-
SEC Exam and Enforcement Priorities
25 April 2024
PricewaterhouseCoopers
California ’40 Acts Group
San Francisco, California
Speaking Engagements
-
Q1 CCO Panel
20 March 2024
American Investment Council
AIC Q1 CCO Meeting
New York, New York
Speaking Engagements
-
In-Depth Analysis of the SEC Climate Disclosure Rule
15 March 2024
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
Recent Developments in Securities Enforcement
29 February 2024
Debevoise & Plimpton LLP
Securities Engagement Commentary
Webcast
Speaking Engagements
-
The Impact of Artificial Intelligence on Markets, Operations, and Derivatives
7-9 February 2024
SIFMA AMG
SIFMA AMG / FIA Asset Management Derivatives Forum
Laguna Niguel, California
Speaking Engagements
-
SEC and FINRA Compliance Considerations for AI Use by RIAs and Broker-Dealers
6 February 2024
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
SEC Exams: Priorities, Risks and Preparation
6 February 2024
Regulatory Compliance Watch
Webcast
Speaking Engagements
-
Predictions and Priorities for 2024
23 January 2024
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
Securities Enforcement Commentary
21 December 2023
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
Recent Developments in Securities Enforcement
24 October 2023
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
Tips for Adopting Generative AI
20 Octerber 2023
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
SEC Private Funds Rule
5 October 2023
KPMG
KPMG Roundtable
San Francisco, California
Speaking Engagements
-
SEC's New Private Funds Rule
5 October 2023
KPMG
San Francisco, CA
Speaking Engagements
-
The SEC Private Funds Rule
3 October 2023
ACA
ACA with Private Fund Adviser CCOs
San Francisco, California
Speaking Engagements
-
Briefing on PDA Rule Proposal
11 September 2023
Robinhood Markets, Inc.
SEC Regulation and Technology
Washington, DC
Speaking Engagements
-
The SEC’s Private Funds Rule
24 August 2023
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
Recent Developments in Securities Enforcement
17 August 2023
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
Fundamentals of Investment Adviser Regulation
28 June 2023
Practising Law Institute
New York, New York
Speaking Engagements
-
ESG Regulation in the US and EU
15 June 2023
Debevoise & Plimpton and Jeffries
Webcast
Speaking Engagements
-
FCPA and ESG Panel
14 June 2023
American Conference Institute
ACI’s West Coast FCPA Enforcement and Compliance Conference
San Francisco, California
Speaking Engagements
-
New SEC Securities Based Swap Rules
13 June 2023
Debevoise & Plimpton
Webcast
Speaking Engagements
-
SEC Examination Priorities and Trends
7 June 2023
American Investment Council
American Investment Council Roundtable
Boston, Massachusetts
Speaking Engagements
-
Off-System Communications: Regulatory Risks and Compliance Best Practices
12 April 2023
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
The Evolving ESG Landscape: Securities Litigation & Enforcement Risks
28 March 2023
Women In Securities, Debevoise & Plimpton and Morrison Foerster
San Francisco, California
Speaking Engagements
-
SEC Regulatory Landscape Pertinent to Private Fund Managers
22 March 2023
Financial Executives Alliance
Financial Executives Alliance Nor Cal Networking Groups
San Francisco, California
Speaking Engagements
-
Getting Ready for the New SEC Cyber Rules for Registered Investment Advisers
21 March 2023
Debevoise & Plimpton LLP
DSS Episode 21
Webcast
Speaking Engagements
-
Keeping CCOs Sane and Maintaining a Quality Compliance Program
21 March 2023
Investment Company Institute
San Francisco, California
Speaking Engagements
-
SEC’s Marketing Rule
16 March 2023
RCW Compliance
Webcast
Speaking Engagements
-
Mutual Funds/ETFs
19 January 2023
Practising Law Institute
Mutual Fund/ETF Conference
Webcast
Speaking Engagements
-
ESG Regulation
10 January 2023
Practising Law Institute
ESG Regulation Conference
Webcast
Speaking Engagements
-
Recent Developments in Securities Enforcement Series
13 December 2022
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
ESG Enforcement Landscape: What are the Key Risk Areas?
17 November 2022
Debevoise & Plimpton LLP
Debevoise Webinar
Webcast
Speaking Engagements
-
Inside the SEC: Understanding the Agency's Enforcement Philosophy
10 November 2022
National Association of Women Lawyers
NAWL General Counsel Institute
New York, New York
Speaking Engagements
-
State Level ESG Investment Developments – A Fast Evolving Landscape
9 November 2022
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
Private Funds Regulation
2 November 2022
RSM
RSM Compliance Conference
Webcast
Speaking Engagements
-
SEC Examination Priorities
2 November 2022
PricewaterhouseCoopers (PwC), Pete Driscoll, Partner
Ascendant Compliance Conference for SEC Investment Advisers
Virtual
Speaking Engagements
-
SEC Marketing Rule
27 October 2022
PFM Health Sciences
Training on SEC Marketing Rule
Location: Webcast
Speaking Engagements
-
Recent Developments in ESG
26 October 2022
Jeffries
Jeffries Investors’ Meeting
Washington, D.C.
Speaking Engagements
-
SEC Regulatory and Enforcement Update that will be Valuable Intelligence for Firms to Incorporate into their ODD Programs
20 October 2022
Shadmoor and DiligenceVault
Operational Due Diligence Networking Event
San Francisco, California
Speaking Engagements
-
Private Funds Regulation
28 September 2022
KPMG
KPMG Compliance Symposium
San Francisco, California
Speaking Engagements
-
Private Funds Regulation
22 September 2022
New York City Bar Association’s Compliance Institute
New York, New York
Speaking Engagements
-
Special Purpose Acquisition Companies
17 September 2022
California Bar Association
California Bar Association’s Annual Conference
San Diego, California
Speaking Engagements
-
ESG Statutes and Proposed Regulations Passed by Various States and Implications for Asset Managers
1 September 2022
Jefferies
Jefferies' Client Conference
Webcast
Speaking Engagements
-
Recent Developments in Securities Enforcement
23 August 2022
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
Antitrust and Private Equity in Asia: Increased Enforcement on the Horizon
29 June 2022
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
Recent Developments in Securities Enforcement
31 May 2022
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
Hot Topics in Securities Law Defense
27 May 2022
Cambridge Forum
Cambridge Forum on Corporate Enforcement
Nashville, Tennessee
Speaking Engagements
-
The SEC & Cybersecurity – Spring 2022 Update
19 April 2022
Debevoise & Plimpton
Webcast
Speaking Engagements
-
Understanding the SEC's Climate Change Proposal
31 March 2022
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
Pancakes and Priorities: Breakfast CLE with Debevoise’s Examinations and Enforcement Team
28 March 2022
ICI
ICI Conference Breakfast
Webcast
Speaking Engagements