Mar
22
9:15 am09:15

Personal Liability for Compliance Officers: How to Protect Yourself, SIFMA C&L 2017 Annual Seminar

  • San Diego, CA

Personal Liability for Compliance Officers: How to Protect Yourself

Dan Gallagher, President, Patomak Global Partners, LLC

Panelists:

John Caruso,  Principal, KPMG, LLP

Howard Sendrovitz, Executive Director, Deputy Chief Compliance Officer, J.P. Morgan Securities LLC

Paul Tyrrell, Partner, Sidley Austin LLP

Mar
15
7:15 am07:15

Exploring the Regulatory Landscape, National Association of Corporate Directors

  • Denver, CO

CFPB, SEC, IRS, PCAOB - - get the picture? What should Directors know about the future landscape and the effects regulations and regulators will have on their companies, especially with the introduction of a new U.S. Federal Administration underway?

 Join us the morning of March 15th for a Breakfast Program. 

The program will be led by Paul Atkins, CEO of Patomak Global Partners, director and non-executive chair of BATS Global Markets, Inc. and previous SEC Commissioner; 

Jack Ciesielski, publisher of the Analyst’s Accounting Observer, member of the Investors Technical Advisory Committee of the Financial Accounting Standards Board and a member of the FASB’s Emerging Issues Task Force (ETIF); 

and Tim Wolf, retired CFO and SVP Integration of Molson Coors and Chair of the Audit Committee of the Board of Excel Energy. 

Moderated by: Douglas R. Wright, Partner, Faegre Daniels Baker

Feb
25
11:10 am11:10

Accounting discussion, The SEC Speaks, PLI conference

  • Ronald Reagan Building and International Trade Center

Patomak President Dan Gallagher participates on an accounting panel discussion.

Accounting

  • Current financial disclosure issues
  • Accounting and auditing issues
  • Emerging practice issues
  • Enforcement issues and trends

Speakers:
Wesley R. Bricker, Chief Accountant, Office of the Chief Accountant
Mark Kronforst, Chief Accountant, Division of Corporation Finance
Michael F. Maloney, Chief Accountant, Division of Enforcement
Matthew Giordano, Chief Accountant, Division of Investment Management

Commentators: 
Hon. Daniel M. Gallagher
Hon. Laura S. Unger

Feb
24
3:25 pm15:25

Compliance Inspections and Examinations discussion, The SEC Speaks, PLI conference

  • Ronald Reagan Building and International Trade Center

Patomak CEO Paul Atkins and Patomak President Dan Gallagher participate in the Practising Law Institute panel discussion on Compliance Inspections and Examinations

Compliance Inspections and Examinations

  • OCIE staff reallocation
  • 2017 examination priorities

Speakers: 
Marc Wyatt, Director, Office of Compliance Inspections and Examinations
Thomas J. Butler, Director, Office of Credit Ratings
Peter Driscoll, Associate Director, Office of Risk and Strategy
Askari J. Foy, Associate Director, Technology Controls Program, Office of Compliance Inspections and Examinations
Kevin W. Goodman, Associate Director, FINRA and Securities Industry Oversight (FSIO), Office of Compliance Inspections and Examinations
John S. Polise, Associate Director, National Broker-Dealer Exchange Group (BDX), Office of Compliance Inspections and Examinations
Kristin A. Snyder, Associate Director, Investment Adviser/Investment Company Examination Program and Associate Regional Director for Examinations, San Francisco Regional Office, Office of Compliance Inspections and Examinations

Commentator:
Hon. Paul S. Atkins
Hon. Daniel M. Gallagher

Hon. Harvey L. Pitt

Feb
24
9:35 am09:35

Corporation Finance discussion, The SEC Speaks, PLI conference

  • Ronald Reagan Building and International Trade Center

Patomak CEO Paul Atkins participates in the Practising Law Institute panel discussion on corporation finance.

Corporation Finance

  • Update on Disclosure Effectiveness, FAST Act and Dodd-Frank Act rulemakings
  • Interpretive developments
  • Other Division initiatives and rulemakings

Speakers: Division of Corporation Finance
Shelley E. Parratt, Acting Director
Michele M. Anderson, Associate Director, Legal
David R. Fredrickson, Chief Counsel and Associate Director
Karen J. Garnett, Associate Director, Disclosure Operations
Elizabeth Murphy, Associate Director, Legal
Sebastian Gomez Abero, Chief, Office of Small Business Policy

Commentators:
Hon. Paul S. Atkins
Hon. Edward H. Fleischman
Hon. Troy A. Paredes

Jan
10
2:45 pm14:45

Strategas 2017 Policy Conference: Preparing for a Trump Presidency

The 6th Annual Policy Conference will cover the potential outcomes for major macro and sector policy issues that will be debated in 2017 with an all Republican government.

Patomak Global Partners CEO Paul Atkins will give the keynote address, sharing his view of what the financial regulatory system will look in the coming years and potential changes. 

 

Jan
5
9:00 am09:00

Washington regulators: Keeping up-to-date on the SEC and PCAOB agendas

  • San Francisco, CA

This session will engage the audience in fast-paced “Talks in 15” discussions focused on the latest activities at the SEC and PCAOB. Speakers will address the current regulatory landscape, priority agenda items, and the latest activities impacting directors. Topics will include non-GAAP measures, new standard-setting, and the auditor’s reporting model reproposal. The discussions will be followed by a question-and-answer session with the speakers.
 
Wes Bricker Chief Accountant, US Securities and Exchange Commission
Dan Gallagher President, Patomak Global Partners and former Commissioner,
US Securities and Exchange Commission

Jeanette Franzel, Board Member, Public Company Accounting Oversight Board

Moderator: Mike Gallagher, Managing Partner, Assurance Quality, PwC

Dec
15
9:00 am09:00

Washington regulators: Keeping up-to-date on the SEC and PCAOB agendas, PricewaterhouseCoopers

  • New York, NY

Washington regulators: Keeping up-to-date on the SEC and PCAOB agendas

This session will engage the audience in fast-paced “Talks in 20” discussions focused on the latest activities at the SEC and PCAOB. Speakers will address the current regulatory landscape, priority agenda items, and the latest activities impacting directors. Topics will include non-GAAP measures, new standard-setting, and the auditor’s reporting model reproposal. The discussions will be followed by a question-and-answer session with the speakers. 

*Talks in 20*
Wes Bricker, Interim Chief Accountant, US Securities and Exchange Commission
Jeanette Franzel, Board Member, Public Company Accounting Oversight Board (FL)
Dan Gallagher, President, Patomak Global Partners and former Commissioner, US Securities and Exchange Commission(NY and SF)
Jay Hanson, Board Member, Public Company Accounting Oversight Board (NY and SF) 

Moderator: Mike Gallagher, Managing Partner, Assurance Quality, PwC

Oct
18
8:30 am08:30

"After 20 Years: The Evolution of the Securities Landscape and the Expectations for Compliance", National Society of Compliance Professionals

  • Omni Shoreham Hotel

Panel discussion: After 20 Years: the Evolution of the Securities Landscape and the Expectations for Compliance

Speakers: Paul Atkins, Patomak Global Partners CEO; Richard D. Marshall, Kattten Muchin Rosenman LLP Partner; John Walsh, Sutherland Asbill & Brennan LLP, Partner; Chuck Senator, Fidelity Investments, Exec. VP & Head of Regulatory Coordination and Strategy

  • The compliance officer: a higher profile and more intense expectations
  • The fundamental role of technology in the market and our firms 
  • More complex products and the rist of "best interests" concepts
  • The post-crisis ascendancy of the importance of risk management
  • Post-Madoff enforcement responses: gatekeepers, whistleblowers, self-reporting, and broken windows

 

Oct
13
11:30 am11:30

"Chairman's Panel", Securities Enforcement Forum, 2016

  • Mayflower Hotel

 

Securities Enforcement Forum 2016 is the preeminent securities enforcement conference in the world. It is a unique, one-day conference in Washington, D.C. that brings together current and former senior SEC and DOJ officials, securities enforcement and white-collar attorneys, in-house counsel and compliance executives, and other top professionals in the field. 

Securities Enforcement Forum 2016 will feature an Afternoon Keynote by SEC Enforcement Director Andrew Ceresney. In addition, the event will, for the first time, present an extraordinary “Chairmans’ Panel” that will include former SEC Commissioner Dan Gallagher and Patomak Global Partners President, and Harvey Pitt and will be moderated by Wall Street Week’s Anthony Scaramucci. 

Oct
13
11:00 am11:00

"The Politics of International Business," Wofford College lecture

  • Spartanburg, SC

Wofford College Lecture: "The Politics of International Business"
Speaker, Paul S. Atkins, former SEC Commissioner, CEO of Patomak Global Partners
Leonard Auditorium, Main Building

Paul S. Atkins served as a commissioner of the U.S. Securities and Exchange Commission (2002-08). In 2009, he was appointed by Congress to serve as a member of the Congressional Oversight Panel for the Troubled Asset Relief Program (TARP). Before his government service, Atkins was a partner of PricewaterhouseCoopers and predecessor firm Coopers & Lybrand, where he advised financial services firms on regulatory compliance, internal controls and risk management issues. Currently, he is chief executive of Patomak Global Partners, LLC. Atkins received his A.B., summa cum laude, Phi Beta Kappa, from Wofford College and his J.D. from Vanderbilt University School of Law. A frequent speaker and television commentator on regulatory and capital markets issues, he is a visiting scholar at the American Enterprise Institute for Public Policy Research in Washington. His writings have appeared in The Wall Street Journal, Financial Times, Forbes, USA Today, and Politico, as well as scholarly journals such as the Harvard Business Law Review and the Fordham Journal of Corporate & Financial Law.

Oct
5
9:45 am09:45

"Enemies of Debate: How Our Opponents Use the Government to Shut Down Public Debate", State Policy Network Annual Meeting

  • Nashville, TN

Enemies of Debate: How Our Opponents Use the Government to Shut Down Public Debate

For years you've been hearing about the growing threat of state-level laws that would force nonprofit groups to report the names and addresses of their donors to the government. But changing state laws is just the latest tactic in a multi-pronged attack on robust public debate. This panel will shine a light on efforts to shut down debate on public policy issues at the federal level through agencies like the Securities and Exchange Commission and AGs using their subpoena power to intimidate groups into silence. We'll also discuss how we can protect robust debate by protecting the privacy of our financial supporters.

Speakers: William Anderson, Patomak Global Partners; Lawson Bader, DonorsTrust; Starlee Coleman, State Policy Network; Kent Lassman, Competitive Enterprise Institute; Cleta Mitchell, Foley & Lardner, LLP

Sep
29
8:30 am08:30

US Equity Market Structure & Regulation, Rosenblatt's Global Exchange Leader Conference

  • New York, NY

US Equity Market Structure & Regulation panel

Despite repeated calls in recent years for reforms to simplify it, US equity market structure remains as complex as ever. This year two new exchanges came online. And regulators reinterpreted Reg NMS, the bedrock of modern market-structure regulation, to accommodate an intentional execution delay and time-advantaged order type at new exchange IEX. At the same time, the SEC continues to crack down on dark trading, with strict new rules following last year’s enforcement-action spree, and pursue a long-term holistic review with the help of its Equity Market Structure Advisory Committee. Our panel of senior executives, spanning the worlds of exchanges, the buy side, proprietary trading firms, regulators and both institutional and retail brokers, discusses all the important issues.

 Tal Cohen - Head of North American Equities, Nasdaq

 Curt Engler - Head of Equity Trading, Americas, JP Morgan Asset Management

 Dan Gallagher - President, Patomak Global Partners (former SEC Commissioner)

 JJ Kinahan - MD Client Advocacy & Market Structure, TD Ameritrade

 Raj Mahajan - Co-Head of Global Execution Services, Goldman Sachs

 Ari Rubenstein - Co-Founder & CEO, GTS 

Sep
27
10:30 am10:30

"Calibrating Regulation to Strengthen Markets," SIFMA Annual Meeting

  • Washington, DC

Calibrating Regulation to Strengthen Markets

It’s time to take stock: what critical reforms have contributed most to the safety of our markets? How can we calibrate regulation to strengthen markets without forsaking economic growth?

PANELISTS:

John C. Dugan, Partner, Covington & Burling LLP

Dan Gallagher, President, Patomak Global Partners, LLC

Donald Kohn, Senior Fellow, Economic Studies, The Brookings Institution

Annette L. Nazareth, Partner, Davis Polk & Wardwell LLP

MODERATOR:

Sandra O'Connor, Chief Regulatory Affairs Officer, JPMorgan Chase & Co.

Sep
26
12:30 pm12:30

Keynote speaker, ICI 2016 Tax and Accounting Conference

  • Palm Desert, CA

Attendees of ICI’s 2016 Tax and Accounting Conference learned the latest information from fund sponsors, regulators, and auditors on tax and accounting issues affecting investment companies. 

KEYNOTE SPEAKERS

Dan Gallagher
President
Patomak Global Partners
Former SEC Commissioner

Jun
23
12:30 pm12:30

SEC Developments, National Society of Corporate Secretaries Conference

  • Colorado Springs, CO

 SEC Developments

  • Universal ballot
  • Quarterly earnings reports
  • Cyber disclosure
  • Diversity disclosure
  • Non- GAAP financial measures

Panelists:

» Moderator: Andrew Ackerman, Reporter, The Wall Street Journal

» Brian V. Breheny, Partner, Skadden Arps Slate Meagher & Flom

» Daniel M. Gallagher, President, Patomak Global Partners, LLC

» John W. White, Partner, Cravath, Swaine & Moore

Jun
8
12:30 pm12:30

Discussion of Personal Liability in Connection with Recent SEC Actions and Indications, Association of Corporate Counsel

  • Greenwich, CT

Discussion of Personal Liability in Connection with Recent SEC Actions and Indications

Speakers
DAN GALLAGHER, President, Patomak Global Partners, LLC

NEIL KRAUTER, Chairman & CEO, Krauter & Company

DAN GALLAGHER, President, Patomak Global Partners, LLC- 
(SEC Commissioner Nov. 2011-Oct. 2015)

Dan is well known for taking issue with the SEC’s approach to violations of Rule 260(4)-7 by chief compliance officers.  Dan will discuss the SEC’s approach to enforcement actions alleging violations of the Investment Advisers Act by chief compliance officers and other similar personnel within investment management firms.

During his tenure with the SEC Dan focused on initiatives aimed at strengthening the capital markets and encouraging small business capital formation.  As a Commissioner, Dan assailed the creeping federalization of corporate governance matters and the concerted efforts of special interest groups to manipulate the SEC’s disclosure regime to advance their political agendas.  He also was instrumental in highlighting the shortcomings of the Dodd-Frank Act and the encroachment of bank regulatory measures and prudential regulators into the capital markets.  He is a leading media commentator, lecturer, and author on matters related to capital markets regulation, and he has been recognized by the National Association of Corporate Directors as one of the 100 most influential individuals in the corporate governance community. Mr. Gallagher also serves as a Non-Executive Director of the Irish Stock Exchange, and is on the Advisory Board of the Drexel LeBow Center for Corporate Governance and a policy fellow at the American Conservative Union.

NEIL KRAUTER, Chairman and CEO, Krauter & Company

Neil will discuss utilizing insurance to protect officers and employees from personal liability associated with enforcement actions, fines and penalties by the SEC directly against the CEO, CFO, CCO, GC or other employee or officer.

Neil is founder of Krauter & Company, an insurance broker representing, among others, more than 150 investment management firms and their portfolio companies. His background includes management of elite teams of over 100 M&A insurance experts as AON’s leading specialist in providing services to the M&A industry. He served as AON’s SVP (1988), EVP, (1991) and Vice Chairman of AON New York (1994) & was appointed Worldwide Practice Leader of the AON M&A Group. Neil is currently or recently has been on the Board of Directors as well as the Investment Committee of Reserve Capital Partners, the Advisory Board of Mountainside Hospital, Private Equity Risk Consulting, Arsenal Capital Partners, Private Equity CFO Association, Dukes Place Holdings, Winchester Advisors, and Breckenridge Insurance. In addition, he is the founder and CEO of the Private Equity Principal Group (PEPG) the industry resource to train the next generation of deal makers and partners.

May
19
12:30 pm12:30

“Antitrust and Regulation in Financial Markets: Navigating New Challenges”, Cornerstone Research and NY Pollack Center for Law and Business

  • New York, NY

Dam

Cornerstone Research and the NYU Pollack Center for Law & Business cosponsored a one-day conference in New York on “Antitrust and Regulation in Financial Markets: Navigating New Challenges.” Panelists addressed recent and anticipated regulatory changes and the expanding litigation that continues to create challenges for financial institutions and their counsel.

Keynote speaker: Daniel M. Gallagher, President, Patomak Global Partners; Former Commissioner, U.S. Securities and Exchange Commission

May
17
10:00 am10:00

“Legislative Proposals to Enhance Capital Formation, Transparency, and Regulatory Accountability”, Testimony before the House Financial Services Committee

  • Washington, DC

Testimony of Daniel M. Gallagher
President, Patomak Global Partners, LLC

Before the
United States House of Representatives
Committee on Financial Services


“Legislative Proposals to Enhance Capital Formation,
Transparency, and Regulatory Accountability”