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  • NIRI-SEATTLE PRESENTS - STRAIGHT FROM THE SEC: BALANCING RULES, REGS, AND REASON

NIRI-SEATTLE PRESENTS - STRAIGHT FROM THE SEC: BALANCING RULES, REGS, AND REASON

  • 11 Sep 2014
  • 4:00 PM - 6:00 PM
  • K&L Gates LLP - 925 Fourth Ave, Suite 2900, Seattle WA 98104

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STRAIGHT FROM THE SEC: BALANCING RULES, REGS, AND REASON

 

Come hear Alice Liu Jensen from the SEC in San Francisco, discuss current issues concerning new regulations, enforcement, and the SEC’s role in overseeing a fair and fluid financial marketplace. 


DATE/TIME: 

Thursday, September 11, 2014

4:00 PM - 6:00 PM


LOCATION:

K&L Gates LLP

925 Fourth Ave, Suite 2900

Seattle WA 98104


Attire: Business Casual


Registration:

NIRI-Seattle Members: $25

Non-Members: $35


Refreshments will be served and there will be plenty of time for spirited Q&A.


Alice Liu Jensen is Senior Counsel in the Division of Enforcement with the San Francisco office of United States Securities and Exchange Commission, where she investigates potential violations of the federal securities laws including financial fraud, offering fraud, insider trading, accounting fraud, and fraud by broker-dealers and investment advisors.

 

Prior to joining the SEC, Ms. Jensen worked on the other side of the table with such notable firms as Dechert, Fenwick and West, and Clifford Chance, where she investigated violations related to the Foreign Corrupt Practices Act, represented corporations and individuals in shareholder class action and federal and state derivative litigation, and in regulatory proceedings with the SEC and Department of Labor, among other issues.  She is a graduate of University of California, Berkeley, and Harvard Law School and served as a judicial clerk for the Honorable Consuelo B. Marshall of the Central District of California.


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