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Washington DC Compliance Roundtable Web Event: Speaker – Peter Haggerty, Senior Regulatory Counsel SEC OCIE

July 9 @ 3:30 pm - 5:00 pm CDT

Peter Haggerty, Senior Regulatory Counsel in the U.S. Securities and Exchange Commission’s (SEC) Office of Compliance, Inspections and Examinations (OCIE) will discuss current legal and compliance trends, as well as COVID-19 information for the SEC registrants.

Pete Haggerty is a Senior Regulatory Counsel in OCIE’s Investment Adviser/Investment Company (IA/IC) Examination Program. OCIE conducts the SEC’s National Exam Program, and the IA/IC examination program is responsible for conducting exams of investment advisers and investment companies. Prior to joining OCIE, Mr. Haggerty worked in the SEC’s Division of Enforcement for over ten years, including four years with the Division’s Asset Management Unit (AMU), where he brought a variety of enforcement actions against hedge funds, corporations and individuals. Mr. Haggerty also served as Special Counsel in the SEC’s Division of Trading and Markets, where he worked on rulemaking initiatives and broker-dealer registration issues. Mr. Haggerty began his career in private practice, working as a litigator with a focus on commercial and securities litigation.

To RSVP, email contact@wdccrt.org.


July 9
3:30 pm - 5:00 pm CDT
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