SEC Regulation Outside the U.S. 2
5th November 2019
08:15 - 08:50
08:50 - 09:00
Welcome and Opening Remarks from the Chair
Mark Berman CEO - CompliGlobe
09:00 - 09:20
Keynote Address
Stephanie Avakian Co-Director, Division of Enforcement - U.S. Securities & Exchange Commission
09:20 - 10:30
Key Developments in Capital Formation, Disclosure and Financial Reporting
Barry Summer Associate Director, Division of Corporation Finance - U.S. Securities and Exchange Commission
Anthony Tu-Sekine Partner - Seward & Kissel
Paul Dudek Counsel - Latham & Watkins
10:30 - 10:50
Networking Coffee
10:50 - 12:00
The markets and SEC and CFTC developments
Christian Sabella Deputy Director, Division of Trading & Markets - U.S. Securities & Exchange Commission
Regina Thoele SVP Compliance - National Futures Association
Jim Burns Partner - Willkie, Farr & Gallagher
12:00 - 12:50
Regulators Panel
- Barry Summer Associate Director, Division of Corporation Finance - U.S. Securities and Exchange Commission
Mavis Kelly Assistant Director, Office of Compliance, Inspections & Examinations - U.S. Securities & Exchange Commission- David Bartels Deputy Chief Counsel of the Division of Investment Management - U.S. Securities & Exchange Commission
- Christian Sabella Deputy Director, Division of Trading & Markets - U.S. Securities & Exchange Commission
Antonia Chion Associate Director, Division of Enforcement - U.S. Securities & Exchange Commission
12:50 - 13:45
Networking Lunch
13:45 - 14:45
Compliance, GDPR and Examinations
- Mavis Kelly Assistant Director, Office of Compliance, Inspections & Examinations - U.S. Securities & Exchange Commission
Christopher Hetner Managing Director, Cyber Risk Management - Marsh & McLennan- Mark Berman CEO - CompliGlobe
- Regina Thoele SVP Compliance - National Futures Association
14:45 - 15:45
Enforcement
Robert Kaplam Partner - Debevoise & Plimpton
Therese Chambers Director of Enforcement - Retail and Regulatory Investigations - Financial Conduct Authority
Elizabeth Gray Partner - Willkie Farr & Gallagher- Antonia Chion Associate Director, Division of Enforcement - U.S. Securities & Exchange Commission
15:45 - 16:15
Afternoon tea
16:30 - 17:30
Investment Advisers, and Hedge Funds
- David Bartels Deputy Chief Counsel of the Division of Investment Management - U.S. Securities & Exchange Commission
Robert Plaze Partner - Proskauer Rose LLP
Andrew Donohue Former Chief of Staff - U.S. Securities & Exchange Commission