Events

Web Event:

Join us for an interactive discussion with Peter Haggerty, Senior Regulatory Counsel in the U.S. Securities and Exchange Commission's OCIE

Our discussion will focus on the current legal and compliance trends as well as COVID-19 information for the SEC registrants.

9 July 2020
04:30 pm

Pete Haggerty is a Senior Regulatory Counsel in the U.S. Securities and Exchange Commission (SEC)’s Office of Compliance, Inspections and Examinations (OCIE), working in OCIE’s Investment Adviser/Investment Company (IA/IC) Examination Program.  OCIE conducts the SEC’s National Exam Program, and the IA/IC examination program is responsible for conducting exams of investment advisers and investment companies.  Prior to joining OCIE, Mr. Haggerty worked in the SEC’s Division of Enforcement for over ten years, including four years with the Division’s Asset Management Unit (AMU), where he brought a variety of enforcement actions against hedge funds, corporations and individuals.   Mr. Haggerty also served as Special Counsel in the SEC’s Division of Trading and Markets, where he worked on rulemaking initiatives and broker-dealer registration issues.  Mr. Haggerty began his career in private practice, working as a litigator with a focus on commercial and securities litigation.

 

About WDCCRT

The Washington DC Compliance Round Table is a trade association organized primarily for the purposes of promoting the following common business interests:

 

  • To educate compliance professionals in the financial and securities industries; and

  • To facilitate networking opportunities for compliance professionals in the financial and securities industries.

The Washington DC Compliance Round Table is a nonprofit organization under Section 501(c)(6) of the Internal Revenue Code of 1986.

For membership information please use Contact form

 
 

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Past Events

April 16, 2020

Key interplays between State and Federal Securities laws; State Securities Administrators' work with Federal regulators and Self-Regulatory organizations

Speaker: Vince Martinez, General Counsel of the North American Securities Administrators Association (NASAA)

January 23, 2020

CFTC Adopts Rules Streamlining the Regulations for Commodity Pool Operators and Commodity Trading Advisors​

​Speaker: Amanda Olearr, Acting Deputy Director, CFTC

September 12, 2019

CFTC Enforcement Update: Developments & Trends

Speaker: Rick Glaser, Deputy Director in the Division of Enforcement of the CFTC

May 09, 2019

SEC Senior Investors Regulatory Overview ​

Speaker: Stephen Deane CFA Engagement Advisor, Office of the Investor Advocate, SEC

March 07, 2019

FINRA 2019 Regulatory Priorities ​

Speaker: Steven Polansky Senior Director, Office of Shared Services, FINRA

January 17, 2019

FBI and Cyber Security

Speaker: Matthew J. DeSarno, Special Agent in Charge, FBI

September 06, 2018

SEC Enforcement Trends in Tips Complaints and Referrals (TCR)

Speaker: Jennifer M. Carr, Attorney, SEC Division of Enforcement

April 26, 2018

Consolidated Audit Trail Discussion

Speaker: Elizabeth King, General Counsel, NYSE

January 18, 2018

Regulatory Priorities 2018

Speaker: Dan Driscoll, Executive Vice President and Chief Compliance Officer at National Futures Association (NFA)

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Contact

 

Meeting Location:

1050 Connecticut Ave NW, Ste 1070

Washington, D.C. 20036

Mailing Address:

11654 Plaza America Drive, Ste 260

Reston, VA 20190

Phone 703.988.6858

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