2018 Rocky Mountain Securities Conference Agenda

8:00 am
Registration and Continental Breakfast

Welcoming Remarks
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
Steven 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
ModeratorKurt L. Gottschall, Associate Regional Director, Enforcement Division, SEC Denver

9:20 - 9:30am                      
Networking Break

9:30 - 10:20am

Regulated Entities
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
Networking Break

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)

Featured Speaker:   
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
Networking Break

Breakout Session A:

Breakout Session B:

1:00 – 1:50pm

Disclosure, Accounting and Audit Issues for Public Companies

These national leaders address current hot topics in disclosure, accounting and auditing, including auditor independence issues, and other emerging areas of focus from the SEC and PCAOB.

R. Gregory Spiers, Deloitte & Touche LLP
Claudius B. Modesti, Director of Enforcement, PCAOB

Moderator:Charles Wright, Senior Legal Advisor, Office of Chief Accountant, Enforcement Division, SEC

1:00 – 1:50pm
Current Trends in Securities and White Collar Defense
This panel of expert defense counsel will discuss challenges in litigating and settling federal and state enforcement cases in light of shifting SEC and DOJ priorities and recent case law.

Tom Krysa, Shareholder, Brownstein Hyatt Farber Schreck LLP
Monica Loseman, Partner, Gibson Dunn & Crutcher
Cliff Stricklin, Partner, Bryan Cave

Moderator:  John F. Walsh, Wilmer Cutler Pickering Hale and Dorr, Former U.S. Attorney, District of Colorado

Networking Break

Breakout Session A:

Breakout Session B:

2:00 - 2:50pm                     
Capital Formation for Small Business
This session with regulatory, academic, and practicing professionals will provide practice pointers to avoid legal pitfalls for small businesses raising capital.  The panel will cover Regulation D issues, including crowdfunding updates, and the SEC’s regulatory efforts in this arena. 

Julie Z. Davis, Senior Special Counsel, Office of Small Business Policy, Division of Corporation Finance, SEC
Andrew Schwartz, Professor of Law, University of Colorado
Gerald Rome, Commissioner, Colorado Division of Securities, Department of Regulatory Agencies, State of Colorado

Moderator:  Julie Herzog, Partner, Fortis Law Partners, LLC

2:00 - 2:50pm
General Counsel Viewpoints:  Devising and Maintaining an Effective Compliance Program
Talented general counsels share their unique perspectives on best practices for creating and sustaining an effective compliance program.

Margaret E. McCandless, Vice President and General Counsel, Intrepid Potash
Margaret McLean, Senior Vice President and General Counsel, Teletech Holdings Inc.
James Hearty, Senior Vice President and Chief Compliance Officer, DaVita, Inc.

Moderator:Daniel F. Shea, Of Counsel, Hogan Lovells LLP, Former Regional Director, SEC Denver

2:50 - 3:00pm
Networking Break

2:50 – 3:00pm
Networking Break

3:00 - 3:50pm *ETHICS CREDIT*

Ethical Issues for Securities Industry Professionals
This interactive session focuses on the boundaries of ethical representation in complex transactions, civil securities and corporate litigation, and criminal proceedings.

Jim Coyle, Attorney Regulation Counsel for the Colorado Supreme Court
Lucas T. Ritchie, Moye White, LLP, Securities Subsection Co-Chair, Business Law Subsection, Colorado Bar Association
Matt Kirsch, Acting First Assistant US Attorney, U.S. Attorney's Office, District of Colorado

Moderator: Gregory A.  Kasper, Regional Trial Counsel, Enforcement Division, SEC Denver

Conclusion, Evaluations and Adjourn to Hosted Networking Happy Hour