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Discussions to Focus on Corporate Governance, Enforcement Activity and the Impact
of the U.S.-Mexico-Canada Trade Agreement (USMCA) on the Investment Industry

WASHINGTON, D.C. (April 30, 2019)—State and provincial securities regulators will convene in the nation’s capital next month to address critical investor protection issues at the 2019 Public Policy Roundtable of the North American Securities Administrators Association (NASAA).

This year’s roundtable will feature discussions of interest to investors, securities regulators and industry participants throughout North America. Topics include important corporate governance matters impacting shareholders, significant state enforcement actions, and the new proposed United States-Mexico-Canada Trade Agreement (USMCA). In recognition of NASAA’s 100th anniversary, a special centennial luncheon will feature past presidents of the association and their perspectives of state and federal oversight of securities regulation.

NASAA President and Vermont Commissioner of Financial Regulation Michael S. Pieciak announced that the roundtable’s featured speaker will be Colin Bird, Minister-Counsellor of Economic and Trade Policy with the Embassy of Canada in Washington. Mr. Bird was a member of the Canadian delegation that negotiated the USMCA and will discuss the implications of the trade pact for the investment industry.

The program begins with a conversation between NASAA Executive Director Joseph Brady and past NASAA Presidents Craig Goettsch, Denise Voigt Crawford and Christine Bruenn, each of whom led the association during pivotal points in the evolution of state and federal securities regulation.

This year’s roundtable includes two panel discussions. The first, led by West Virginia Senior Deputy Commissioner of Securities and NASAA Corporation Finance Section Chair Lisa Hopkins, features a panel of corporate governance experts will explore issues important to shareholders including share classes and voting rights, the rise of ESG investing, proxy advisory firms, and mandatory arbitration clauses in corporate charters. Panelists include:

  • Ann M. Lipton, Professor, Tulane University Law School;
  • Patrick McGurn, Executive Director, Institutional Shareholder Services; and
  • Tom Quaadman, Executive Vice President, U.S. Chamber Center for Capital Markets Competitiveness.

The program’s second panel brings together legal experts to examine state enforcement activity against publicly traded companies, including both current and past cases. Moderated by Christopher Gerold, Chief of the New Jersey Bureau of Securities and chair of NASAA’s Enforcement Section, the panel includes:

  • Bradley Bondi, Partner, Cahill Gordon & Reindel LLP;
  • Chad Johnson, Partner, Quinn Emanuel; and
  • Neal E. Sullivan, Partner, Sidley Austin LLP.

The roundtable is scheduled for May 20, 2019 from 12:15 to 5 p.m. at the Washington Court Hotel, 525 New Jersey Avenue NW, Washington D.C. A reception will follow. The in-person program begins with a luncheon at 12:15 p.m. and the online program begins at 2:15 p.m. Registration information for both online and in-person attendance is on the NASAA website, here.

For More Information:

Bob Webster
Director of Communications