Securities & Derivatives Regulation-developments in the U.S.

Securities & Derivatives Regulation-developments in the U.S.

NSW
Jul 15

CEDA is delighted to welcome Mary Schapiro, former chairman of the U.S. Securities and Exchange Commission, who will deliver an update on the recent developments of securities and derivatives regulation.

Registration has now closed. This event is full. For further information please contact Melissa Burgo on 02 9779 9752.

 

Speakers

Mary Schapiro, Managing Director and Chairman (Governance and Markets) Promontory Financial Group
 

 Public event
 15/07/2013
 CEDA Boardroom, Level 14, 9 Hunter Street, Sydney, NSW

 Finance/Banking
 Lunch (12.00pm to 2.00pm)

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EVENT OVERVIEW

The Dodd-Frank Act being introduced in the US is considered to be one of the most significant changes to financial regulation. Some of the key objectives include promoting financial stability, improving accountability and transparency and to protect consumers from negative financial services practices. The changes to the regulatory environment are far reaching and will affect many financial institutions across the globe.

CEDA is delighted to welcome Mary Schapiro, former chairman of the US Securities and Exchange Commission, to provide her insights on developments on securities and derivatives regulation.

In her only public address in Australia, the Managing Director and Chairman (Governance and Markets) of Promontory Financial Group will address these key aspects of financial reform and the breadth of the work being undertaken in their implementation.

MEET THE SPEAKER

Mary Schapiro
Managing Director and Chairman (Governance and Markets)
Promontory Financial Group

Ms Schapiro, the former chairman of the U.S. Securities and Exchange Commission (SEC), has recently joined Promontory Financial Group, the leading consulting firm for financial companies worldwide.

Prior to joining Promontory, Ms Schapiro was chairman of the US SEC from 2009 to 2012 and presided over one of the busiest rule-making agendas in the SEC's history, during which the agency also brought a record number of enforcement actions, and executed a comprehensive restructuring program to improve protections for investors.

Prior to becoming SEC chairman, Ms Schapiro served from 2007 to 2008 as the CEO of the Financial Industry Regulatory Authority (FINRA), the largest non-governmental regulator for securities firms doing business with the US public. She spent over a decade at FINRA and one of its predecessors, the National Association of Securities Dealers (NASD).

Previously, Ms Schapiro served as chairman of the Commodity Futures Trading Commission (CFTC) from 1994 to 1996 and is the only person to have served as chairman of both the SEC and the CFTC. Earlier, Mary was a commissioner of the SEC and general counsel and senior vice president of the Futures Industry Association. She began her career at the CFTC, serving first as a trial attorney and later as counsel and executive assistant to the chairman.

Ms Schapiro joined the board of directors of General Electric Co. in 2013. She earned a Bachelor of Arts degree in Anthropology from Franklin & Marshall College, where she serves on the board of trustees, and a Juris Doctor degree from George Washington University.

Sponsorship opportunities are available to CEDA members. Please contact Suzy Randjelovic on 02 9779 9751 or email.

Registration Fees (Including GST)

CEDA Members and Guests

$115.00 per person

Non-members

$180.00 per person

All event registrations can now be made online via the Register Online link at the top of this page.

  • Payment via credit card - a tax invoice/receipt will be emailed to you for accounting purposes.
  • Payment via EFT or cheque - a tax invoice will be emailed to you together with details on how to make payment by EFT or cheque.

For assistance with using CEDA's online registration click here to access our simple user guide.

 
 

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