➡️EVENT DETAILS:
Date: Friday, October 16, 2026
Time: 11:30 am- 2 pm
Location: 4221 W. Boy Scout Blvd, Tampa
Event format: Business luncheon
Attire: Casual elegant Friday outfit
➡️SUMMARY
The SEC has been active both on the rulemaking and enforcement fronts in 2026, and public companies face a shifting landscape heading into 2027. Join former SEC attorneys Brian Soares and Dean Conway for a practical briefing on the developments that matter most for US-listed companies and their advisers.
Drawing on their experience in the Division of Corporation Finance and the Division of Enforcement, Brian and Dean will cover the year’s trends, rulemaking, and enforcement priorities, and what they mean for issuers as they plan for 2027. The discussion is geared towards C-suite executives, in-house counsel, and financial reporting professionals at public companies, including those with cross-border operations.
➡️ABOUT THE SPEAKERS
✅DEAN M. CONWAY
Dean Conway is a seasoned regulatory and trial lawyer with more than two decades of experience in complex securities enforcement, litigation, and regulatory compliance. While serving as an assistant chief litigation counsel at the U.S. Securities and Exchange Commission, Dean first-chaired all aspects of high-profile enforcement actions that encompassed the entire scope of the Division of Enforcement’s program, including public company disclosure, accounting and internal controls violations, investment advisers, broker-dealers, insider trading, cybersecurity, and unregistered offerings involving crypto assets.
During his tenure, Dean appeared as lead trial counsel in federal court and administrative proceedings nationwide. His enforcement experience includes numerous parallel criminal investigations with multiple U.S. criminal authorities, including the U.S. Attorney’s Office for the Southern District of New York, cross-border investigations with international regulators such as the United Kingdom’s Financial Conduct Authority (FCA) and the Australian Securities and Investments Commission (ASIC), state securities regulators such as the New Hampshire Bureau of Securities Regulation and the Massachusetts Securities Division, and self-regulatory organizations.
He also advised on investigative strategy, charging decisions, and litigation risk, including providing pre-filing guidance to the SEC’s Asset Management Unit in matters arising under the Investment Company Act of 1940 and the Investment Advisers Act of 1940. In addition, Dean advised on enforcement matters and regulatory policy while serving on the executive staff as counsel to an SEC commissioner.
In recognition of his SEC service, Dean was awarded the Chairman’s Award for Excellence, several Director’s Awards (most recently in 2023 for his work on SEC v. Vale and the Hafnium cyberattack), and the Ellen B. Ross Award for exemplary commitment, enthusiasm, and performance in enforcement of the federal securities laws.
With deep regulatory securities experience in a rapidly evolving enforcement landscape, Dean provides clients with strategic, high-quality, and practical counsel. His firsthand knowledge of SEC statutes, rules, and processes — combined with his extensive background in investigations, litigation, and regulatory decision-making — enables him to efficiently guide clients through novel, complex, and sophisticated matters.
✅BRIAN SOARES
Brian Soares counsels public and private companies and their boards with respect to federal securities laws, corporate governance, and capital raisings. As a former attorney with the U.S. Securities and Exchange Commission’s Division of Corporation Finance, Brian serves as primary outside corporate and securities counsel to numerous public companies.
Brian’s practice focuses on SEC reporting, corporate governance, and capital markets transactions, including mergers and acquisitions. He has experience representing companies of varying sizes, including startups, newly public companies, and blue-chip Fortune 100 organizations, and across a variety of industries, with a focus on life sciences and technology companies.
As a trusted adviser, Brian partners with boards and their directors to establish effective governance structures and policies, enhance risk oversight, foster shareholder engagement, and respond strategically to unsolicited offers and shareholder activists. He also helps independent directors navigate fiduciary duties, insider transactions, Rule 10b5-1 trading plans, and governance best practices.
At the SEC, Brian reviewed a wide range of securities offerings, M&A transactions, and proxy contests. He also worked on rulemaking initiatives and provided interpretive advice on various securities matters.
Brian is a native Portuguese speaker.
➡️ABOUT THE ORGANIZER
This event is being organized by the Banking & Capital Markets of the Brazil-Florida Business Council, Inc.
The Brazil-Florida Business Council, Inc. ("BFBC") is a statewide international business group headquartered in Tampa, Florida. The BFBC was launched in 2015 to forge closer ties between the business communities of Brazil and Florida by fostering bilateral trade and investment opportunities in both regions. The BFBC provides a forum to nurture the exchange of meaningful ideas, foster strategic connections, facilitate and drive economic growth.
➡️ABOUT THE PRESENTING SPONSOR
Carlton Fields is a leading national law firm known for delivering strategic, client-centered legal solutions across industries. By viewing the world from their clients' perspectives, Carlton Fields provides tailored counsel, helping them to lead and innovate around the globe.
Carlton Fields has more than 330 attorneys and government and financial services consultants serving clients from offices in California, Connecticut, Florida, Georgia, Minnesota, New Jersey, New York, and Washington, D.C. Carlton Fields’ attorneys combine deep industry knowledge with innovative, big-picture thinking to advance their clients’ business goals.
The firm is known for its national litigation and insurance practices, as well as its regulatory expertise and sophisticated handling of business transactions and corporate counseling for domestic and international clients.
