 - 14:15

U.S. regulatory developments – the effect on EU activity

Date:

  • Adam Farkas Executive Director - European Banking Authority
14:15 - 15:15

Compliance and Examinations

Date:

  • 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

Date:
15:30 - 16:30

Enforcement

Date:

  • 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

Date:

  • 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

Drinks Reception

Date: