Announcing NSCP Conference Speakers for Regulatory Keynote Sessions

Written By Designsite

2024 NSCP National Conference
October 27-30 in Dallas, TX

SEC & FINRA Regulatory Enforcement Priorities

  • Andrew Dean, Co-Chief of the Asset Management Unity, Division of Enforcement, SEC

  • Tina Salehi Gubb, Chief Counsel and Senior Advisor to the Head of Enforcement (Market Regulation), FINRA

  • Brian Rubin, Partner, Eversheds Sutherland (Moderator) 

Interview with Natasha Greiner

  • Natasha Vij Greiner, Director, Division of Investment Management, SEC

  • Peter Driscoll, Partner, PwC (Moderator) 

SEC Examination Leaders Forum

  • Keith Cassidy (tentative), Acting Co-Director of the Division of Examinations and National Associate Director of the Division’s Technology Controls Program (TCP), SEC

  • Marshall Gandy (tentative), National Associate Director of the IA/IC Exam Program, SEC

  • Vanessa Horton (tentative), National Associate Director of the IA/IC Exam Program, SEC

  • Michael Rufino (tentative), National Associate Director, Broker-Dealer/Exchange Program and Associate Regional Director, NY Regional Office, SEC

Designsite

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