SEC Regulation Outside the United States, London, 14-16 October 2024
14 - 16 October 2024
Virtual - details upon registration
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SEC Regulation Outside the United States 2024
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SEC Regulation Outside the United States 2024
14 October 2024
13:30 - 13:35
Welcome and Opening Remarks
Date:
14 October 2024
Jim Burns
Partner
-
Cleary Gottlieb
Mark Berman
CEO
-
CompliGlobe Ltd.
13:35 - 14:20
Sixth Annual Scott Friestad Memorial Lecture
Date:
14 October 2024
Wilson Friestad
Patomak Partners
Christopher Cummings
CEO
-
The Investment Association
14:20 - 15:20
Investment Advisers, Advertising and Private Funds
Date:
14 October 2024
Daniel Kahl
Partner
-
Kirkland & Ellis
Jennifer Porter
Assistant Director, Division of Investment Management
-
U.S. Securities and Exchange Commission
Mark Berman
CEO
-
CompliGlobe Ltd.
15:20 - 16:20
Compliance and Examinations
Date:
14 October 2024
Regina Thoele
SVP Compliance
-
National Futures Association
Jennifer McCarthy
Chief Counsel, Division of Examinations
-
U.S. Securities and Exchange Commission
Lisa Byington
Compliance Consultant
-
CompliGlobe Ltd
16:20 - 16:50
Fireside Chat
Date:
14 October 2024
Paul Atkins
CEO, Patomak Partners (former Commissioner, U.S. Securities and Exchange Commission)
16:50 - 17:00
Day One Wrap Up
Date:
14 October 2024
Jim Burns
Partner
-
Cleary Gottlieb
15 October 2024
13:30 - 13:35
Welcome and Opening Remarks – Day Two
Date:
15 October 2024
Jim Burns
Partner
-
Cleary Gottlieb
13:35 - 14:35
Digital Assets, ESG and Offerings and Disclosure Developments
Date:
15 October 2024
Moderator
Barbara Jacobs
Associate Director, Disclosure Review Program
-
U.S. Securities and Exchange Commission
Michael Coco
Chief, Office of International Corporate Finance, Division of Corporation Finance.
-
U.S. Securities and Exchange Commission
Paul Dudek
Partner
-
Latham & Watkins
14:35 - 15:35
Enforcement
Date:
15 October 2024
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
15:35 - 16:35
The Markets and SEC and CFTC Developments
Date:
15 October 2024
Cheryl Tulino
Managing Director
-
National Future Association
Carol McGee
Associate Director, Office of Derivatives Policy and Trading Practices
-
U.S. Securities & Exchange Commission
Jim Burns
Partner
-
Cleary Gottlieb
16:35 - 17:15
Conference Wrap Up
Date:
15 October 2024
Mark Berman
CEO
-
CompliGlobe Ltd.
Jim Burns
Partner
-
Cleary Gottlieb
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