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  • Cancelled NIRI Seattle Chapter Meeting - Straight from the SEC: Balancing Rules, Regs, and Reason

Cancelled NIRI Seattle Chapter Meeting - Straight from the SEC: Balancing Rules, Regs, and Reason

  • 11 Oct 2013
  • 11:45 AM (PDT)
  • Washington Athletic Club 1325 6th Ave Seattle

Registration

Topic:

Come hear Alice Liu Jensen, Enforcement Attorney with the SEC in San Francisco, discuss current issues concerning new regulation, enforcement, and the SEC’s role in overseeing a fair and fluid financial marketplace.  Lunch will be served and there will be plenty of time for spirited Q&A. 

WHEN:
October 11, 2013, 11:45 AM - 2:00 PM Pacific Time

WHERE:

Washington Athletic Club 

1325 Sixth Avenue, Seattle, WA 98101

ATTIRE:

Business Casual

FEE:

General Registration
NIRI Members $25.00
Nonmembers $35.00

ATTIRE:
Business Casual

Speaker:
Alice Liu Jensen is an Enforcement Attorney 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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