SFI 證基會研討會系統

活動議程

Overview of the Training Program

Addressing the challenges which today's Financial Authorities and financial market participants face, the program features key sessions on major topics of capital markets. The program will allow professionals to discuss compliance matters and global securities market challenges. The lecture will also provide participants with an opportunity to hear directly from policy makers and commentators.

AGENDA

Monday 12 October
Time	Themes
08:30-09:00	Registration Venue: 9F Conference room, Taiwan Stock Exchange No.7, Sec.5, Xinyi Rd.,Taipei, Taiwan, R.O.C
09:00-09:15	Welcoming Remarks, Program Structure, and Objectives Speaker: FSC representative Commissioner Michael Piwowar
09:15-10:45	Liquidity and the Global Markets Speaker: Commissioner Michael Piwowar
10:45-11:00	Tea Break
11:00-12:30	Developing and Managing an Effective Compliance Program Speaker: Marc Wyatt
12:30-14:00	Lunch Break
14:00-15:00	Introduction to SEC Enforcement, Best Practices, and Procedures Speaker: Kara Brockmeyer and Erin McCartney
15:00-16:00	Recognizing and Mitigating Conflicts of Interest in Market Participants Speaker: Mark Uyeda
16:00-16:45	Considerations in Market Structure Speaker: Commissioner Michael Piwowar
16:45-17:15	Q&A