49th Annual Rocky Mountain Securities Conference
May 2017
49th Annual Rocky Mountain Securities Conference
Co-sponsored by the U.S. Securities and Exchange Commission and the Business Law Section of the Colorado Bar Association
Program Highlights:
You would have to travel to Washington DC or New York paying thousands of dollars to find a conference that offers as much as this for a fraction of the cost. Reserve your place and be part of this very special event right here in Denver!
IF YOU WANT TO GET THE FACTS, GAIN INSIGHT ABOUT THE IMPACT OF THE NEW ADMINISTRATION, AND HEAR FROM VOICES OF EXPERIENCE, DON’T MISS THIS CONFERENCE!
Register today – seating is limited!
Topics include:
- What’s Ahead for Regulation and the SEC?
- SEC Enforcement — Current Priorities and Litigation Update
- Regulated Entities — Industry Developments and SEC’s National Examination
- Corporation Finance: Policy Update and Regulatory Agenda
- Professionalism in the Securities Industry: Liability of Gatekeepers
- Investment Advisers and Private Funds
- New Perspectives on Capital Formation for Small Business
- Current Considerations for Corporate Transactions
- Current Trends in Securities and White Collar Defense
- General Counsel Viewpoints
- Accounting and Audit Issues: Hot Topics and Important Updates
- Ethical Issues for Securities Industry Professionals
The 49th Annual Rocky Mountain Securities Conference features a line-up of presenters who are well known throughout the securities profession and whose observations have earned the respect and attention of the investment community.
Location:
The Conference is being held at the Denver Marriott City Center, 1701 California Street, Denver, CO 80202
Cancellation Policy:
CANCELLATIONS: If you are unable to attend, please notify CBA/ CLE by May 1, 2017, and we will gladly refund your tuition in full, transfer your tuition to the homestudy, or you may send someone in your place. Cancellations after 5:00 pm on May 1, 2017, will be refunded less a $100 cancellation fee.
Agenda:
8:00 am
Registration and Continental Breakfast
8:15 am
Welcoming Remarks
Julie K. Lutz, Program Chair, Regional Director, SEC Denver
Vincent J. O’Brien, Executive Director, Colorado Bar Association CLE
8:30 - 9:20 am
SEC Enforcement – Current Priorities and Litigation Update
This interactive panel discussion will cover a review of recent, significant SEC Enforcement cases; priorities of the SEC's Market Abuse Unit, including insider trading post-Salman and recent market structure cases; priorities of the SEC's Asset Management Unit, including fees, expenses and conflicts of interest; and an update on the SEC's whistleblower and cooperation programs.
Panel:
C. Dabney O'Riordan, Co-Chief, Asset Management Unit, Enforcement Division, SEC
Robert A. Cohen, Co-Chief, Market Abuse Unit, Enforcement Division, SEC
Moderator: Kurt L. Gottschall, Associate Regional Director, Enforcement Division, SEC Denver
9:20 - 9:30 am
Networking Break
9:30 - 10:20 am
Regulated Entities — Industry Developments and the SEC’s National Examination Program
This session will present both SEC and industry perspectives on topics affecting investment advisers, investment companies, broker-dealers, and private funds. The panelists will discuss the current direction and priorities of the SEC’s National Examination Program, which include electronic investment advice, wrap fee programs, recidivist representatives, multi-branch investment advisers, public pension plans, and mutual fund share class selection.
Panel:
Peter B. Driscoll, Acting Director, Office of Compliance Inspections and Examinations, SEC
Susan Wold, Vice President, Janus Capital Group Inc.
Robert Plaze, Partner, Proskauer Rose LLP; Former Deputy Director of the SEC’s Division of Investment Management
Moderator: Thomas M. Piccone, Associate Regional Director, Office of Compliance Inspections and Examinations, SEC Denver
10:20 – 10:30 am
Networking Break
10:30 - 11:20 am
Corporation Finance: Policy Update and Regulatory Agenda
An interactive discussion with Karen Garnett, Associate Director, Division of Corporation Finance, SEC, regarding a wide-ranging discussion of current priorities, the status of rule-making, and other recent disclosure developments, with Douglas R. Wright, Partner, Faegre Baker Daniels LLP
11:20 am - 12:45 pm
Luncheon and Presentation
(lunch service from 11:20 - 11:45am)
11:45 - 12:45 pm - ETHICS CREDIT
Professionalism in the Securities Industry: Liability of Gatekeepers
Gatekeepers, such as outside legal counsel, auditors, executives, compliance officers, in-house counsels, boards of directors, are often in a unique position to disrupt or prevent misconduct while acting within the bounds of professional responsibility. This discussion will focus on providing guidance for responsible gatekeepers as to how to act professionally and appropriately.
Thomas J. Karr, Assistant General Counsel, Office of the General Counsel, SEC
12:45 – 1:00 pm
Networking Break
1:00 - 1:50 pm
Breakout Sessions
Session A: Investment Advisers and Private Funds: Hot Topics and Current Issues
Panel:
Kevin Rohnstock, General Counsel and Chief Compliance Officer, KSL Capital Partners
Mark Weakley, Partner, Bryan Cave LLP
Kenneth Bossert, Assistant Regional Director, Office of Compliance Inspections and Examinations, SEC Denver
Moderator: Jason Burt, Assistant Regional Director, Asset Management Unit, Enforcement Division, SEC Denver
Session B: Current Trends in Securities and White Collar Defense
Panel:
Coates Lear, Principal, Squire Patton Boggs
John V. McDermott, Shareholder, Brownstein Hyatt Farber Schreck LLP
David A. Zisser, Shareholder, Jones & Keller, P.C.
Moderator: John F. Walsh, Wilmer Cutler Pickering Hale and Dorr, Former U.S. Attorney, District of Colorado
1:50 - 2:00 pm
Networking Break
2:00 - 2:50 pm
Breakout Sessions
Session A: New Perspectives on Capital Formation for Small Business
Panel:
Julie Z. Davis, Senior Special Counsel, Office of Small Business Policy, Division of Corporation Finance, SEC
Gerald Rome, Commissioner, Colorado Division of Securities, Department of Regulatory Agencies, State of Colorado
Moderator: Jay Brown, Lawrence W. Treece Professor of Corporate Governance, Director, Corporate & Commercial Law Program, University of Denver Sturm College of Law
Session B: General Counsel Viewpoints on the Legal Landscape
Panel:
Margaret E. McCandless, Vice President and General Counsel, Intrepid Potash
Anne Benedict, Executive Vice President, Chief Legal Officer and Secretary, Summitt Materials
Moderator: Daniel F. Shea, Of Counsel, Hogan Lovells LLP, Former Regional Director, SEC Denver
2:50 - 3:00 pm
Networking Break
3:00 - 3:50 pm
Breakout Sessions
Session A: Current Considerations for Corporate Transactions
Panel:
J. Deitz Fry, Managing Director, Endeavour Capital
Lucy Stark, Partner, Holland & Hart LLP
Ryan C. Koch, Vice President, Corporate Development, IHS Markit
Ronald R. Levine, II, Partner, Arnold & Porter Kaye Scholer LLP
Session B: Accounting and Audit Issues: Hot Topics and Important Updates
Panel:
Michael Maloney, Chief Accountant, Enforcement Division, SEC
Jeremy Dillard, Partner, SingerLewak LLP
Moderator: Jake Vossen, Partner, National Director of Audit and Accounting, Hein & Associates LLP
3:50 - 4:00 pm
Networking Break
4:00 - 4:50 pm - ETHICS CREDIT
Ethical Issues for Securities Industry Professionals
This interactive session focuses on the boundaries of ethical representation in negotiated transactions, contact with represented parties and organizations; current ethical dilemmas regarding electronic discovery; and ethical issues associated with Whistleblower and/or qui tam complaints.
Panel:
Andrew Shoemaker, Partner, Shoemaker Ghiselli + Schwartz LLC
Elizabeth Karpinski Vonne, Partner, Davis Graham & Stubbs LLP
Gregory A. Kasper, Regional Trial Counsel, Enforcement Division, SEC Denver
Moderator: Matthew Kirsch, Deputy U.S. Attorney, U.S. Attorney's Office, District of Colorado
4:50 pm
Conclusion, Evaluations and Adjourn to Hosted Networking Happy Hour
Location Information
Denver Marriott City Center
1701 California Street
Denver, CO 80202
Get directions
1701 California Street
Denver, CO 80202
Registration Fees
| Non Member | $429.00 |
| Colorado CPA Society Member | $429.00 |
| CBA Member | $379.00 |
| CBA Business Law Section Member | $349.00 |
| Government Employee | $329.00 |
| New Lawyer Edge Partner | $189.50 |
| New Lawyer - CBA Business Law Section Member | $189.50 |
| CLE ELITE Pass Holder | $189.00 |
- General Credits: 8.00
- Ethics Credits: 2.00
- EDI Credits:
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