Registration and Continental Breakfast
Julie K. Lutz, Program Chair, Regional Director, SEC Denver
8:30 - 9:20am
Enforcement Update – Current Issues and Trends
Join our panel of SEC and DOJ experts for an insightful analysis of current national and regional enforcement priorities, legal developments, and recent notable cases.
Stephanie Avakian, Co-Director, Enforcement Division, SEC
Stephen Peiken, Co-Director, Enforcement Division
Joseph K. Brenner, Chief Counsel, Enforcement Division, SEC
Robert C. Troyer, Acting U.S. Attorney for the District of Colorado
Moderator: Kurt L. Gottschall, Associate Regional Director, Enforcement Division, SEC Denver
9:20 - 9:30am
9:30 - 10:20am
This session will present perspectives from the SEC, the securities bar, and the financial services industry on topics affecting investment advisers, investment companies, broker-dealers, and private funds. The panelists will discuss selected industry developments, emerging risks, and current examination focus areas.
Peter B. Driscoll, Director, Office of Compliance Inspections and Examinations, SEC
Susan Boudrot, Managing Director, Global Chief Compliance Officer, TD Ameritrade Holding Corporation
Stephanie M. Monaco, Partner, Mayer Brown, LLP
Moderator: Thomas M. Piccone, Associate Regional Director, Office of Compliance Inspections and Examinations, SEC Denver
10:20 – 10:30am
10:30 - 11:20am
Cryptocurrency Issues in Securities Enforcement
Our expert panelist will review the application of blockchain technology and the use of cryptocurrency in the marketplace. The panel will also discuss the legal landscape and enforcement issues arising from cryptocurrency and initial coin offerings.
Valerie Szczepanik, Cyber Unit, Enforcement Division, SEC New York (Panel member and Moderator)
Michele Korver, Digital Currency Counsel, DOJ
Richard B. Levin, Shareholder, Polsinelli LLP
11:20am - 12:45pm
Luncheon and Presentation
(lunch service from 11:20 - 11:50am)
(presentation from 11:50 - 12:40pm)
Commissioner Hester M. Peirce
Hear from the recently-appointed Commissioner regarding her perspectives on legal and policy priorities for the SEC.
12:40 – 1:00pm