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THE SEC: DISCLOSURE AND BEYOND

  • 28 Oct 2016
  • 7:30 AM - 9:00 AM
  • 1325 Sixth Avenue, Seattle, WA 98101

Registration

THE SEC: DISCLOSURE AND BEYOND

Come hear the SEC’s latest thinking on enforcement, penalties, and priorities on Friday morning, October 28.

The SEC’s Alice Liu Jensen will address a range of topics relevant to the IR community, including the agency’s priorities and recent trends in enforcement and regulation, setting an agenda for fair and strong markets, and looking beyond mandatory disclosure.

ABOUT THE SPEAKER

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 and insider trading. Alice is a member of the Market Abuse Unit focusing on conducting complex, high-takes investigations into hard-to-detect frauds and market abuses committed by the largest investment banks, broker-dealers, institutional investors, and the market professionals associated with them.

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, 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.

DATE: Friday, October 28, 2016
TIME: 8:00-9:00 AM PDT (registration begins at 7:30 AM)
LOCATION: Washington Athletic Club
                        1325 Sixth Avenue
                        Seattle, WA 98101

PARKING: WAC parking is available at 1409 6th Avenue.

COST:
$30 NIRI-Seattle Members
$40 Non-Members


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