-
Recent Developments in Securities Enforcement – February 2025
20 February 2025
Debevoise & Plimpton LLP
Securities Enforcement Commentary
Webcast
Speaking Engagements
-
Financial Firm Focus – The SEC’s Enforcement Priorities for Asset Managers, Broker-Dealers, Private Funds and Hedge Funds
28 January 2025
Securities Docket
Securities Enforcement Forum New York 2025
New York, New York
Speaking Engagements
-
Recent Developments in Securities Enforcement – July 2024
24 July 2024
Debevoise & Plimpton LLP
Webcast: Securities Enforcement Commentary
Webcast
Speaking Engagements
-
Topics and Trends Affecting Asset Managers
25 June 2024
Debevoise & Plimpton LLP
9th Annual SEC Alumni Seminar
New York, New York
Speaking Engagements
-
SEC Whistleblower Enforcement
21 May 2024
Investment Advisers Association
IAA Committee Meeting
Webcast
Speaking Engagements
-
Recent Developments in Securities Enforcement
29 February 2024
Debevoise & Plimpton LLP
Securities Engagement Commentary
Webcast
Speaking Engagements
-
SEC and FINRA Compliance Considerations for AI Use by RIAs and Broker-Dealers
6 February 2024
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
Recent Developments in Securities Enforcement – September 2023
19 September 2023
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
Recent Developments in Securities Enforcement – April 2023
5 April 2023
Debevoise & Plimpton LLP
Securities Enforcement Commentary
Webcast
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
-
Investment Banking and Capital Markets Enforcement Issues and Developments
12-15 March 2023
Securities Industry and Financial Markets Association
2023 SIFMA C&L Society Annual Seminar
San Diego, California
Speaking Engagements
-
Insider Trading 360° – Enforcement Trends, Key Cases and Prosecutions (and Crypto!)
15 November 2022
Securities Docket
Securities Enforcement Forum 2022
Webcast and Washington, D.C.
Speaking Engagements
-
Recent Developments in Securities Enforcement
26 October 2022
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
ESG, Exams, and Enforcement: Practical Tips for Managers
13 October 2022
Investment Company Institute
2022 Securities Law Developments Conference
Webcast
Speaking Engagements
-
Recent Developments in Securities Enforcement
21 September 2022
Debevoise & Plimpton LLP
Webinar Securities Enforcement Series
Webcast
Speaking Engagements
-
Enforcement and Litigation Trends in Investment Management
26-27 July 2022
Practising Law Institute
Investment Management 2022: Current Issues & Trends
New York, New York
Speaking Engagements
-
Recent Developments in Securities Enforcement
21 July 2022
Debevoise & Plimpton LLP
Securities Enforcement Series
Webcast
Speaking Engagements
-
Recent Developments in Securities Enforcement
28 April 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
-
Mutual Funds, Closed-End Funds, and ETFs
18-19 January 2022
Practising Law Institute
Understanding Financial Products 2022
Webcast
Speaking Engagements
-
Recent Developments in Securities Enforcement
18 January 2022
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
Recent Developments in Securities Enforcement
30 November 2021
Debevoise & Plimpton LLP
Securities Enforcement Commentary Series
Webcast
Speaking Engagements
-
The SEC's Cybersecurity Year in Review 2021: Disclosures, Enforcement, and More
2 November 2021
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
Everything You Need to Know About the SEC's Private Funds Unit
22 July 2021
Debevoise & Plimpton LLP
Speaking Engagements
-
Recent Developments in Securities Enforcement
15 July 2021
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
Privilege Considerations for Asset Managers
23 June 2021
Debevoise & Plimpton LLP
6th Annual SEC Alumni Seminar
Webcast
Speaking Engagements
-
Recent Developments in Securities Enforcement
16 June 2021
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
SPACs and Associated IAA/ICA/33 Act Regulatory and Enforcement Issues and More
23 March 2021
American Investment Council
AIC’s CCO Working Group Webinar
Webcast
Speaking Engagements
-
Mutual Funds, Closed-End Funds, and ETFs
19-20 January 2021
Practising Law Institute (PLI)
PLI - Understanding Financial Products 2021
Webcast
Speaking Engagements
-
Election Effects: AML and Sanctions Enforcement
3 December 2020
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
Election Effects: DOJ Priorities and FCPA Enforcement
19 November 2020
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
Federal and State Securities Enforcement in the Age of COVID
30 June 2020
Risk Management Association
Webcast
Speaking Engagements
-
COVID-19 & Private Equity: Portfolio Company and Fund Governance Practices in the Time of COVID
2 April 2020
Debevoise
Webcast
Speaking Engagements
-
Everyone Has Them: Identifying, Disclosing, and Managing Conflicts of Interest Under Your Fiduciary Duty
5-6 March 2020
Investment Adviser Association
IAA Investment Adviser 2020 Compliance Conference
Washington, DC
Speaking Engagements
-
SEC Enforcement
5 November 2019
InvestoRegulation
22nd Annual Conference: SEC Regulation Outside the United States
London, UK
Speaking Engagements
-
Changes and Challenges: The SEC View From the Top
25 October 2019
State Bar of Georgia/Business Law Section
Securities Litigation and Regulatory Practice
Atlanta, Georgia
Speaking Engagements
-
The SEC’s Focus on Investor Protection: RICs on the Radar of OCIE and Enforcement
17-20 March 2019
Investment Company Institute
ICI 2019 Mutual Funds and Investment Management Conference
San Diego, California
Speaking Engagements
-
Hot Trends in DOJ and SEC Enforcement and Litigation
5 December 2018
Sandpiper Partners LLC
Breakfast and Educational Briefing
New York, New York
Speaking Engagements
-
Tips for Corporate/Regulatory Attorneys to Add Value in Regulatory Examinations and Investigations
23 October 2018
D.C. Bar
D.C. Bar CFSL Program
Washington, D.C.
Speaking Engagements
-
SEC Inspections and Examinations of Private Hedge and Equity Funds
9 October 2018
Practising Law Institute
Hedge Fund and Private Equity Enforcement & Regulatory Developments 2018
New York, New York
Speaking Engagements
-
Fiduciary Investment Advice: Litigation and Enforcement Perspectives
10 May 2018
Practising Law Institute
New York, New York
Speaking Engagements
-
Panel - Internal Investigations: A Simulation
19-22 March 2018
SIFMA
SIFMA C&L Annual Conference 2018
Orlando, Florida
Speaking Engagements
-
What’s New? OCIE and Enforcement under Chairman Clayton
7 December 2017
Investment Company Institute
2017 Securities Law Procedures Conference
Washington, D.C.
Speaking Engagements
-
Panel Discussion
6 November 2017
Regulatory Compliance Association
RCA’s Women in Asset Management & Regulation Summit
New York, New York
Speaking Engagements
-
Current Issues in Wealth Management & Investment Advisory
11 November 2017
Securities Industry and Financial Markets Association
Compliance & Legal New York Regional Seminar
New York, New York
Speaking Engagements
-
Building a Portfolio
27 April 2017
American College of Investment Counsel
Spring Investment Forum – Off the Beaten Path: Navigating the Peaks and Valleys of Investments and Regulatory Compliance
Chicago, Illinois
Speaking Engagements
-
Internal Investigations: A Simulation
19-22 March 2017
Securities Industry and Financial Markets Association
2017 SIFMA Compliance & Legal Society Annual Seminar
San Diego, California
Speaking Engagements
-
An Anatomy of Recent SEC Enforcement Settlements
7 March 2017
International Bar Association
18th Annual International Conference on Private Investment Funds
London, UK
Speaking Engagements
-
Valuation Best Practice and Other SEC Focus Areas
28 February 2017
Institutional Investor
Legal Forum/Winter Roundtable
New York, New York
Speaking Engagements
-
Current Hedge and Private Fund Enforcement Priorities –The Enforcers’ Perspective
1 December 2016
Practising Law Institute
Hedge and Private Fund Enforcement & Regulatory Developments 2016
New York, New York
Speaking Engagements
-
Keynote Address
27 October 2016
ACA Compliance Group
Fall 2016 ACA Compliance Conference
Marina del Rey, California
Speaking Engagements
-
Full Disclosure: Understanding How to Adequately Communicate with Investors to Avoid Enforcement Actions
28 September 2016
Corporate Counsel
10th Annual Hedge Fund General Counsel and Compliance Officer Summit
New York, New York
Speaking Engagements
-
Current SEC Enforcement and Examination Trends
4 August 2016
Financial Law Institute
2016 Lavender Law Conference & Career Fair
Washington, DC
Speaking Engagements
-
Regulatory Environment for Private Equity
26 July 2016
American Investment Counsel
Webinar
Speaking Engagements
-
Litigation and Enforcement
20 July 2016
Independent Directors Council
2016 Independent Counsel Roundtable
Washington, D.C.
Speaking Engagements
-
Insights into the SEC
11 May 2016
The Regulatory Fundamentals Group
RFG Webinar with Julie Riewe
New York, New York
Speaking Engagements
-
Critical Cybersecurity Concerns for Private Equity Firms
5 May 2016
Debevoise & Plimpton
Debevoise Breakfast Seminar
Debevoise & Plimpton, New York
Speaking Engagements
-
Emerging SEC Enforcement and Exam Issues: What's Next for Private Equity?
13 Apr 2016
Debevoise & Plimpton
Debevoise Seminar
Debevoise & Plimpton, New York
Speaking Engagements
-
Where is Your Organization Vulnerable? Top Risks for Private Equity and Hedge Funds
5 April 2016
American Conference Institute
3rd Summit on FCPA, AML & OFAC Risks for Private Equity and Hedge Funds
New York, New York
Speaking Engagements