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
Sponsors
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)