2019 Rocky Mountain Securities Conference Agenda

Friday, May 3, 2019
8:00 am
Registration and Continental Breakfast
Welcoming Remarks
Kurt L. Gottschall, Program Chair, Regional Director, SEC Denver
8:25 - 9:00am
Featured Speaker
Commissioner Hester Peirce
U.S. Securities and Exchange Commission
Washington, DC
Hear the Chairman’s perspectives on legal and policy priorities for the SEC.
(Specialized Knowledge CPE Field of Study Credit .5)
9:00 – 9:50 am
An Up-Close Enforcement Update
The SEC Enforcement Division Co-Directors, Chief Counsel, and the Retail Strategy Task Force Chief analyze current enforcement initiatives and priorities, including the renewed focus on main street investors. Recent legal developments and notable cases impacting Commission enforcement efforts will be addressed.  
(Specialized Knowledge CPE Field of Study Credit 1.0)
Stephanie Avakian, Co-Director, Enforcement Division, SEC
Steven Peiken, Co-Director, Enforcement Division, SEC
Joseph K. Brenner, Chief Counsel, Enforcement Division, SEC
Charu Chandrasekhar, Retail Strategy Task Force Chief, Enforcement Division, SEC
Moderator: Jason Burt, Associate Regional Director, Enforcement Division, SEC Denver
9:50 – 10:00 am
Networking Break
10:00 - 10:50am
Regulated Entities
An invaluable session during which expert panelists from the SEC, the securities bar and the financial services industry will discuss selected industry developments, emerging risks, and current examination priorities.  Hear practice pointers and key perspectives on issues affecting investment advisers, investment companies, broker dealers, and private funds.
(Specialized Knowledge CPE Field of Study Credit 1.0)
Kristin A. Snyder, Co-Deputy Director, Office of Compliance Inspections and Examinations, SEC; Co-Associate Director, SEC’s National Investment Adviser and Investment Company Examination Program; and Associate Regional Director, SEC San Francisco
Andrew J. (“Drew”) Bowden, Senior Vice President and General Counsel, Jackson National Life Insurance Company
Andrew J. (“Buddy”) Donohue, Of Counsel, Shearman & Sterling
ModeratorThomas M. Piccone, Associate Regional Director, Office of Compliance Inspections and Examinations, SEC Denver
10:50 – 11:00 am
Networking Break
11:00 - 11:50 am
Digital Currency, FINTech, and Other Cyber Issues
Back by popular demand, this panel of experts will navigate the evolving legal landscape and enforcement issues arising from initial coin offerings and the use of cryptocurrency in the marketplace. The application of FINTech and blockchain technology pertinent to your securities practice will be covered.
(Information Technology CPE Field of Study Credit 1.0)
Valerie A. Szczepanik, Associate Director and Senior Advisor for Digital Assets and Innovation, Division of Corporation Finance, SEC New York
David Tonini, Cybercrime and National Security Section Chief, Assistant U.S. Attorney, District of Colorado, Denver
Moderator: Richard B. Levin, Shareholder, Polsinelli LLP
11:50 am - 1:00 pm
Luncheon and Presentation  (Lunch service from 11:50 - 12:10 am
(presentation from 12:10 - 1:00pm)
Luncheon Speaker: Jane Norberg, Chief, Office of the Whistleblower, SEC
Whistleblower Program Update
The SEC’s whistleblower program has had a transformative impact on SEC Enforcement actions since its inception. Hear from the Chief of the SEC’s Office of the Whistleblower about the practical effect of whistleblower tips in SEC enforcement actions, the scope and magnitude of current whistleblower awards, and ethical issues that arise when companies impede whistleblower communications with regulators.
(Business Law CPE Field of Study Credit 1.0)
(Offered for .3 Ethics Credit)
1:00 – 1:10pm
Networking Break
Breakout Sessions
Breakout Session A: Breakout Session B:
1:10 - 2:00 pm
Hot Topics in Disclosure, Accounting and Audit Issues for Public Companies
Choose this breakout for insights on focus areas and recent developments by the SEC and PCAOB concerning reporting, accounting and auditing standards, disclosures, and more.
(Accounting .5 and Auditing .5 CPE Field of Study Credits)
Ryan Wolfe,Senior Associate Chief Accountant, Office of the Chief Accountant, SEC
Mark Adler, Acting Director, Division of Enforcement and
Investigations, Public Company Accounting Oversight Board
Moderator:Rowena Cipriano-Reyes, CPA,Partner, PricewaterhouseCoopers (PWC)
1:10 - 2:00pm
Securities and White Collar Defense
Attend this session to hear nationally recognized counsel discuss strategies and solutions to best defend clients and companies accused of securities law violations and white collar crimes.
Specialized KnowledgeBusiness Law CPE Field of Study Credit 1.0)
Joan E. McKown,Partner, Jones Day
Stephen L. Cohen,Partner, Sidley Austin LLP
Samuel J. Waldon, Partner, Proskauer Rose LLP
Moderator: Andrew J. Ceresney, Partner, Debevoise & Plimpton LLPAndrew J. Ceresney, Partner, Debevoise & Plimpton LLP
MODERATOR: Samuel J. Waldon, Partner, Proskauer Rose LLP
2:00-2:10pm-Networking Break
Breakout Session A: Breakout Session B:
2:10 - 3:00pm
Registered Investment Advisoer Issues:What Keeps Compliance Officers Up at Night?
This panel will address key compliance questions in the complex and evolving regulatory landscape for registered investment advisers.Thoughtful answers and practical solutions will be provided by the expert panel members.
(Specialized Knowledge CPE Field of Study Credit 1.0)

Nicholas F. Madsen,Assistant Regional Director, Office of Compliance Inspections and Examinations, SEC Denver
Peter H. Schwartz,Partner, Davis Graham & Stubbs LLC
Moderator:Wendy M. Johnson, Esq.,General Counsel and Chief Compliance Officer, JFG LLC
2:10 - 3:00pm
Capital Formation Hot Topics
Select this session to hear current thinking on how to best support capital formation for small businesses, including practice pointers and legal pitfalls to avoid in the complex regulatory landscape for private offerings.
(Business Law or Specialized Knowledge CPE Field of Study Credit 1.0)
Martha Legg Miller, Advocate for Small Business Capital Formation, SEC
Michael Dill,Partner, Holland & Hart LLP, Denver, CO
Peter Adams, Managing Partner at Rockies Impact Fund, Denver, Colorado
Moderator:Julie Herzog,Partner, Fortis Law Partners LLC
3:00 - 3:10pm
Networking Break
3:00 - 3:10pm
Networking Break
3:10 - 4:00 pm
Playing by the Rules:  Ethical Issues for Securities Industry Professionals
This interactive session focuses on tools and guidance to help navigate the complex ethical issues that arise in corporate transactions, private securities litigation, and civil and criminal securities enforcement proceedings.
(Regulatory Ethics CPE Field of Study Credit 1.0)
(Submitted for 1 ETHICS CREDIT)
Gregory A. Kasper, Regional Trial Counsel, Enforcement Division, SEC Center, Denver
Valeri Pappas, Managing Partner, Davis & Ceriani P.C.
Lucas T. Ritchie, Partner, Moye White, LLP, Securities Subsection Co-Chair, Business Law Subsection, Colorado Bar Association
Matthew T. Kirsch, First Assistant U.S. Attorney, U.S. Attorney's Office, District of Colorado, Denver
4:00 pm  
Conclusion, Evaluations and Adjourn to Hosted Networking Happy Hour