inSecurities is a biweekly podcast featuring in-depth conversations with senior regulators, top practitioners, and leading academics, along with "deep dives" on hot topics in the securities regulatory and enforcement world. In an increasingly complex business and regulatory environment, inSecurities co-hosts Chris Ekimoff, a forensic accountant with RSM, and Kurt Wolfe, a securities enforcement attorney at Quinn Emanuel Urquhart & Sullivan, keep you current on key developments.
Featured In This Episode
Carla Carriveau
Carla Carriveau is a seasoned attorney focusing on leading legal strategy in emerging technology industries. She currently serves as the Chief Legal Officer of CoinList working from its San Francisco location. Carla was previously Senior Counsel at the United States Securities and Exchange Commission serving in a number of capacities including as a top government affairs aide to former SEC Chair Mary Jo White. During her tenure with the SEC, she led teams with respect to policy, rulemakings, and market operations and advised internal and external stakeholders as to the application of securities regulations. In addition to her role at CoinList, Carla is the Board President of Biotech Partners, a non-profit focused on facilitating biotech careers for underserved youth in the Bay Area and serves as an Advisor to Compliance.ai, a RegTech platform, and as Director and Advisor to Caplight Technologies, Inc., an alternative assets platform specializing in derivatives.
Featured In This Episode
Michael Liftik
Michael Liftik is Chair of Quinn Emanuel’s SEC Enforcement practice, and Co-Managing Partner of the Washington, D.C. office. His practice focuses on government and internal investigations, regulatory enforcement defense, securities litigation, cryptocurrencies, congressional investigations, crisis management, and cybersecurity. Michael has extensive experience as a securities litigator, having worked on matters stemming from major securities regulatory crises, including market timing and late trading, stock options backdating, and the 2007-2008 financial crisis. Michael spent nearly a decade at the Securities and Exchange Commission where he developed a unique depth of knowledge working on enforcement and regulatory matters at all levels of the Commission. Michael has appeared on CNBC, CNN, and Bloomberg TV and has frequently been quoted in the Wall Street Journal and the New York Times for his expertise on these topics.
Prior to joining the firm, Michael was the Deputy Chief of Staff of the SEC, where he served as a senior legal advisor to Chair Mary Jo White on all aspects of the SEC’s operations, including enforcement, regulatory policy, compliance exams, agency strategy and direction, as well as the day-to-day management of the agency. Michael also served as Chair White’s deputy to the Financial Stability Oversight Council and was responsible for working with senior staff from other financial regulatory agencies on identifying risks and emerging threats to the financial stability of the United States. He was also responsible for assisting the Chair in developing the agency’s policies on cybersecurity disclosure and data protection for registered entities and public companies. He led the SEC’s initial efforts to analyze areas where emerging financial technologies intersect with securities regulation, and directed the organization of the SEC’s first Fintech Forum.
Before serving as Deputy Chief of Staff, Michael was Chair White's Senior Advisor on Enforcement, counseling the Chair on enforcement cases and policy matters. Prior to his service in the Chair’s office, Michael was Counsel to the Director of the Division of Enforcement. Michael also served as the Acting Chief of the division’s Complex Financial Instruments Unit, where he oversaw 45 attorneys and industry experts in offices across the country that investigate potential misconduct related to complex financial products, such as structured notes, asset-backed securities, and derivatives, and practices involving sophisticated market issues, such as fixed income trading and illiquid asset valuations.
