Welcome and Opening Remarks
Jim Burns Partner - Cleary Gottlieb
Mark Berman CEO - CompliGlobe Ltd.
SEC Regulation Outside the United States 2023
6 November 2023
08:30 - 08:35
08:35 - 09:00
Fifth Annual Scott Friestad Memorial Lecture
Mark Uyeda Commissioner - SEC
09:00 - 09:15
London and Washington
Professor Michael Mainelli FCCA FCSI(Hon) FBCS FRSA, Chairman - Z/Yen Group Limited
09:15 - 10:15
Investment Advisers, Marketing, E, S and G, Private Funds and … ?
Robert Shapiro Assistant Director, Division of Investment Management - S.E.C.
Daniel Kahl Partner - Kirkland & Ellis
Pete Driscoll Partner, National Quality Organization PwC
10:15 - 10:30
Coffee Break
10:30 - 11:45
Disclosure, ICOs and E, S, and G
Brandon Hammer Counsel - Cleary Gottlieb
Paul Dudek Partner - Latham & Watkins
Anthony Tu-Sekine Head of Blockchain and Cryptocurrency Group - Seward & Kissel
11:45 - 12:10
The FCA and Cross-Border Initiatives
Jon Relleen Director of Infrastructure & Exchanges, Supervision, Policy & Competition - Markets - Financial Conduct Authority
12:10 - 13:15
Lunch
13:15 - 14:00
Digital Assets: A security! A commodity!
Matthew Solomon Partner - Cleary Gottlieb
Melissa Hodgman Associate Director - Division of Enforcement, U.S. Securities and Exchange Commission
Regina Thoele SVP Compliance - National Futures Association
14:00 - 15:00
Compliance and Examinations
Lisa Byington Compliance Consultant - CompliGlobe Ltd
Natasha Greiner Deputy Director - Division of Examinations, U.S. Securities and Exchange Commission- Regina Thoele SVP Compliance - National Futures Association
15:00 - 15:15
Afternoon Tea
15:15 - 16:15
Enforcement
- Melissa Hodgman Associate Director - Division of Enforcement, U.S. Securities and Exchange Commission
Stephanie Avakian Partner - WilmerHale
Anthony Monaghan Director of Retail and Regulatory Investigations - UK Financial Conduct Authority
16:15 - 17:15
The Markets, T+1 and SEC and CFTC Developments
Emily Westerberg Russell Chief Counsel, Division of Trading & Markets - U.S. Securities and Exchange Commission- Jim Burns Partner - Cleary Gottlieb
Cynthia Cain Ioannacci Associate General Counsel - National Futures Association
17:15 - 17:30
Conference Wrap Up
- Jim Burns Partner - Cleary Gottlieb
- Mark Berman CEO - CompliGlobe Ltd.