Anil Abraham is Associate General Counsel, Managing Director – Legal at Focus Financial Partners, LLC. Mr. Abraham assists Focus and its partner firms with legal and regulatory matters, including new business and strategic initiatives. Mr. Abraham has over 12 years of experience as a senior attorney at the Securities and Exchange Commission, including serving as a direct counsel to two SEC chairmen, to two additional SEC commissioners, and in the Enforcement and Investment Management Divisions. Mr. Abraham also served as counsel to an acting chairman of the Commodity Futures Trading Commission and spent a year as a financial advisor with Raymond James & Associates. He began his career with the law firm of Sidley & Austin and as a law clerk to Judge Jerry E. Smith on the United States Court of Appeals for the Fifth Circuit. Mr. Abraham earned his J.D. from Yale Law School and his B.A. summa cum laude from Dartmouth College.
Adam S. Aderton is Co-Chief of the SEC Enforcement Division’s Asset Management Unit, a national specialized unit that focuses on misconduct by investment advisers, investment companies, and private funds. Mr. Aderton joined the SEC as an Enforcement staff attorney in 2008 and became an Assistant Director in 2013. Before joining the SEC, Mr. Aderton served as a law clerk to Judge J. Frederick Motz of the U.S. District Court for the District of Maryland and worked in the securities litigation and enforcement practice at Wilmer Cutler Pickering Hale and Dorr LLP. Mr. Aderton received his undergraduate degree from Truman State University and his J.D. from the University of Virginia.
Karen Aspinall is a partner at Practus LLP. With over 20 years of in-house and AmLaw experience, Ms. Aspinall is an authority on regulatory compliance matters involving SEC, DOL, CFTC and NFA regulations. Prior to joining Practus, Ms. Aspinall served as Executive Vice President and Deputy General Counsel for PIMCO. She also served as Senior Vice President for Nuveen Investments and was an associate at both Morgan Lewis & Bockius and Dechert.
Karen L. Barr is President & CEO of the Investment Adviser Association. Before assuming this role in 2014, she served as the IAA’s General Counsel for 17 years, with responsibility for the wide range of legal and regulatory matters affecting the Association and its members. Prior to joining the IAA, Ms. Barr was in private practice at Wilmer, Cutler & Pickering (now WilmerHale), where she represented clients in securities regulatory matters. Ms. Barr received her B.A. from the University of Pennsylvania and her law degree from the University of Michigan Law School. She is a frequent speaker on investment adviser issues.
Gail C. Bernstein is General Counsel of the Investment Adviser Association. She joined the IAA from the law firm of WilmerHale in Washington, DC, where she had been a Special Counsel in the Securities Department from 2008 until June 2017. Prior to that, Ms. Bernstein was first an associate and then a partner at Wilmer, Cutler & Pickering (now WilmerHale) in Washington, DC. While in private practice, Ms. Bernstein counseled clients on all aspects of financial and securities regulation, with a specific focus on the Dodd-Frank Act and securities and derivatives law and compliance. Ms. Bernstein grew up in South Africa and earned her B.A. from the Hebrew University of Jerusalem in 1982 and her law degree from Harvard Law School in 1988. After law school, Ms. Bernstein clerked for the Honorable Douglas P. Woodlock of the U.S. District Court for the District of Massachusetts and was an associate at the Boston law firm of Mintz Levin from 1989-1990, when she moved to Washington.
Monique S. Botkin is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA in 2004, Ms. Botkin was an associate in the financial services groups at Dechert LLP in Newport Beach, CA and Alston & Bird LLP in Washington, DC. While in private practice, Ms. Botkin represented investment advisers, registered investment companies, private funds, and broker-dealers in corporate, securities and investment management matters. Ms. Botkin also served as an attorney in the SEC’s Division of Investment Management disclosure review office from 2013 to 2014. She earned her B.A. in government and politics from the University of Maryland at College Park and her J.D., cum laude, from Southwestern University School of Law in Los Angeles, where she was an editor of the Law Review.
Nathan Briggs is a partner in Ropes & Gray LLP’s asset management group. Mr. Briggs’s practice focuses on advising registered investment companies, their independent directors, and investment advisers. Mr. Briggs works on a variety of matters regarding the establishment, registration, reorganization, and operation of retail and institutional investment products, including providing advice with respect to governance, regulatory and compliance issues of all kinds affecting investment management industry clients. Prior to working at the firm, Mr. Briggs interned at the Investment Adviser Association where he assisted and worked with its members in a variety of lobbying and industry-related issues. Mr. Briggs holds a B.A. from Towson University, an M.A. in international economic relations from American University, a J.D., magna cum laude, from American University Washington College of Law, and has passed Level I of the Chartered Financial Analyst examination.
Sarah Buescher joined the Investment Adviser Association in 2017 as Associate General Counsel. She is responsible for ERISA and pension issues as well as core Investment Advisers Act issues. Before joining the IAA, Ms. Buescher served as a Branch Chief in the Investment Adviser Regulation Office in the SEC’s Division of Investment Management. She also worked in the SEC’s Office of the General Counsel and started her legal career in the SEC’s Division of Investment Management. Between 1999 and 2009, Ms. Buescher worked at Vanguard, first in the Legal Department as Associate Counsel and Senior Counsel, and later as Manager of International Compliance in Vanguard’s Compliance Department. She earned her B.S. in Communication Studies from Northwestern University and her J.D. from the University of Notre Dame Law School.
Robert E. Burks, Jr. joined Brown Capital Management in 2019 as Chief Compliance Officer. Prior to joining the firm, Mr. Burks was a Compliance Officer in the Global Compliance Examinations department at Legg Mason Asset Management in Baltimore, where he conducted mock regulatory exams of Legg Mason’s Investment Adviser affiliates. Before that, Mr. Burks spent more than a decade with Merrill Lynch, starting out as a Financial Advisor and then taking on a series of increasingly senior branch office management roles. He last served as Vice President, Administrative Manager of branch offices in Cincinnati, OH. Mr. Burks received a B.S. in Industrial Management from the University of Cincinnati.
Ari Burstein is President of Capital Markets Strategies, representing financial services firms, including investment advisers, hedge funds, private equity firms, broker-dealers, securities exchanges and trade associations before regulators and policymakers, in the U.S. and globally. He is also the co-founder of the ETFs Global Markets Roundtable, a global conference series focusing on ETFs and their impact on trading, market structure and the capital markets in general. Prior to starting Capital Markets Strategies, Mr. Burstein was Head of US Regulatory Affairs for Kreab, a leading global consulting firm. He also was Senior Counsel for capital markets issues for the Investment Company Institute (ICI) and ICI Global, the global trade associations for the regulated fund industry. Prior to joining ICI, Mr. Burstein was an attorney in the U.S. Securities and Exchange Commission’s Division of Investment Management from 1997 to 1998 and the Division of Market Regulation from 1992 to 1997.
Bradford Campbell, partner at Faegre Drinker Biddle & Reath LLP, advises financial service providers and plan sponsors on ERISA Title I issues, including fiduciary conduct and prohibited transactions. A nationally-recognized figure in employer-sponsored retirement plans, Mr. Campbell is the former Assistant Secretary of Labor for Employee Benefits and head of the Employee Benefits Security Administration. As ERISA’s former “top cop” and primary federal regulator, he provides his clients with insight and knowledge across a broad range of ERISA-plan related issues. He also serves as an expert witness in ERISA litigation. Mr. Campbell has been listed as one of the 100 Most Influential Persons in Defined Contribution by 401kWire and has been listed as one of the top 15 ERISA attorneys in the country by a poll of the National Association of Plan Advisors. He has testified before Congress on employee benefits issues 11 times, including testimony before four different Congressional Committees regarding the effects of the Department of Labor’s fiduciary regulation.
Keith E. Cassidy is Associate Director, Technology Controls Program, in the SEC’s Division of Examinations. Mr. Cassidy began his career at the SEC as an Attorney Advisor in the Office of Legislative and Intergovernmental Affairs in 2010 before being promoted to Deputy Director in 2011 and Director of the office in 2016. In addition to his position at the SEC, Mr. Cassidy is an Infantry Officer in the United States Marine Corps Reserve. He currently serves as Operations Liaison Officer for B Company, 4th Reconnaissance Battalion and has earned numerous awards. Mr. Cassidy previously worked as Chief of Staff and Counsel at the Department of Justice’s Office of Legislative Affairs, and as a legislative assistant in the United States Senate. Mr. Cassidy received his J.D. from the George Washington University Law School and his LL.M. in Securities and Financial Regulation from Georgetown Law Center, with distinction. He received his B.A. from the University of Virginia.
L. Allison Charley joined ACA in July 2018 as a Senior Principal Consultant. In that role, Ms. Charley provides comprehensive compliance consulting services and conducts mock SEC examinations of investment advisers and investment companies. Prior to ACA, Ms. Charley worked in the U.S. Securities and Exchange Commission’s Division of Investment Management in Washington, DC, as a securities compliance examiner and acting branch chief. Before the SEC, Ms. Charley was the enterprise chief compliance officer for MIP Global. Prior to that, she served as a senior compliance consultant with Financial Industry Technical Services (FITS). Before FITS, Ms. Charley was the chief compliance officer for Rydex Investments. Prior to Rydex, she held senior compliance roles at other firms in the Washington, DC area. Ms. Charley earned her Bachelor of Arts degree in Psychology from Hollins University.
Sara Crovitz is a partner with Stradley Ronon where she provides counsel on all aspects of investment company and investment adviser regulation. Prior to joining the firm, Ms. Crovitz was Deputy Chief Counsel and Associate Director of the U.S. Securities and Exchange Commission’s Division of Investment Management, and worked at the SEC for 21 years, including 17 years in the Division of Investment Management. While in the Division, Ms. Crovitz supervised the provision of significant legal guidance to the investment management industry through no-action and interpretive letters, exemptive applications, IM guidance updates and other written and oral means. She received her B.A. from the University of Chicago and her J.D. from the University of Chicago Law School.
Letti de Little is the Chief Compliance Officer for Grain Management, LLC, a private equity manager focused on the telecommunications sector and headquartered in Washington, DC. Prior to Grain, Ms. de Little was the Chief Compliance officer for Cartica Management, LLC. She has also served as Corporate Counsel at Charles Schwab & Co. Inc. where she covered alternative investments and private placements and capital markets matters and as Corporate Counsel and Compliance Associate at Partner Fund Management, LP. She graduated from the University of Virginia, received her J.D. from Tulane Law School and is a member of the New York State Bar.
Michael S. Didiuk is a Partner in Perkins Coie’s Investment Management practice. With over 18 years of experience at the U.S. Securities and Exchange Commission and in private practice, Mr. Didiuk represents asset managers on all aspects of the federal securities laws, with a particular in-depth knowledge on the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Mr. Didiuk is also a core member of the firm’s Blockchain industry group and helps startups, including fintech, blockchain, and cryptocurrency clients, navigate the federal securities laws and complex regulatory issues raised by fintech companies and blockchain technology in connection with the emergence of digital asset sales and digital securities. Prior to joining Perkins Coie, Mr. Didiuk worked in various roles at the SEC, including as senior counsel in the Office of Chief Counsel for the Division of Investment Management and as investment management counsel to two SEC commissioners at the SEC’s headquarters in Washington, DC. Most recently, Mr. Didiuk worked in the Office of Compliance Inspections and Examinations in the SEC’s San Francisco office, where he led examinations of registered investment advisers, robo-advisers, exempt reporting advisers, hedge funds, crypto asset funds, private equity funds, and venture capital funds. As a member of the SEC’s fintech working groups, including one of the original members of the Distributed Ledger Technology Working Group, Mr. Didiuk contributed to the SEC’s work on blockchain and robo-advisers.
Curtis Flippen is Senior Director at Foreside Financial Group, LLC. Mr. Flippen provides compliance consulting to investment adviser clients, which may include providing advice and guidance on firm and individual registrations, examinations, firm policies and procedures, federal and state regulatory rule interpretations, and risk assessments. With more than 20 years of experience in legal and compliance, he is a risk management and compliance professional with expertise in private fund compliance and regulatory matters. Prior to joining Foreside, he was with QMA/Prudential, MetLife Advisors, Deloitte, Bear Stearns Asset Management, and E&Y, where he held various compliance roles. Mr. Flippen received a B.S. from Hampton University and a J.D. from Rutgers Law School.
Carlo di Florio is the Global Chief Services Officer of ACA Compliance Group. At ACA, Mr. di Florio is responsible for defining and executing the vision for ACA’s governance, risk, and compliance (“GRC”) service offerings. His responsibilities include oversight, management, and strategic growth of ACA’s global regulatory compliance, cybersecurity and risk, AML and financial crimes, and performance practices. Prior to joining ACA, Mr. di Florio worked for over 25 years in executive leadership roles at PricewaterhouseCoopers (PwC), where he was a Partner in the Financial Services Risk & Regulatory Practice; the Securities and Exchange Commission (SEC), where he was the Director of the Office of Compliance Inspections and Examinations (OCIE); and the Financial Industry Regulatory Authority (FINRA), where he was the Chief Risk & Strategy Officer. In these roles, Mr. di Florio led the design and implementation of large-scale regulatory compliance improvements, technology and data analytics transformations, and risk management program enhancements. Mr. di Florio also serves as Co-President and Governor of the Risk Management Association (RMA) NY Chapter and as Adjunct Professor at Columbia University, Master of Science program in Enterprise Risk Management. Mr. di Florio has been named one of the 100 Most Influential Leaders in Corporate Governance by the Association of Corporate Directors; one of the Top Trailblazers & Pioneers in Governance, Risk & Compliance by The National Law Journal; and one of the Most Influential People in Finance by Worth Magazine.
Peter Driscoll, CPA, is Director of the U.S. Securities and Exchange Commission’s Division of Examinations. He previously served as Acting Director, as the Office of Compliance Inspections and Examinations’ first Chief Risk and Strategy Officer, and as its Managing Executive from 2013 through February 2016. He joined the SEC in 2001 as a staff attorney in the Division of Enforcement in the Chicago Regional Office and was later a Branch Chief and Assistant Regional Director in the Office of Compliance Inspections and Examinations’ Investment Adviser and Investment Company examination program. Prior to the SEC, Mr. Driscoll began his career with Ernst & Young LLP and held several accounting positions in private industry. He received his B.S. in Accounting and law degree from St. Louis University. He is licensed as a certified public accountant and is a member of the Missouri Bar Association.
Anthony Eames is a Vice President and Director of Responsible Investment Strategy for Calvert Research and Management, a wholly-owned subsidiary of Eaton Vance Management specializing in responsible and sustainable investing across global capital markets. He is responsible for the suite of strategies focused on responsible investing, encompassing actively and passively managed U.S. and international equity strategies, fixed-income strategies and asset allocation funds. Mr. Eames is responsible for client communications and insights on investment strategy and portfolio positioning. Mr. Eames began his career in the investment management industry in 1995 with Calvert Investment Management. Over the years, he held various roles including senior vice president and national sales manager, ultimately leading Calvert’s business development and client service efforts ahead of Eaton Vance’s acquisition of Calvert’s business assets. He has been affiliated with the Eaton Vance organization since 2016. Mr. Eames is a director of US SIF: The Forum for Sustainable and Responsible investment, the leading industry voice advancing sustainable investing across all asset classes. He is also a director of the Calvert Institute for Responsible Investing, which seeks to understand how investors can address major global challenges to drive positive impact. Mr. Eames earned a B.A. from Wittenberg University. He holds the Accredited Investment Fiduciary and Accredited Asset Management Specialist designations, and FINRA Series 7, 24 and 63 licenses.
Geoffrey I. Edelstein, CFA, CIC is a Co-Founder, Principal and Portfolio Manager of Granite Investment Partners, LLC, an investment adviser specializing in asset management for institutions and high net worth families with approximately $4.3 billion under advisement as of December 31, 2020. Prior to founding Granite in 2009, Mr. Edelstein was Principal, Managing Director and Portfolio Manager of Transamerica Investment Management, LLC (TIM), which he joined in 2005 when it acquired Westcap Investors, LLC. Prior to TIM, Mr. Edelstein co-founded Westcap in 1992. Prior to Westcap, he was an associate at Rudnick & Wolfe specializing in corporate and real estate law from 1988-1991. He has an A.B. in political science from the University of Michigan, 1985, and a J.D. from Northwestern University School of Law, 1988. Mr. Edelstein earned the right to use the Chartered Financial Analyst designation in 1997. Mr. Edelstein is a past member of the Board of Governors of the Investment Adviser Association.
Kevin Ehrlich is the Chief Compliance Officer and Manager of Regulatory Affairs for Western Asset Management Company, an investment adviser primarily focused on managing fixed-income strategies. Western Asset has nine offices around the globe and experience across the range of fixed-income sectors. Mr. Ehrlich has been with Western Asset since 2004. Prior to Western Asset, Mr. Ehrlich worked with Legg Mason, Inc. (Western Asset’s parent company) and the Division of Trading and Markets (formerly Market Regulation) at the U.S. Securities and Exchange Commission.
Langston Emerson a partner at Mindset DC, is a policy strategist and advocate with particular experience in advancing business goals for private equity, venture capital, real estate, and insurance clients. He has a wide-ranging background in government, trade associations, corporate, and entrepreneurial settings. Among his other roles at Mindset, Mr. Emerson leads the firm’s diversity, equity, and inclusion efforts, both internally and externally. In his previous role at Signal Group, Mr. Emerson led the financial services practice and represented clients on a wide variety of complex legislative and regulatory matters. Prior to joining Signal Group, Mr. Emerson was a lead advocate for the private equity industry at the American Investment Council (formerly, Private Equity Growth Capital Council). In this role, Mr. Emerson was responsible for tax and financial services policy affecting private investments. Prior to that, at TIAA, Mr. Emerson led company efforts around the Dodd-Frank Act, and was instrumental in safeguarding the company’s interests. Mr. Emerson began his career in policy work on Capitol Hill, and has held senior positions in the House and the Senate, including for Senator Carl Levin (D-MI) and Representative Carolyn Kilpatrick (D-MI). Additionally, he served as a senior aide to Representative Mike Capuano (D-MA), and led the Congressman’s work on the financial services committee. Before his time as a senior congressional aide, Mr. Emerson worked in the banking practice of a law firm and at the Federal Reserve Bank of New York. Mr. Emerson graduated magna cum laude from Howard University and earned his law degree from the George Washington University Law School.
Lee Faria is vice president of asset management compliance and the chief compliance officer for Columbia Management Investment Advisers, LLC (CMIA). Ms. Faria manages a group of employees who are responsible for investment guideline monitoring and trading surveillance as well as a group of employees responsible for compliance with the code of ethics/personal trading, and administering certain other fiduciary-related policies. She has significant expertise in investment adviser regulatory matters. Ms. Faria has over 30 years of industry experience, of which 25 are in a legal or compliance capacity. Ms. Faria joined one of the legacy firms of Ameriprise in 2005. Previously, she worked for Deutsche Asset Management (formerly Scudder Kemper). She also worked as an in-house counsel at both Fidelity Investments and Mellon Bank. Ms. Faria received her B.A. from Wellesley College and J.D., cum laude, from Suffolk University Law School. She is a member of the Massachusetts Bar Association.
Genna Garver, a Partner at Troutman Pepper Hamilton Sanders LLP, provides targeted, practical advice to investment advisers and their proprietary private investment funds. The private funds Ms. Garver advises implement a variety of investment strategies and structures, including hedge funds, private equity funds, private credit funds and funds of funds and other managers. Ms. Garver also represents institutional investors, funds of funds and family offices in connection with their private fund investments. Her clients appreciate the close personal attention she provides to help them navigate the complex maze of investment regulation. Ms. Garver routinely advises clients on formation and offering matters for both domestic and offshore funds; SEC and state investment adviser, and private fund regulation; Investment Advisers Act compliance program implementation, annual reviews and ongoing matters; as well as regulatory examinations and investigations. She also has extensive experience representing financial institutions in a variety of transactional and regulatory matters. A sought-after speaker and author, Ms. Garver regularly presents at industry events on various aspects of securities law. She is also actively involved in numerous women’s and diversity initiatives in the financial services industry and is an active participant in 100 Women in Finance, the Investment Adviser Association, and the National Association of Compliance Professionals.
Alexander C. Gavis is Senior Vice President and Deputy General Counsel in the Corporate Legal Department of FMR LLC, the parent company of Fidelity Investments, one of the largest brokerage and mutual fund companies in the United States and the leading provider of workplace retirement savings plans. He manages a team of attorneys and professionals responsible for providing legal services to the firm’s retail brokerage, stock plan and workplace retirement businesses. He also oversees legal services for Fidelity’s businesses involved in digital communications and commerce, including social media. Mr. Gavis provides legal advice on all of Fidelity’s national advertising and marketing initiatives. Prior to joining Fidelity in 1997, Mr. Gavis served as Assistant Counsel at the Investment Company Institute and as Senior Counsel in the Office of General Counsel at the U.S. Securities and Exchange Commission, both in Washington, DC. He also served as a judicial law clerk for The Honorable William T. Allen, Chancellor of the Court of Chancery for the State of Delaware. He has worked in investment banking in New York at Salomon Brothers Inc, handling mergers and acquisitions. Mr. Gavis received his J.D., cum laude, from the University of Pennsylvania Law School, where he served as Editor-in-Chief of the University of Pennsylvania Law Review, and his bachelor’s degree, with High Honors and Phi Beta Kappa, from Swarthmore College. As an adjunct professor at Suffolk University Law School, he teaches the class “Designing Thinking for Lawyers and Business Professionals” and has taught at the Stanford University Design and Law Schools and at Harvard Law School. He also holds a patent in the area of blockchain technologies. Mr. Gavis currently serves on FINRA’s FinTech Industry Committee and as chair of the Public Communications Committee, and as a past member of the E-Brokerage (chair) and Membership Committees and the Social Media (chair) and New Account Form Task Forces. He serves as vice chair of the IAA’s Technology Innovation Committee.
Paul D. Glenn is Special Counsel for the Investment Adviser Association. Previously, he worked for 12 years at the U.S. Securities and Exchange Commission as a trial attorney and special counsel in the Division of Enforcement and the Office of General Counsel, respectively. He also worked at the Office of the Comptroller of the Currency (OTS), U.S. Treasury, as Deputy Chief Counsel and Special Counsel. Mr. Glenn also served as Vice President and Director of Compliance for PNC Bank N.A. in Washington, DC and Sandy Spring Bancorp, Inc. He holds an LL.M from Georgetown University Law Center and his J.D. and B.A. from Case Western Reserve University. He holds an honorary doctor of laws degree from Nyack College.
Daniel Goelzer, a retired partner in the law firm of Baker McKenzie, is a member of the Sustainability Accounting Standards Board and advises a Big Four accounting firm on audit quality issues. He prepares a bi-monthly newsletter, Audit Committee and Auditor Oversight Update, which focuses on regulatory issues affecting audit committees. From 2002 to 2012, Mr. Goelzer was a member of the Public Company Accounting Oversight Board and served as Acting PCAOB Chair from August 2009 through January 2011. From 1983 to 1990, he was General Counsel of the Securities and Exchange Commission. Mr. Goelzer is a CPA and a lawyer.
Laura L. Grossman is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA in 2012, Ms. Grossman was in private practice for over 10 years in the New York office of Fulbright & Jaworski L.L.P. (now Norton Rose Fulbright), where she advised registered investment adviser, mutual fund and private fund clients on matters arising under the Investment Advisers Act, the Investment Company Act and other federal securities laws, the Commodity Exchange Act and associated regulations, and a wide range of compliance issues. Ms. Grossman received her B.A., summa cum laude, from Rutgers College, and she received her law degree from the University of Pennsylvania.
Jon K. Hadfield serves as Chief Compliance Officer for Vanguard Global Advisers, LLC and Head of Fund and Adviser Compliance for Vanguard. He is responsible for all aspects of compliance with respect to the management of Vanguard’s U.S. mutual funds and ETFs, as well as the provision of investment advice to certain non-U.S. funds, ETFs, and separately managed accounts. Prior to joining Vanguard, Mr. Hadfield was an Assistant Vice President at USAA Investments where he led the legal team that provided advice on the manufacturing and distribution of investment products, including mutual funds, ETFs, brokerage, investment advisory services, and related product lines. He is a former adjunct faculty member at St. Mary’s University School of Law where he taught a course on securities law. Prior to USAA, Mr. Hadfield served as an Associate at the Washington, DC offices of both Allen & Overy and Eversheds Sutherland. Mr. Hadfield received an LL.M. in Securities and Financial Regulation from Georgetown University Law Center, a J.D. from the University of Baltimore School of Law, and a B.A. in English from the University of Lynchburg. He is admitted to the Maryland and District of Colombia Bars.
Melissa Harke is a Senior Special Counsel in the Investment Adviser Regulation Office in the SEC’s Division of Investment Management. Since joining the SEC she has taken a leadership role in investment adviser policymaking, most recently the proposal and adoption of the new Advisers Act marketing rule. She has also been involved in the adoption and implementation of: amendments to the custody rule; investment adviser registration and reporting rules, including Form ADV; and the pay-to-play rule. Prior to joining the SEC, Ms. Harke was an Associate in the Investment Management Group of the Washington, DC office of K&L Gates. She received her undergraduate degree from Bucknell University and her law degree, with honors, from American University.
Christopher Hayes is the Chief Compliance Officer and Principal at 1919 Investment Counsel and a member of the firm’s operating committee. As Chief Compliance Officer, his primary responsibility is to oversee the firm’s compliance with the federal securities law and coordinate all interactions with regulators, most commonly the Securities and Exchange Commission. Previously, Mr. Hayes was an attorney at The Boston Company Asset Management (an equity focused boutique that was an affiliate of Mellon Bank); Senior Legal Counsel of T. Rowe Price Associates as part of the global advisory group; and held a dual position as Assistant General Counsel of Interactive Brokers and Managing Director of Greenwich Advisor Services. Mr. Hayes holds a B.S. from Salem State University and a J.D. from New England Law. He is a member of the Massachusetts Bar.
Kathy D. Ireland is a consultant specializing in ERISA and investment adviser issues, including codes of ethics and fiduciary matters. Prior to establishing her consulting practice, Ms. Ireland served as Counsel, Federal Government Affairs at Ameriprise Financial in Washington, DC. From 2011 to 2017, she represented SEC-registered investment advisers at the U.S. Department of Labor and the SEC as Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA, Ms. Ireland acted as an independent consultant focusing on ERISA and securities issues. She also worked on the legal staff at the Investment Company Institute, representing the mutual fund industry in regulatory and compliance matters, in the Division of Investment Management at the SEC, and at the law firm of Gibson, Dunn & Crutcher. She received her B.S. from Lebanon Valley College, her law degree from the College of William & Mary, and an LL.M. in Labor Law from the George Washington University National Law Center.
Michelle L. Jacko, CSCP, is the Managing Partner and CEO of Jacko Law Group, PC, which offers corporate and securities legal services to broker-dealers, investment advisers, investment companies, hedge/private funds and financial professionals. In addition, Ms. Jacko is the Founder and CEO of Core Compliance & Legal Services, Inc., a compliance consultation firm. Ms. Jacko specializes in investment adviser, broker-dealer and fund regulatory compliance matters, internal control development, regulatory examinations, transition services and operational risk management. Her consultation practice is focused on the areas of regulatory exams and formal inquiries, mergers and acquisitions, annual reviews, policies and procedures development, testing of compliance programs (including evaluation of internal controls and supervision), mock exams, senior client issues, cybersecurity, Regulation S-P and much more. Ms. Jacko received her J.D. from St. Mary’s University School of Law and B.A. from the University of San Diego. She holds NSCP’s Certified Securities Compliance Professional (CSCP) designation and is a member of the National Association of Women Lawyers.
J. Christopher Jackson is Senior Vice President and General Counsel of Calamos Investments. He has responsibility for the Legal, Compliance and Internal Audit functions of Calamos and its affiliated companies. Previously, he was Director and Head of U.S. Retail Legal for Deutsche Asset Management – Legal Division, in New York. Before that, he was Vice President and Associate General Counsel of Van Kampen American Capital, Inc. (now known as Van Kampen Investments). Mr. Jackson is a member of the bars of the states of Illinois, Florida and New York and also a member of the American Bar Association and Illinois State Bar Association. Mr. Jackson received his B.A. from Illinois Wesleyan University, his M.A. in Economics from Northern Illinois University and his J.D. from the University of Tulsa.
Brian McLaughlin Johnson is an Assistant Director in the Rulemaking Office in the SEC’s Division of Investment Management. Mr. Johnson heads the Division’s Investment Company Regulation Office, which is responsible for rulemaking activities under the Investment Company Act in the Division and provides advice on policy initiatives affecting the asset management industry. Before joining the SEC in 2010, Mr. Johnson was an associate at the Washington, DC offices of K&L Gates and WilmerHale. Mr. Johnson received his B.A. from the University of Delaware and his J.D. from the George Mason University School of Law.
Carlotta King is General Counsel and Corporate Secretary of Diamond Hill Capital Management Inc., an independent investment management firm with an intrinsic value investment philosophy. Ms. King joined Diamond Hill in September 2020, where she is responsible for Diamond Hill’s legal and corporate governance matters. Prior to Diamond Hill, Ms. King served as Associate General Counsel of Managed Funds Association, where from 2010 to 2020 she was responsible for monitoring, analyzing and commenting on U.S. and international legislative and regulatory matters affecting the alternative investment industry. From 2006 to 2010, Ms. King was previously an associate at Dechert LLP in Washington, DC, where she practiced in the firm’s Financial Services Group, representing registered and unregistered investment advisers. Prior to joining Dechert LLP, Ms. King was an associate in the Investment Management Group and the Financial Institutions Group of Davis Polk & Wardwell in New York, NY from 2003 to 2006. Ms. King received her Juris Doctor from Harvard Law School in 2003 and her Bachelor of Arts degree from Georgetown University in 2000. Ms. King is on the Board of Directors of Women in Derivatives, and a member of the New York and District of Columbia bars.
Michelle Kirschner is an English law partner in the London office of Gibson, Dunn & Crutcher. She advises a broad range of financial institutions, including investment managers, integrated investment banks, corporate finance boutiques, private fund managers and private wealth managers at the most senior level. Ms. Kirschner has a particular expertise in fintech businesses, having advised a number of fintech firms on regulatory perimeter issues. Ms. Kirschner works closely with the Corporate team on financial services capital markets and M&A deals, in particular on investments by funds into regulated firms and related prudential issues. Ms. Kirschner has extensive experience in advising clients on areas such as systems and controls, market abuse, conduct of business and regulatory change management, including MiFID II, MAR and Senior Managers & Certification Regime. Following the EU referendum, she has spent considerable time advising regulated clients in relation to their options for conducting business in/into the EU following Brexit. Ms. Kirschner has particular experience in contentious regulatory matters, including acting as a section 166 skilled person under the Financial Services and Markets Act. She has also conducted internal investigations, in particular reviews of corporate governance and systems and controls in the context of EU and UK regulatory requirements and expectations. Ms. Kirschner has been recognised by The Legal 500 UK 2021 for Regulatory Investigations and Corporate Crime.
Jennifer L. Klass serves as the Co-chair of Baker McKenzie’s Financial Regulation and Enforcement Practice in North America. Ms. Klass is an experienced investment management lawyer with particular focus on investment adviser regulation and the convergence of investment advisory and brokerage services. She regularly represents clients before the Securities and Exchange Commission, both in seeking interpretative guidance and in managing examination and enforcement matters. Ms. Klass is a leading practitioner in digital investment advice and the use of FinTech in the asset management industry. Ms. Klass provides practical advice that is informed by her experience as Vice President and Associate Counsel at Goldman, Sachs & Co., where she represented the asset management and private wealth management businesses. Ms. Klass’s practice tends to focus on the retail and wealth management businesses of investment advisers and dual registrants. Her clients include the full range of asset managers, broker-dealers, and sponsors of private investment funds, mutual funds, and exchange-traded funds.
Sanjay Lamba is Associate General Counsel at the Investment Adviser Association. Prior to joining the IAA, Mr. Lamba worked at SEC headquarters for 10 years, beginning his service in the rulemaking office of the Division of Investment Management before transferring to the Office of Chief Counsel (Legal Branch) in the Office of Compliance Inspections and Examinations in 2010. Prior to the SEC, he was in private practice advising registered investment adviser and mutual fund clients on a wide range of matters arising under the federal securities laws. He received his B.S. degree in Finance from George Mason University in 1994 and his law degree from Boston University in 1997.
Gretchen Lee is Chief Compliance Officer of Clifford Swan Investment Counselors. Immediately before joining Clifford Swan, Ms. Lee managed Crown City Compliance, a compliance consultancy firm she founded in 2009. Previously, she was Chief Compliance Officer at Gamble Jones Investment Counsel and an Investment Associate at Engemann Asset Management. Ms. Lee received her B.A. in Economics from Scripps College in 1992 and frequently volunteers for her alma mater. She particularly enjoyed helping develop curriculum for the college’s Financial Literacy Program.
Julius Leiman-Carbia is Chief Legal Officer & Chief Compliance Officer of Wealthfront Inc. and has over 30 years of experience in the securities industry. Earlier in his career, he was appointed Associate Director in the SEC’s Office of Compliance Inspections and Examinations overseeing a staff of approximately 300 lawyers, accountants and examiners responsible for the inspections of U.S. broker-dealers and combined broker-dealer/advisers. Mr. Leiman-Carbia previously worked at the SEC from 1989 to 1994 as a counsel in the SEC’s then-Division of Market Regulation, specifically in its Office of Capital Markets. Among his professional experiences outside the SEC, Mr. Leiman-Carbia served as Chief Compliance Officer and Global Head of Sanctions Compliance at MUFG/Union Bank, Chief Compliance Officer at JP Morgan Securities, Managing Director of the Capital Markets and Banking Compliance Department at Citigroup Global Markets and Head of Equities Compliance at Goldman Sachs. Mr. Leiman-Carbia is a graduate of the University of Pennsylvania Carey Law School, a member of the New York and DC bars and a Registered In-House Counsel in the State of California.
Rosa Licea-Mailloux is a Vice President and Director of Corporate Compliance at MFS Investment Management (MFS). In this role, she oversees conduct policies, privacy and records management and compliance education, innovation and monitoring. Ms. Licea‐Mailloux joined MFS in 2018. Previously, she worked at Natixis Investment Managers for over 14 years, holding several roles in the firm’s legal and compliance groups, including chief compliance officer for the Loomis Sayles Funds, Natixis Funds and Natixis ETFs and senior vice president and deputy general counsel for Natixis Investment Managers – US Distribution. She began her career in financial services in 2001 as a compliance specialist with Putnam Investments. Ms. Licea‐Mailloux earned B.A. degrees in biology and economics from Boston University and a J.D. degree from the Northeastern University School of Law. She is an adjunct professor of financial sector compliance at New England Law in Boston.
Tess Macapinlac is a Privacy Associate at OneTrust, where she provides guidance on global regulations and standards and works in platform content development. Prior to OneTrust, Ms. Macapinlac interned at the Network Advertising Initiative and the Berkman Klein Center for Internet and Society. She earned her J.D. from the George Washington University Law School. She holds CIPP/E and CIPM certifications.
Keith Marks is Executive Director at Compliance Solutions Strategies (CSS). Mr. Marks is involved in the management and distribution of CSS’s products and services. He works across CSS to find compliance and regulatory reporting solutions for investment managers. He manages CSS’s team delivering compliance services, including annual compliance program reviews, risk assessments, on-site mock examinations, registrations, outsourced services and cybersecurity services to institutional wealth managers, private fund managers, retail wealth advisers, and registered investment companies. Mr. Marks is an author, product contributor, and thought leader. His product contributions have included the design of the Form ADV Part 2 Template distributed to over 6,000 advisers in 2010-12, and his vision of compliance program management built into CSS’s Compliance Management solution. With his colleagues, Mr. Marks’s most recent significant publication is “Big Data, Using Data Analytics”, Modern Compliance vol. 2, ch. 23 (2017). Mr. Marks joined Ascendant Compliance Management in 2007, and became a part of CSS in 2016. Prior to Ascendant, he was a leading instructor for the Center for Compliance Professionals and Director of Investment Adviser Services at National Regulatory Services (NRS). Mr. Marks practiced law previously as an Associate with Day, Berry & Howard LLP (now Day Pitney LLP). He served as President of the New England Broker Dealer Investment Adviser Association (NEBDIAA) from 2012-17. Mr. Marks served as a law clerk for two years in Connecticut’s Supreme Court and Appellate Court after earning his Juris Doctor degree magna cum laude from Western New England University School of Law and his Bachelor of Arts magna cum laude from the University of Connecticut. He is a member of the State Bar of Connecticut.
Michael W. McGrath, CFA is a partner in the Boston office of K&L Gates LLP. He is a member of the firm’s Investment Management, Hedge Funds, and Alternative Investments practice group. Mr. McGrath practices in the areas of investment management, securities, and commodities law. He focuses on counseling institutional investment firms, private fund managers, and broker-dealers in connection with regulatory aspects of their U.S. and global operations. Mr. McGrath also advises clients with respect to U.S. and global regulation of swaps and other derivatives, and assists with the development of various alternative investment strategies. Prior to joining K&L Gates, Mr. McGrath was a Vice President and Senior Counsel with Allianz Global Investors. He received a law degree from Duke University and an A.B. from Stanford University.
Jennifer B. McHugh is a Senior Special Counsel in the Disclosure Review and Accounting Office of the Division of Investment Management at the U.S. Securities and Exchange Commission. She also is the Division’s delegate to the SEC’s Strategic Hub for Innovation and Financial Technology. Ms. McHugh previously served as a Senior Advisor to SEC Chair Mary Jo White from 2013-2014 and to SEC Chairman Mary L. Schapiro from 2009‑2012. Ms. McHugh held several prior positions within the SEC’s Division of Investment Management, including Acting Director (Nov. 2010 – Feb. 2011); Acting Associate Director (Sept. 2018 – Mar. 2019); Senior Advisor to the Director (2001-2009; 2012-2013; 2014-2017); Special Counsel and IARD Project Coordinator (2000-2001); and Attorney (1999-2000). Ms. McHugh received the SEC’s Distinguished Service Award in 2012 and the Excellence in Leadership Award in 2019. She also is a three-time recipient of the SEC Chairman’s Award for Excellence and in 2020 received the Chairman’s Award for Serving the Interests of Main Street Investors. Prior to joining the SEC, Ms. McHugh was an associate with Dechert (1994-1999), representing investment companies and investment advisers in the firm’s Investment Management Practice Group. Ms. McHugh received her J.D., magna cum laude, from Catholic University in Washington, DC, where she was Lead Articles Editor of the Catholic University Law Review. Ms. McHugh received her B.A., cum laude, from the University of Notre Dame in South Bend, Indiana.
A. Valerie Mirko is a Partner in Baker McKenzie’s Financial Regulation and Enforcement Practice in North America. Ms. Mirko’s practice includes a wide range of regulatory, enforcement and strategic policy matters for investment management clients. Ms. Mirko regularly advises broker-dealers and investment advisers regarding federal and state securities laws and regulations, including FINRA rules, and counsels clients during all aspects of broker-dealer and investment adviser regulatory examinations and enforcement investigations. Ms. Mirko is pragmatic, drawing from her in-house and public sector experience to assess regulatory and enforcement risk within the context of federal and state regulators’ policy goals. Ms. Mirko previously served as General Counsel of the North American Securities Administrators Association (NASAA) where she advised the NASAA Board on developments in the federal securities laws and their impact on state securities regulation, contributed to federal-state regulatory coordination and collaborated on regulatory initiatives relating to data privacy, Fintech and Regtech. Earlier in her career, Ms. Mirko held legal and compliance roles at BofA Merrill Lynch and Oppenheimer and Co., Inc. and was an associate at a Washington, DC law firm. She is a graduate of Wellesley College and George Washington University Law School.
Craig Moreshead is Managing Director at Foreside Financial Group, LLC. Mr. Moreshead oversees Foreside’s investment adviser compliance services team which provides strategic and regulatory guidance to investment advisers under the Investment Advisers Act of 1940 and state securities laws. Prior to joining Foreside, he served as in-house counsel for a large financial services company and has more than 25 years of experience providing regulatory compliance services to private fund managers, registered investment companies, and retail investment advisors. Mr. Moreshead received his B.A. from Hofstra University and his J.D. from Capital University Law School.
Michael Muirhead, Jr. is senior director, learning and development for Fi360, a Broadridge Company. In this role, he is responsible for leading the strategy, design, development and delivery of Fi360’s designation and training solutions. Mr. Muirhead approaches learning and development from the perspective of an industry professional who has successfully worked with plan sponsors, financial advisors, consultants and plan providers for more than 20 years. Before joining Fi360, he was a financial advisor and large market institutional sales manager for Merrill Lynch, where he gained a wealth of experience in consulting, sales, marketing and relationship management. Mr. Muirhead received a B.S. in business administration with a concentration in Finance from the Wayne State University. He also holds the Accredited Investment Fiduciary® (AIF) and Professional Plan Consultant® (PPC) designations.
Sean Murphy is a Vice President in the Legal and Compliance Department at EIG Global Energy Partners, a Washington, DC-based private equity and private credit firm that specializes in energy and infrastructure investments. Prior to joining EIG in 2019, Mr. Murphy was a Vice President and Counsel at BlackRock where he advised various business groups on commercial, regulatory, compliance and transactional matters. Prior to his time at BlackRock, Mr. Murphy was an associate in the Financial Services Group at Dechert LLP where his practice focused on providing counsel to managers of registered and unregistered investment companies. Mr. Murphy received a B.S. in Government from the College of William and Mary and a J.D. from Georgetown University Law Center.
Kirk Nahra is a partner with WilmerHale in Washington, DC, where he specializes in privacy and information security litigation and counseling, along with a variety of health care and compliance issues. He is co-chair of the firm’s Cybersecurity and Privacy Practice and Co-Chair of the Big Data Practice. He assists companies in a wide range of industries in analyzing and implementing the requirements of privacy and security laws across the country and internationally. He provides advice on data breaches, enforcement actions, contract negotiations, business strategy, research and de-identification issues and privacy, data security and cybersecurity compliance. He advises companies in virtually all industries, ranging from Fortune 500 companies to start-ups. He teaches privacy and data security issues at several law schools, including serving as an adjunct professor at the Washington College of Law at American University and at Case Western Reserve University. In addition, he currently serves as a fellow with the Cordell Institute for Policy in Medicine & Law at Washington University in St. Louis and as a fellow with the Institute for Critical Infrastructure Technology. Mr. Nahra received his law degree from Harvard Law School and his undergraduate degree from Georgetown University.
Hope Newsome is Co-Founder and Managing Partner at Virtus LLP. Ms. Newsome has served in several capacities within the financial services industry since 1999, including as general counsel and chief compliance officer of registered investment advisers, broker-dealers and public and private funds. Prior to founding Virtus LLP, she served as general counsel and chief compliance officer at a Winter Park, FL based private equity and asset management firm. She serves on the boards of the United Way of Central Florida, the Black Chamber of Commerce Central Florida and ATHENA Orlando Women’s Leadership. She is a member of the Florida Bar and serves on its Professional Ethics Committee.
Naseem Nixon is Vice President and Associate Counsel at Capital Group, where she has responsibilities within the firm’s regulatory policy, retail and institutional client services, and fund governance efforts. Prior to joining Capital Group, Ms. Nixon served in the Division of Investment Management for several years, most recently as Senior Policy Advisor to the Director. She also practiced as an associate with Eversheds Sutherland in Washington, D.C. Ms. Nixon received her J.D. from Brigham Young University J. Reuben Clark Law School and her bachelor’s degree in Public Policy Studies from Duke University.
Kimberly H. Novotny is senior associate general counsel with Franklin Templeton. She serves as Corporate Secretary of Fiduciary Trust Company International, a New York state chartered trust company, and Vice President and Assistant Corporate Secretary of Fiduciary Trust International of the South, a Florida chartered trust company. In addition, she serves as Vice President and Assistant Secretary of Templeton Investment Counsel, LLC, a U.S. registered investment adviser, and Assistant Secretary of Franklin Resources, Inc. She handles legal matters relating to the firm’s collective investment trusts, high net worth business, U.S. retirement business and the Franklin Templeton 401(k) plan. From 2006 to 2019, Ms. Novotny provided legal support for the Templeton mutual funds and institutional separate accounts as well as Fiduciary Trust’s collective investment trusts, served as Corporate Secretary of Fiduciary Trust International of the South and oversaw Franklin Templeton’s proxy voting team. She served as Vice President and Assistant Secretary to all of the Franklin, Templeton and Franklin Mutual Series U.S. registered investment companies from 2013 to 2020. Ms. Novotny has 22 years of experience working as an attorney in the investment management industry. Prior to joining Franklin Templeton in 2006, Ms. Novotny was a partner in the investment management practice of Bell, Boyd & Lloyd in Chicago, Illinois. Ms. Novotny received a J.D., with honor, from DePaul University College of Law and a B.M., summa cum laude, from DePauw University. She is a member of the Florida and Illinois State Bars.
Eric C. Oppenheim is General Counsel and Chief Compliance Officer of Telemus Capital, LLC. He is responsible for all legal and regulatory compliance and administrative matters for the firm’s investment management, wealth advisory, family office services and insurance businesses. He is also a director of Mi Bank and chair of its Audit Committee. Prior to joining Telemus Capital, Mr. Oppenheim was with TIAA-CREF where he headed the Asset Management and Trust Compliance Group and was later appointed Acting Chief Compliance Officer of TIAA-CREF’s mutual fund complex. Previously, he was with Comerica Incorporated, a major regional financial services company. Mr. Oppenheim is a member of the State Bar of Michigan and the Bar of the U.S. Supreme Court. He received a B.A. degree in Political Science from the University of Michigan and a J.D. degree from Wayne State University Law School.
C. Dabney O’Riordan has been Co-Chief of the SEC Enforcement Division’s Asset Management Unit since June 2016. The AMU is a national specialized unit that focuses on misconduct by investment advisers, investment companies, and private funds. Ms. O’Riordan joined the SEC in 2005, and has served in multiple roles including Senior Counsel, Counsel to the Director and Assistant Director. Before joining the SEC, Ms. O’Riordan served as a law clerk to Judge David R. Thompson of the U.S. Court of Appeals for the Ninth Circuit and worked in private practice in Los Angeles, California at the law firm Munger, Tolles & Olson LLP. Ms. O’Riordan received her undergraduate degree from Wellesley College, where she majored in environmental sciences, and her J.D. from the University of California, Los Angeles.
Alpa Patel is a partner in the Investment Funds Group of Kirkland & Ellis LLP. Prior to joining Kirkland, she served as Branch Chief of the Private Funds Branch of the Investment Adviser Regulation Office in the SEC’s Division of Investment Management. In this role, Ms. Patel was the key adviser on all private fund-related projects and priorities. For example, she was the lead counsel implementing private fund adviser reporting on Form PF and the rules related to private fund adviser registration. She also advised the Division of Corporation Finance on regulations related to the offering requirements of private funds, including general solicitation and bad actor rules. Ms. Patel also routinely advised the agency’s Office of Compliance Inspection and Examinations (OCIE) regarding the application of Advisers Act rules and other Federal securities regulations to investment advisers, particularly with respect to the nuances associated with private fund advisers. Prior to joining the SEC, Ms. Patel was in private practice where she advised clients on the structuring, formation, and private offering requirements of onshore and offshore private funds, as well as provided counsel to investment advisers in regulatory, compliance, and corporate matters.
Linda Paullin-Hebden, an executive partner at Warner Norcross & Judd LLP, has spent over 30 years representing investment advisers both as compliance counsel and in assisting advisers in mergers and acquisitions. Ms. Paullin-Hebden helps advisers achieve their business goals while remaining compliant with applicable rules and regulations. Ms. Paullin-Hebden frequently represents clients in connection with SEC and state regulatory matters and also negotiates and drafts contracts for investment adviser/vendor relationships. Ms. Paullin-Hebden hosts quarterly chief compliance officer roundtables to help CCOs better understand the law as it pertains to their business and compliance program. Ms. Paullin-Hebden received a B.A. in political science and business administration from Alma College and a juris doctor from Wayne State University, cum laude.
Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018. Prior to joining the SEC, Commissioner Peirce conducted research on the regulation of financial markets at the Mercatus Center at George Mason University. She was a Senior Counsel on the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where she advised Ranking Member Richard Shelby and other members of the Committee on securities issues. Commissioner Peirce served as counsel to SEC Commissioner Paul S. Atkins. She also worked as a Staff Attorney in the SEC’s Division of Investment Management. Commissioner Peirce was an associate at Wilmer, Cutler & Pickering (now WilmerHale) and clerked for Judge Roger Andewelt on the Court of Federal Claims. Commissioner Peirce earned her bachelor’s degree in Economics from Case Western Reserve University and her JD from Yale Law School.
Pamela F. Pendrell, IACCP®, is a partner and the Chief Compliance Officer of GlobeFlex Capital. She joined GlobeFlex in 2004 and became the Chief Compliance Officer in 2013, leading the firm’s compliance effort. Prior to her role as CCO, Ms. Pendrell performed marketing and client service roles at GlobeFlex, including the oversight of performance and compliance reporting. Prior to GlobeFlex, Ms. Pendrell worked at Pacific Corporate Group in a marketing capacity. Her industry experience began with AllianceBernstein in New York supporting their client service and marketing efforts. Ms. Pendrell earned her B.A. at Colgate University, where she graduated magna cum laude with high honors in History. She obtained the IACCP® designation in 2015.
Steve Perazzoli is a Partner in PwC’s Asset & Wealth Management Group and has over 20 years of diverse experiences servicing a global and multi-disciplinary client base across the financial services industry. He has experience providing audit and advisory services to clients in the asset management industry and trustees for employee benefit and welfare plans. Mr. Perazzoli is focused on relevance as a business advisor in a rapidly changing global business and regulatory landscape and has a demonstrated track record in delivering value while managing relationships. He is a recognized resource on fair valuation topics and is a leading specialist on investment performance reporting.
Mark D. Perlow is a partner in the San Francisco office of Dechert LLP. He represents mutual funds, hedge fund managers, fund independent directors, investment advisers and broker-dealers on a broad range of regulatory and transactional matters. He is also an adjunct lecturer at the University of California, Berkeley Law School where he teaches a course on capital markets and financial regulation. Having served as senior counsel in both the SEC’s Office of the General Counsel and the Division of Enforcement, Mr. Perlow has considerable experience with SEC rule-making, submissions, enforcement, examinations and compliance activity. Mr. Perlow received a J.D. from Yale Law School, an M.A. from Oxford University and an A.B. from the University of California, Berkeley. He is a member of the California and District of Columbia Bars.
Mari-Anne Pisarri is a partner with Pickard Djinis & Pisarri LLP. She specializes in regulatory issues pertaining to investment advisers (including asset managers, research services and proxy advisory firms), NRSROs (registered credit rating agencies) and service providers to the securities industry. In this regard, she advises clients on federal and state securities laws and rules, and related ERISA matters; processes registrations for financial market participants; designs compliance programs and assists with both internal compliance reviews and SEC compliance examinations; advances clients’ interests before regulatory and policy making bodies; and represents regulated entities in disciplinary proceedings. In addition, she speaks and writes extensively on securities regulatory issues. Ms. Pisarri received her B.A., summa cum laude, from St. Lawrence University, and her J.D., magna cum laude, from Cornell University.
Janice Powell, MBA, IACCP®, serves as a Senior Compliance Consultant at Core Compliance & Legal Services, Inc. With over 19 years of industry experience, Ms. Powell focuses on developing, implementing and maintaining a risk-based compliance program, including risk assessments, conflicts of interest inventories, and development of policies and procedures, supervisory structures and controls. Her experience in a multitude of business models from hybrid advisers, multi-family offices, dual registrants, bank-owned advisers and broker-dealers, advisers to mutual funds, trust companies and independent advisers provides for a broad knowledge of the Investment Advisers Act, Investment Company Act, Securities Exchange Act of 1934, Securities Act of 1933, ERISA, Non-Deposit Investment Products, alternative investments, and private funds. Prior to joining Core Compliance, Ms. Powell was the Deputy Director, RIA Supervision for Securities America, Inc. Ms. Powell has experience as a Chief Compliance Officer at numerous firms, including PagnatoKarp Partners, The Index Group, Convergent Wealth Advisors, BOK Financial, Zions Bancorporation, as well as operational experience at Fidelity Investments and Lincoln Financial Advisors. She earned a B.A. and M.B.A. from the University of Phoenix and FINRA Series 7, 63, and 65 licenses.
Lori Renzulli is Chief Compliance Officer, Counsel, and a Partner of Harding Loevner LP, a global asset manager based in Bridgewater, New Jersey. Her responsibilities include overseeing the day-to-day management of the firm’s compliance program. Prior to joining Harding Loevner in 2006, Ms. Renzulli spent 17 years with subsidiaries of MetLife and Citigroup in various compliance and legal roles. She has also been a speaker at the SEC’s National CCOutreach conference and several IAA Compliance Conferences. Ms. Renzulli has a J.D. from Seton Hall University School of Law and a B.A. in Psychology from Douglass College, Rutgers University.
Sarah Ronnenberg has spent over 20 years in the financial services industry with her most recent positions comprising of senior compliance roles. She joined Horizon Investments, LLC in 2017 as its Compliance Director and supports the oversight and administration of its compliance program. Prior to Horizon, Ms. Ronnenberg was a Compliance Officer on TIAA’s Operations and Plan Compliance team, focusing on transaction compliance and vendor oversight, and served as the CCO for Piedmont Investment Advisers. Previous experiences span both the sell-side and the buy-side and include working on UBS’ institutional ADR sales desk, working for Bear Stearns’ equity research department, and working at Vardon Capital Management, a hedge fund registered with the SEC, where she held a number of responsibilities that supported the CCO in administering the firm’s compliance program. Ms. Ronnenberg has attained her IACCP designation and attended Vanderbilt University, graduating summa cum laude with a B.A. in English and French. She holds an M.A. in Anglo-American Literary Relations from the University College London.
Igor Rozenblit is the Co-Head of the SEC’s Private Funds Unit. The Private Funds Unit is part of the Division of Examinations and is responsible for developing expertise in and conducting examinations of advisers to private funds. Before joining the Private Funds Unit, Mr. Rozenblit was a private funds expert in the Division of Enforcement’s Asset Management Unit. Prior to joining the SEC, Mr. Rozenblit managed the North American funds portfolio for a large European asset manager and worked at several private equity advisers. Mr. Rozenblit received his M.B.A. from the University of Chicago’s Booth School of Business and a Bachelor of Science degree from the University of Michigan.
Alex Russell is the Managing Director of White Collar, Regulatory and Internal Investigations for Bates Group, where he is responsible for managing cases related to institutional disputes involving trust or banking entities, or cases related to investment banking or sales & trading, as well as those involving ultra-high net worth individuals. In addition, Mr. Russell is responsible for managing matters involving the assessment of economic damages. Mr. Russell also serves as the co-leader of Bates Group’s Big Data Analytics segment, with a particular focus on the use of data analytics in market manipulation or fraud cases. Mr. Russell provides expert witness testimony related to valuation, economic damages, quantitative financial modeling, trading systems, and derivative strategies and products within both the retail and institutional securities litigation practice areas. He is an adjunct professor of finance at both Linfield College and in the Graduate School of Management at Willamette University. Mr. Russell was previously the head of Bates Group’s Research division. Before joining Bates Group, Mr. Russell was a Consultant with LECG. Prior to LECG, Mr. Russell was an auditor with the Oregon Department of Revenue. He has previously worked as a research analyst for Merrill Lynch and as an analytic consultant to Willamette University’s endowment.
Melissa Schiffman is a Compliance Manager and Vice President at J.P. Morgan Asset Management. In her role, she leads Compliance coverage for the managed account and advisory and core beta solutions businesses in the U.S. Prior to joining J.P. Morgan, Ms. Schiffman was a manager at Eagle Strategies LLC, a registered investment adviser of New York Life Insurance Company, where she had responsibility for investment adviser policies, Form ADV disclosures, the Code of Ethics and personal trading program, compliance training, as well as certain advisory account, best execution and social media surveillance activities. Ms. Schiffman received her B.S. summa cum laude from the Macaulay Honors College at Brooklyn College, CUNY, and holds a FINRA Series 7 license.
Alexander Schiller is the Assistant Director of the Office of Asset Management, Division of Economic and Risk Analysis, at the Securities and Exchange Commission (SEC). The office provides economic and other interdisciplinary analysis in support of the Commission on issues related to the regulation of investment advisers, investment companies, hedge funds and other institutional investors. The office will also analyze proposals for new financial products, particularly involving exchange traded funds. Dr. Schiller received his PhD in financial economics from Carnegie Mellon University.
Linda Shirkey is a Managing Director of the Bates Compliance team based in Houston, TX. As President and founder of The Advisor’s Resource, Inc., she has provided compliance expertise to Registered Investment Advisers for over 20 years. A former institutional stock broker covering money managers and major corporations, Ms. Shirkey was with Charles Schwab & Co., Inc., for 10 years. Prior to her position with Charles Schwab, Ms. Shirkey worked in banking and legal services in product development, marketing and corporate finance. A magna cum laude graduate of Case Western Reserve University in Cleveland, Ohio, Ms. Shirkey is a former Board member of the National Society of Compliance Professionals (“NSCP”) and currently serves on their Strategic Planning Committee. She also holds a leadership role with the Houston Compliance Roundtable and is a member of the DFW Compliance Roundtable. She is often invited to speak as an expert in applying current compliance requirements effectively and efficiently, and she has led workshops and seminars for the NSCP Regional and National Meetings, IA Watch, and the Investment Adviser Association.
Joelle A. Simms, a Principal at Bressler, Amery & Ross, is located in the firm’s Dallas, Texas and Fort Lauderdale, Florida offices. Her practice is focused on the representation of investment professionals and financial institutions in state and federal courts and in arbitration proceedings throughout the United States, including expungement actions. Ms. Simms also represents business owners in employment, commercial, and tort matters. In addition, Ms. Simms co-manages the firm’s Senior and Vulnerable Investor Group and advises, trains, and defends corporate clients who confront issues in this space.
Neil A. Simon is Vice President for Government Relations for the Investment Adviser Association. He has a leading role in the formulation and communication of IAA’s views on legislative and regulatory issues important to the investment advisory profession and is responsible for advocacy before the U.S. Congress. Before joining the IAA, he was Director of Government Relations for the Financial Planning Association. From 1998 to 2003, he served as executive director of the National Franchise Council where he led an innovative public-private compliance partnership between national franchisors and U.S. Federal Trade Commission. Prior to that, he was counsel in the law firm of Hogan & Hartson LLP (now known as Hogan Lovells). Mr. Simon received his B.A. magna cum laude in government and international relations from Clark University. He received his J.D. from Georgetown University, and is a member of Phi Beta Kappa.
Kristin A. Snyder is the Deputy Director and Co-National Associate Director of the Investment Adviser/Investment Company examination program in the SEC’s Division of Examinations. In addition, Ms. Snyder serves as the Associate Regional Director for Examinations in the SEC’s San Francisco Regional Office, where she leads a staff of approximately 50 accountants, examiners, attorneys, and support staff responsible for the examination of broker-dealers, investment companies, investment advisers, and transfer agents across Northern California and the Pacific Northwest. Ms. Snyder has worked at the SEC for more than 13 years, and previously served as a Branch Chief and a Senior Counsel in the San Francisco office’s enforcement program. Prior to joining the SEC staff, Ms. Snyder practiced with Sidley Austin Brown & Wood LLP in San Francisco. She earned her law degree from the University of California Hastings College of the Law and received her bachelor’s degree from the University of California at Davis.
Tracy Soehle joined Affiliated Managers Group, Inc. in 2007 and currently serves as Senior Vice President and Senior Counsel. She is responsible for overseeing AMG’s regulatory affairs and legal and compliance support of the company’s global operations and its Affiliates. Prior to joining AMG, Ms. Soehle was a senior compliance manager at State Street Global Advisors, and was previously regulatory compliance manager at Wellington Management Company LLP, and an attorney at the law firm Dechert LLP. Ms. Soehle received a B.S. from Boston College and a J.D. from Tulane University Law School.
Steven W. Stone is a partner at Morgan Lewis. Mr. Stone counsels most of the largest and most prominent U.S. broker-dealers, investment banks, investment advisers, and mutual fund organizations on investment management issues, including conflicts, trading, disclosure, advertising, distribution, and other ongoing regulatory compliance matters. He regularly represents clients before the U.S. Securities and Exchange Commission (SEC), both in seeking regulatory relief and assisting clients in enforcement or examination matters. Mr. Stone advises major U.S. broker-dealers in the private wealth and private client businesses that offer investment advice and brokerage services to high-net-worth clients as well as broker-dealers serving self-directing clients. He also works as counsel on various matters to the Securities Industry and Financial Markets Association’s (SIFMA) private client committee and represents most of the best-known U.S. broker-dealers in this area. He also advises broker-dealers and investment advisers in the managed account or wrap fee area, and serves as counsel to the Money Management Institute. He also guides clients through SEC, Financial Industry Regulatory Authority (FINRA), and state investigations and enforcement actions.
Alexandria Stuart is Vice President, Head of Compliance & Senior Counsel, Private Equity at Vista Equity Partners. Ms. Stuart is responsible for compliance and regulatory matters for Vista’s private equity strategy and Vista’s consulting firm, Vista Consulting Group. Prior to joining Vista, Ms. Stuart was an associate in the litigation group of Ropes & Gray in its New York and San Francisco offices. While at Ropes & Gray, Ms. Stuart’s practice focused on representing clients in government investigations and enforcement actions. Prior to joining Ropes & Gray, Ms. Stuart served as an Assistant Attorney General in the Charities Bureau of the New York State Office of the Attorney General where she investigated and prosecuted fraud and abuse involving not-for-profit corporations. Ms. Stuart received a B.S. in Mass Communication from Boston University and her J.D. from The George Washington University Law School. Ms. Stuart is a member of the State Bars of New York and California.
Sarah G. ten Siethoff is the Acting Director of the SEC’s Division of Investment Management and Associate Director for the Rulemaking Office. She leads the development of policy and rulemaking relating to investment advisers and investment companies. Prior to joining the SEC, Ms. ten Siethoff was an associate with Cleary Gottlieb Steen & Hamilton LLP in their New York and Washington, DC offices. Ms. ten Siethoff received her J.D. from Yale Law School, her M.A. in International Relations from Yale University, and her B.A. from the University of Virginia.
John E. (“Jack”) Thomas, Jr. is a Senior Vice President and Audit Director with PNC. He currently has responsibility for coordinating the audit coverage of the Asset Management Group. Mr. Thomas received his B.A. in Accounting from Grove City College and has over 30 years of experience in the investment management industry. Mr. Thomas held various Audit, Risk and Compliance roles in the legacy companies of BNY Mellon, including Chief Risk & Compliance Officer of Mellon Institutional Asset Management. He also served as an Audit Manager with the financial services practice of Ernst & Young LLP. Mr. Thomas is actively involved in the Investment Adviser Association as chair of the Audit Directors Working Group and as a member of the Legal & Regulatory Committee. Mr. Thomas is a Certified Public Accountant and holds several professional designations, including Certified Financial Services Auditor, Certified Internal Auditor, Certified Trust Auditor and Chartered Global Management Accountant. He maintains membership in the American Institute of Certified Public Accountants, Fiduciary & Investment Risk Management Association, Institute of Internal Auditors and Pennsylvania Institute of Certified Public Accountants.
Neshie Tiwari is the former Chief Compliance Officer & Compliance Counsel at Ellevest, Inc., a digital investment platform, private wealth management and financial planning service provider, co-founded by Sallie Krawcheck, dedicated to helping women invest to close the gender investing gap. Ms. Tiwari has over 20 years of experience which includes previously serving as VP Compliance & Chief Compliance Officer at BNY Mellon, Chief Compliance Officer at Financial Engines, and Counsel with Charles Schwab. Ms. Tiwari holds a J.D. from New York Law School and B.A. from the University of Florida. She is a member of the California Bar and NY State Registered in House Counsel.
Bob Toner is Chief Legal Counsel of William Blair’s Investment Management division. He has over 20 years of legal experience in the investment management industry. Prior to joining the firm in 2015, Mr. Toner was a Managing Director and Counsel at Wellington Management & Company LLP for nearly eleven years. At Wellington, he provided legal and regulatory guidance on investment adviser, investment company and broker-dealer matters. Before his time with Wellington, Mr. Toner spent five years at Eaton Vance Management where he provided legal and regulatory guidance on investment adviser, investment company and broker-dealer matters. He also served as sole counsel for the firm’s international funds, collateralized debt and charitable giving products. Earlier in his career, Mr. Toner worked at Putnam Investments and the law firm of Goodwin Procter each for two years. At those firms, he advised clients on a broad range of mutual fund and other legal and regulatory matters.
Tim Villano, CISA, CISM, CGEIT, CRISC, is Chief Information Officer at Artemis Global Security, LLC. He is a technology expert dating back to the early 1980s utilizing DEC systems and VAX/VMS operating systems. Mr. Villano has managed IT security for several businesses, conducting security risk assessment engagements based upon well-defined and accepted COBIT5® standards. He works on custom and NIST Cybersecurity Framework implementations at private and public critical infrastructure providers. He is a co-founder of Havoc Defense, LLC, a Managed Security Service Provider (MSSP) where he assists with network infrastructure and cybersecurity. Mr. Villano also has a background in analysis of equity, commodity and currency markets and has been published in several industry periodicals, including Barron’s. He has conducted risk analysis and served as portfolio manager for hedge funds and private clients. Mr. Villano’s industry and personal experience serves as a bridge to IT security and regulatory issues for critical infrastructure firms. He has a B.A. in English from Yale University and a M.F.A. from Columbia University.
Kurt Wachholz has been in the financial services industry for almost three decades. As an executive consultant, Mr. Wachholz counsels firms on code of ethics and compliance program administration. As director of education, Mr. Wachholz oversees the design and operation of two compliance professional development programs: the Investment Adviser Core Compliance certificate program and the Investment Adviser Certified Compliance Professional® designation. Both professional development programs are co-sponsored with the Investment Adviser Association. Mr. Wachholz has served on several industry organizations, including the National Society of Compliance Professionals, in various capacities through the years. He has developed and taught “Ethics in Leadership”, an MBA program module for the Goizueta Business School at Emory University. He has developed and taught “Regulatory Jeopardy”, an elective course for the Securities Industry Institute® in partnership with SIFMA and the Wharton School at the University of Pennsylvania. He is a contributing author and member of the editorial board for Modern Compliance: Best Practices in Securities and Finance and an editorial board member for the Journal of Financial Compliance. Mr. Wachholz earned his BA from the University of Wisconsin and his Investment Adviser Certified Compliance Professional designation from the Center for Compliance Professionals. Mr. Wachholz has also been a CTO, COO, CCO, OSJ/registered principal, investment adviser representative, and licensed insurance agent.
Gwendolyn A. Williamson, a partner at Perkins Coie LLP, represents registered investment companies and business development companies and their independent directors, as well as investment advisers, family offices and nonprofit organizations. She advises clients on governance and compliance responsibilities under the federal securities laws, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Ms. Williamson’s 15 years of experience in the asset management industry includes work with: registered fund launches and liquidations; fund and adviser compliance and vendor oversight programs; SEC registrations, examinations and investigations; annual compliance and risk assessments; routine and special shareholder disclosures; conflict of interest issues; cybersecurity oversight and monitoring; annual fund contract renewals and independence evaluations; large-scale fund and adviser changes in control; applications for exemptive relief; reporting under the federal securities laws; and negotiating advisory agreements, fund selling and servicing agreements, credit facilities, securities lending arrangements and other contracts germane to the asset management industry. An active speaker and writer, Ms. Williamson serves on the Editorial Board of The Investment Lawyer.
David Wong is the Chief Financial Officer and Chief Compliance Officer of Private Wealth Partners with responsibility for all the financial and operational affairs of the firm. Prior to joining Private Wealth Partners, Mr. Wong was the Corporate Controller at H&Q Asia Pacific, a private equity firm based in Palo Alto, CA. He is a UK Chartered Accountant and started his professional career with Ernst & Young in London, UK followed by PricewaterhouseCoopers in Hong Kong. In 1983 Mr. Wong left the accounting profession and helped start Global Asset Management (GAM) in Hong Kong, a private client money manager as their Finance Director. Since then he has held senior executive positions in finance and operations with a number of international money management firms such as Royal Trust of Canada, Credit Lyonnais and Nicholas Applegate over a 20 year period. In other work, Mr. Wong has served as an independent director of a NASDAQ quoted company and taught accounting to MBA students at HULT University in San Francisco. Mr. Wong holds a B.A. in Economics and Geography from the University of Leeds in England.
Daniel Worthington is an attorney in the T. Rowe Price Global Advisory Group. In this role, he supports T. Rowe Price’s EMEA, Canada and Latin America business in all aspects of financial services and securities law. Mr. Worthington joined T. Rowe Price in 2016 and prior to that worked in private practice at Maples and Calder and DLA Piper UK LLP. Before qualifying as an English solicitor Mr. Worthington qualified as a barrister and was admitted to Middle Temple in 2013. He earned the LL.B from Lancaster University, the Bar Professional Training Course from Manchester Metropolitan University and Legal Practice Course from BPP, London.
Rana J. Wright serves a Partner, Chief Administrative Officer, and General Counsel of Harris Associates, where she is responsible for managing the legal, compliance, human resources, risk and regulatory functions of Harris Associates globally. She is also the Principal Executive Officer and President of the Oakmark Funds. Prior to Harris, Ms. Wright served as associate general counsel and managing director at Bank of America, where she was the chief legal officer for BofA Global Capital Management, the asset management affiliate of Bank of America and chief counsel overseeing Merrill Lynch’s distribution of registered investment products. Ms. Wright led the team that was responsible for providing counsel, both strategic and legal, to business partners in the product, sales and marketing functions. She began her career at the global law firm Reed Smith LLP, where she represented mutual funds, broker-dealers and investment advisors, counseling them on a panoply of regulatory, strategic and transactional issues. While at Reed Smith, Ms. Wright was the vice-chair of the firm’s Global Diversity and Inclusion initiative. She earned a B.A. from the University of Pittsburgh and a J.D. from Duquesne University School of Law.