In the exciting kickoff to Season 2, A. Valerie Mirko, Partner at Armstrong Teasdale LLP and Leader of the firm’s Securities Regulation and Litigation Practice, and William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association, chat with Pete Driscoll, Partner at PwC and former Director of the SEC’s Division of Examinations.
Drawing on Pete’s unique experience as a former SEC Division Director and staff member, the episode delves into the dynamics of a presidential transition at the SEC. The trio explores key topics such as policy priorities, rulemaking, examinations, enforcement trends, and the evolving role of digital assets and technology in the regulatory space.
Whether you’re a compliance professional, attorney, or SEC registrant (broker-dealer, investment adviser or dual), this conversation provides valuable insights into the shifting regulatory landscape.
Past episodes of this series:
Episode 1 (5/22/24)
Episode 2 (6/5/2024)
Episode 3 (7/24/2024)
Episode 4 (8/21/2024)
Episode 5 (9/11/2024)
Episode 6 (10/23/2024)
Episode 7 (12/4/2024)
Episode 8 (12/18/2024)
Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.
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