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  • Keynote Address - ICI Securities Law Developments Conference, Dalia Blass, Director, SEC Division Of Investment Management, Washington D.C., Oct. 25, 2018

    Date 25/10/2018

    Introduction 

    Good morning. Thank you Susan [Olson], and thank you, all, for the opportunity to join you today.

    Since I spoke with you last year, the Division has been busy on many fronts. This morning, I am going to focus on three of these: first, fund disclosure; second, fund use of derivatives; and third, staff guidance, which I know is on many of your minds. You also will hear from my colleagues about many other projects later today. Paul Cellupica, our Deputy Director and Chief Counsel, will join the Regulatory Developments panel this morning. Then Melissa Gainor, Sara Cortes and Michael Kosoff will participate in the discussions of ETFs, standards of conduct and fund disclosure.

  • Good Cop/Bad Cop - Speech By Sam Woods, Deputy Governor For Prudential Regulation And Chief Executive Officer Of The UK Prudential Regulation Authority, Given At Mansion House City Banquet, London

    Date 25/10/2018

    At the Mansion House City Banquet, Sam Woods, the Deputy Governor for Prudential Regulation and the Chief Executive of the Prudential Regulation Authority (PRA), describes the two different roles the regulator often finds itself playing, good cop and bad cop.

  • Statement at The Roundtable On Market Data And Market Access, SEC Commissioner Elad L. Roisman, Oct. 25, 2018

    Date 25/10/2018

    Thank you, Brett and the Division of Trading and Markets staff, for organizing this roundtable. Further thanks go to the panelists for contributing your time and energy in preparing for and attending this event. Looking at the agenda and at those seated around the room, it is clear that we have very knowledgeable participants who will not hesitate to engage in robust discussions over the next two days.Thank you, Brett and the Division of Trading and Markets staff, for organizing this roundtable. Further thanks go to the panelists for contributing your time and energy in preparing for and attending this event. Looking at the agenda and at those seated around the room, it is clear that we have very knowledgeable participants who will not hesitate to engage in robust discussions over the next two days.Thank you, Brett and the Division of Trading and Markets staff, for organizing this roundtable. Further thanks go to the panelists for contributing your time and energy in preparing for and attending this event. Looking at the agenda and at those seated around the room, it is clear that we have very knowledgeable participants who will not hesitate to engage in robust discussions over the next two days.Thank you, Brett and the Division of Trading and Markets staff, for organizing this roundtable. Further thanks go to the panelists for contributing your time and energy in preparing for and attending this event. Looking at the agenda and at those seated around the room, it is clear that we have very knowledgeable participants who will not hesitate to engage in robust discussions over the next two days.Thank you, Brett and the Division of Trading and Markets staff, for organizing this roundtable. Further thanks go to the panelists for contributing your time and energy in preparing for and attending this event. Looking at the agenda and at those seated around the room, it is clear that we have very knowledgeable participants who will not hesitate to engage in robust discussions over the next two days.

  • Brexit And Financial Services: Where Have We Got To? Speech By Andrew Bailey, Chief Executive Of The FCA, Delivered At The City Banquet, Mansion House, London

    Date 25/10/2018

    Speaker: Andrew Bailey, Chief Executive
    Event: City Banquet, Mansion House, London
    Delivered: 25 October 2018
    Note: this is the speech as drafted and may differ from the delivered version

  • SEC Investor Advisory Committee To Hold Nov. 7 Telephone Meeting

    Date 25/10/2018

    The Securities and Exchange Commission’s Investor Advisory Committee will meet telephonically on Nov. 7 at 2 p.m. Eastern Time. The public is invited to listen to the meeting live using the dial-in details provided below. A recording of the meeting will be archived on the committee’s webpage for later listening.

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