Anil Abraham is Associate General Counsel and Managing Director – Legal at Focus Financial Partners. He has more than 12 years of experience as a senior attorney at the SEC, including as direct counsel to SEC Chairmen and Commissioners, and in the Enforcement and Investment Management Divisions. He previously served as counsel to an Acting Chairman of the CFTC, as a financial advisor with Raymond James & Associates, at the law firm of Sidley & Austin, and as a law clerk to Judge Jerry E. Smith on the U.S. Court of Appeals for the Fifth Circuit. He 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 involving investment advisers, investment companies, and private funds. Aderton joined the SEC as an Enforcement staff attorney in 2008 and became an Assistant Director in 2013. Before joining the SEC, he 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. He 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 more than 20 years of in-house and AmLaw experience, Aspinall is an authority on regulatory compliance matters involving SEC, DOL, CFTC, and NFA regulations. Prior to joining Practus, 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.
Pete Baldwin is a Partner at Faegre Drinker. He draws on his experience as a former federal prosecutor to counsel clients facing data privacy and cybersecurity issues and government investigations. Baldwin offers valuable insight before, during, and after cybersecurity incidents, and he assists clients in the areas of forensic analysis, breach remediation, victim notification, and responding to inquiries by regulators and law enforcement agencies. He also helps clients to determine whether and when it is appropriate to contact law enforcement and regulatory authorities, and he has helped clients develop valuable relationships and contacts with government agencies. Baldwin also advises businesses, executives, and boards on responding to other types of government inquiries and investigations.
Donna Barnes is a Senior Vice President at Oaktree, where she is responsible for the design and oversight of compliance policies including marketing communications and anti-money laundering programs. In addition, she is Supervising Principal and Chief Compliance Officer of OCM Investments LLC, Oaktree’s subsidiary broker-dealer. Prior to joining Oaktree in 2011, she spent over ten years at PIMCO, most recently as a Vice President and Compliance Manager. Barnes holds a bachelor’s degree in business administration cum laude from the Graziadio School of Business and Management at Pepperdine University.
Karen L. Barr became President & CEO of the IAA in 2014, after serving as the IAA’s General Counsel for 17 years. Under her leadership, the Investment Adviser Association has grown in both size and scope, enhancing the range of services, educational opportunities and peer-to-peer involvement for fiduciary investment advisers. Prior to joining the IAA, Barr was in private practice at Wilmer, Cutler & Pickering (now WilmerHale), where she represented clients in securities regulatory matters. 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.
Daniel Bernstein is Chief Regulatory Counsel at MarketCounsel, where he is responsible for thought leadership, content development, and management of a team of regulatory professionals. He is also an attorney with the Hamburger Law Firm. Bernstein has significant experience in providing a broad range of legal services to individuals, startup and emerging companies, financial technology firms, enterprises, and institutions in the securities industry. He is a member of the New Jersey and New York bars, as well as the U.S. District Court for the District of New Jersey. He earned his undergraduate degree in finance from the University of Connecticut and his J.D. from Rutgers School of Law.
Gail C. Bernstein is General Counsel of the IAA. She joined the IAA from the law firm of WilmerHale in Washington, DC, where she had been a Special Counsel in the Securities Department. While in private practice, Bernstein counseled clients on all aspects of financial and securities regulation. Bernstein earned her B.A. from the Hebrew University of Jerusalem and her law degree from Harvard Law School in 1988. After law school, 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.
William Birdthistle is the Director of the SEC Division of Investment Management, where he leads the development of policy relating to investment advisers and investment companies. Before joining the SEC, Birdthistle was a professor at Chicago-Kent College of Law and, prior to that, an attorney at Ropes & Gray in Boston. He received his J.D. from Harvard Law School, his M.A. in History from the University of Chicago, and his B.A. from Duke University.
Monique S. Botkin is Associate General Counsel of the IAA. Prior to joining the IAA in 2004, she 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, Botkin represented investment advisers, registered investment companies, private funds, and broker-dealers in corporate, securities and investment management matters. 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.
Nevis Bregasi is Senior Vice President and Associate General Counsel at MFS Investment Management, where she leads the Investment Support and Distribution Group. She joined MFS in September 2007 after working in the Bankruptcy and Commercial Law Department at WilmerHale’s Boston office and in the International Markets and Bankruptcy Departments at Allen & Overy’s New York office. She received her J.D. from Harvard Law School.
Colleen Theresa Brown is a Partner at Sidley Austin LLP, where she focuses on privacy, cybersecurity, data protection, and emerging technology issues for a diverse group of companies, including those in the financial, life sciences, telecommunications, media, retail, technology, and manufacturing sectors. Her experience includes cyber risk and data breach management, corporate data protection and privacy compliance, international data protection and cross-border transfer, Big Data, Internet of Things, electronic surveillance, trade secrets, social media, cloud computing, and online brand protection. In addition to counseling and litigation related to data protection, her work also includes counseling and negotiation of data-driven agreements, privacy and cybersecurity diligence, and integration planning for mergers and acquisitions.
Maria Chambers, IACCP®, is Chief Compliance Officer and Vice President of Klingenstein Fields Advisors. Chambers began her career in the Corporate Legal Department at Cravath, Swaine & Moore where she supported the Corporate Finance, Mergers and Acquisitions and International Groups. She then joined Morgan Stanley Investment Management Inc., where her responsibilities included overseeing the compliance program for the firm’s ultra high-net-worth custom separately managed account and wrap account platforms. Most recently, she was a Vice President and Senior Compliance Officer at Guggenheim Partners Investment Management Inc. She graduated cum laude from Fordham University with a B.A. in Economics, a minor in Philosophy, and a Certificate in Business Administration.
Caroline A. Crenshaw was unanimously confirmed by the U.S. Senate and sworn into office as Commissioner of the SEC in 2020, bringing with her a range of securities law and policy experience and a commitment to public service. She has served as Counsel to Commissioners Kara Stein and Robert Jackson, and previously as a staff attorney in the Division of Examinations and the Division of Investment Management. Commissioner Crenshaw currently serves as a captain in the U.S. Army Reserve, Judge Advocate General’s Corps. Prior to government service, Commissioner Crenshaw practiced law at Sutherland, Asbill and Brennan LLP. She graduated cum laude from Harvard College and received a law degree magna cum laude from the University of Minnesota.
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, 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.
Carlo di Florio is the Global Chief Services Officer of ACA Group, where he 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. Previously, di Florio worked for more than 25 years in executive leadership roles at PricewaterhouseCoopers (PwC), the SEC Office of Compliance Inspections and Examinations, and FINRA. He also serves as Co-President and Governor of the Risk Management Association NY Chapter and as Adjunct Professor at Columbia University’s Master of Science program in Enterprise Risk Management.
Mark J. Dowdell is Assistant Regional Director of the SEC’s Philadelphia Regional Office within the Examination Program and serves as Co-Chair of the Marketing Sales Practices Working Group within the National Exam Program. He has more than 30 years of experience with the SEC. Dowdell has conducted and/or reviewed more than 1,000 investment adviser and 80 mutual fund examinations and has participated in more than 50 enforcement referrals. He was awarded the Examination Award of Excellence from the SEC in1997, and the Excellence in Leadership and Douglas Adams Awards in 2020.
Ivy Duke is the Chief Compliance Officer for National Real Estate Advisors, LLC, an SEC-registered investment adviser located in Washington, DC, that specializes in build-to-core, developing and owning large-scale, urban commercial and multifamily real estate projects for its institutional client accounts. She began her investment management career at Drinker Biddle & Reath LLP, then joined Calvert Investments, Inc. where she last served as Vice President and Acting General Counsel. She also served as Counsel in the Investment Management Group at Seward & Kissel LLP. She holds an LL.M. in Securities and Financial Regulation from Georgetown University Law Center, and a J.D. and B.A. from the University of Virginia.
Ric Edelman is Founder of the Digital Assets Council of Financial Professionals, The Truth About Your Future, and the Funding Our Future Coalition. Multiple trade publications have named him one of the most influential people in the financial planning and investment management profession. Edelman is also a leading financial educator and champion of improving financial literacy. TALKERS magazine named him among the 100 Most Important Radio Talk Show Hosts in the country, and his show has been on the air for more than 30 years. He taught personal finance for nine years at Georgetown University and is now a Distinguished Lecturer at his alma mater, Rowan University.
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. Ehrlich has been with Western Asset since 2004, before which he worked with Legg Mason, Inc. (Western Asset’s parent company at the time) and the Division of Trading and Markets (formerly Market Regulation) at the SEC.
Jenny Eller is Co-Head of Groom Law Group’s Fiduciary and Retirement Services practice. She advises financial institutions on the design and delivery of products and services to the retirement plan marketplace and advises large corporate and public plan sponsors on all aspects of ERISA fiduciary compliance. Eller is responsible for ensuring that the strategic direction and new initiatives of the practice position the Groom Law Group to serve the needs of its financial institution, corporate and public plan clients. She holds a B.A., magna cum laude, from Avila College and a J.D., cum laude, from Georgetown University Law Center.
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 also leads the firm’s DEI efforts. Previously, Emerson worked at Signal Group, the American Investment Council, and TIAA. He began his career in policy work on Capitol Hill, holding senior positions in the House and the Senate, including with Senator Carl Levin and Representative Carolyn Kilpatrick. He served as a senior aide to Representative Mike Capuano and led his work on the financial services committee. He graduated magna cum laude from Howard University and earned his J.D. from the George Washington University Law School.
Gordon Eng is General Counsel and Chief Compliance Officer at SKY Harbor and has more than 30 years of financial and legal experience. Previously, he worked for the law firms of Fried Frank Harris LLP and Debevoise & Plimpton LLP, where he focused on internal investigations, regulatory defense, and litigation matters involving ERISA and complex financial instruments. Prior to his legal career, Eng traded foreign currencies as a market maker, chief dealer, and proprietary trader. He holds a J.D. from Fordham University School of Law; an M.B.A. from New York University Stern School of Business; and a B.S. in Economics from the University of Pennsylvania. Eng is admitted to practice law in New York and Connecticut.
Susan Gault-Brown is Chair of Stradley Ronon’s fintech practice and an active member of the investment management group. For more than 20 years, she has been a trusted adviser to clients, including registered funds, private funds, investment advisers, broker-dealers, funding portals, commodity trading advisors, commodity pool operators and other regulated financial participants, as well as entities exempt from regulation. She routinely counsels clients on SEC and CFTC compliance issues concerning derivatives and securities and has significant experience with emerging financial services products that are web and app-based, including crowdfunding platforms, investment platforms, cryptocurrencies, digital assets, blockchain and distributed ledger technology (DLT) and roboadvisers.
Mitch Gibbons serves as the General Counsel and Chief Legal Officer of Fayez Sarofim & Co. and its affiliated investment advisers. Previously, she focused her law firm practice on securities regulation and compliance, with a particular emphasis on investment adviser, broker-dealer, and private investment fund matters. She counseled private equity funds, hedge funds, real estate funds, energy funds, funds of funds, and registered investment companies on organizational, regulatory, compliance, and transactional matters as well as advised companies and investors in related transactions. She graduated from Trinity University, received her master’s degree from Harvard University Kennedy School of Government, and her J.D. from New York University. She is admitted to practice law in New York and Texas.
Melissa Gilbertson is Assistant Vice President of IT and Trading Manager at Mairs & Power, Inc., overseeing the daily operations of the IT and Trading Operations departments. The IT group provides overall technology support, disaster recovery, and data security, while the trading group handles strategies, portfolio construction, internal reporting, compliance and more. Previously, Gilbertson worked at Alerus Retirement Solutions, Fairview Health Services, and United Health Group. She is a Board of Trustee member and chair of the Finance Committee of the Episcopal Homes of Minnesota and a board member of the CFA Society of Minnesota. She earned a B.A. from the University of Minnesota and an M.B.A. from the University of St. Thomas.
Laura L. Grossman is Associate General Counsel of the IAA. Prior to joining the IAA in 2012, she 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. 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 is Chief Compliance Officer for Vanguard Global Advisers, LLC and Head of Fund and Adviser Compliance for Vanguard, 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. Previously, Hadfield worked at USAA Investments, Allen & Overy, and Eversheds Sutherland. He 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.
Benjamin J. Haskin is a partner in the Asset Management Group at Willkie Farr & Gallagher LLP, where he advises mutual funds, exchange-traded funds, private and offshore funds, investment advisers, and broker-dealers on a wide range of investment management issues, including ESG disclosures, compliance, corporate governance, enforcement, and regulatory matters. He represents fund boards of directors and regularly conducts internal reviews on behalf of investment companies and investment advisers. He additionally advises investment managers on matters related to the purchase and sale of advisory businesses and other consolidation transactions.
Meghan Irmler is an Associate General Counsel in the Asset Management Group of Raymond James & Associates, Inc. supporting the firm’s retail advisory programs. Prior to joining Raymond James, Irmler was a Senior Attorney at Cleary Gottlieb Steen & Hamilton LLP, where she advised U.S. and non-U.S. financial institutions, fund managers, and other financial industry clients on matters involving the regulation of investment advisers across practice areas from financial products and M&A to structured finance and private equity. She received her J.D. from the University of Pennsylvania Law School and her B.A. from Barnard College, Columbia University.
Michelle L. Jacko, CSCP, is the Managing Partner and CEO of Jacko Law Group, PC, which offers securities, corporate, real estate and employment law counsel to broker-dealers, IAs, investment companies, hedge/private funds and financial industry professionals. She is also Founder and CEO of Core Compliance & Legal Services, Inc. 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 focuses on regulatory exams/formal inquiries, mergers/acquisitions, annual reviews, policies/procedures development, testing of compliance programs, mock exams, and more. She received her J.D. from St. Mary’s University School of Law and B.A. from the University of San Diego.
David Joire is a Senior Special Counsel in the Chief Counsel’s Office of the SEC’s Division of Investment Management. Joire’s team is primarily responsible for issuing no-action letters, interpretive letters, and other staff positions under the Investment Company Act of 1940, the Investment Advisers Act of 1940, and other federal securities laws that affect the asset management industry. They also review and analyze applications requesting exemptive relief under these laws. Prior to joining the SEC, Joire worked in private practice advising investment advisers and investment companies on a variety of regulatory, compliance, and transactional matters.
Daniel S. Kahl is Acting Director of the SEC Division of Examinations. He joined the exam program in 2016 as Chief Counsel and was later named Deputy Director. Formerly, Kahl was Assistant Director in charge of the Investment Adviser Regulation Office in the Division of Investment Management at the SEC. Prior to joining the Commission in 2001, he worked at the Investment Adviser Association, FINRA, and the North American Securities Administrators Association. He received his B.S. from Penn State University, J.D. from Southern Methodist University, and LL.M. (Securities) from Georgetown University.
Jennifer L. Klass is Co-Chair of Baker McKenzie’s Financial Regulation and Enforcement Practice in North America. She 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 SEC, both in seeking interpretative guidance and in managing examination and enforcement matters. Klass is a leading practitioner in digital investment advice and FinTech. Previously, she was Vice President and Associate Counsel at Goldman, Sachs & Co. Her practice focuses on the retail and wealth management businesses of investment advisers and dual registrants, and her clients include asset managers, broker-dealers, and sponsors of private investment funds, mutual funds, and exchange-traded funds.
Arthur Laby is Professor of Law at Rutgers Law School and Co-Director of the Rutgers Center for Corporate Law and Governance. He is a recognized expert in securities law, the regulation of investment management, and the fiduciary relationship. His research focuses on investment management regulation, the duties of market participants, and the fiduciary obligation. Previously, he served as Assistant General Counsel for the SEC and worked in private practice. He is a member of the American Law Institute, the Board of Trustees of the SEC Historical Society, and formerly served on the Board of Directors of the Certified Financial Planner Board of Standards.
Sanjay Lamba is Associate General Counsel at the IAA. Prior to joining the IAA, 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 and his law degree from Boston University.
Gretchen Lee is Chief Compliance Officer of Clifford Swan Investment Counselors. Immediately before joining Clifford Swan, 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. She 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.
Grace Man is Director at Franklin Templeton, where she leads a team responsible for GIPS compliance and composite maintenance. Previously, she was a Product Manager and Marketing Manager for institutional products at Franklin and worked at Callan Associates as a Database Supervisor. She also served as a volunteer of the United States Investment Performance Committee (USIPC) and the Pooled Fund Advisory Team for the CFA Institute. Man holds an M.B.A. in Finance from Golden Gate University and was the former Chair of the IAA GIPS Compliance Forum.
Joe Mannon is Chair of Vedder Price’s Private Fund Formation group and a member of the firm’s Investment Services group. He focuses on legal and compliance matters for investment advisers, mutual funds, closed-end funds, and unregistered vehicles. Mannon has substantial experience in regulatory and compliance matters including registration and marketing, GIPS, and drafting compliance policies and procedures. He counsels advisers on trading agreements, as well as conducts mock SEC examinations and represents clients before the SEC and other regulators in examinations and investigations. He earned his B.A. from Michigan State University and his J.D. from Loyola University Chicago School of Law.
Michael W. McGrath, CFA is a Partner of K&L Gates LLP and a member of the firm’s asset management and investment funds practice. McGrath focuses on counseling global asset managers across a broad spectrum of asset classes in the formation and operation of investment funds, regulatory compliance, and securities and commodities law. McGrath has extensive experience advising clients with respect to the formation and operation of private equity funds, hedge funds, real estate funds, credit funds, separate accounts, and mutual funds, as well as examinations and marketing and advertising, including GIPS®. Previously, he was Vice President and Senior Counsel with Allianz Global Investors. He received a J.D. from Duke University and an A.B. from Stanford University.
Ian J. McPheron is Head of Legal-Americas and board member for Aviva Investors, overseeing the team responsible for all legal and corporate governance matters in the U.S. and Canada. Prior to joining Aviva Investors, he spent 14 years at Harris Associates serving in several senior capacities, including Interim General Counsel and Deputy General Counsel focused on mutual fund, global investment advisory, and governance issues. He has also held senior legal and compliance positions with Calamos Advisors and Morgan Stanley/Van Kampen Investments focusing on open-end and closed-end funds and institutional and high net worth accounts. McPheron also contributed to the treatise Regulation of Investment Companies by Lemke, Lins and Smith.
Chris Mulligan is a Senior Special Counsel in the Division of Examinations at the SEC, where he drafts risk alerts related to private funds and investment advisers, advises on rulemakings, counsels examiners on legal issues and enforcement referrals, conducts exams, trains staff, and develops exam initiatives and priorities related to private fund advisers. Before joining the SEC, Mulligan was in private practice, counseling private equity advisers and institutional investors with respect to fund formation and regulatory issues. He earned his J.D. from Georgetown University.
Sean Murphy is Vice President & Deputy Chief Compliance Officer in the Legal and Compliance Department at EIG. Prior to joining EIG in 2019, Murphy was a Vice President and Counsel at BlackRock, where he advised various business groups on commercial, regulatory, compliance and transactional matters. Previously, he was an associate in the Financial Services Group at Dechert LLP in Washington, DC, and London, where his practice focused on providing counsel to managers of registered and unregistered investment companies. Murphy received a B.S. in Government from the College of William and Mary and a J.D. from Georgetown University Law Center, where he was a member of the American Bar Association’s publication The Tax Lawyer.
Ammani Nagesh is Associate Director of Strategy and Client Relations for the Investment Funds Global Regulatory Solutions Group at Kirkland & Ellis LLP. Prior to joining Kirkland, Nagesh spent many years at the SEC, serving as Confidential Assistant to Chairmen Christopher Cox and Mary L. Schapiro. She also worked in the agency’s Division of Investment Management, which oversees the SEC’s administration of the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Nagesh began her career on Capitol Hill, working for the House of Representatives Committee on Homeland Security and in the Office of Congressman Nick Smith (R-MI). She graduated from Albion College in Michigan.
Larry Nakamura, IACCP, is Vice President and Head of U.S. Wealth Compliance at CI Financial, responsible for overseeing the compliance programs of all the firm’s U.S. affiliates. He has more than 25 years of experience working in the financial services industry, including as Chief Compliance Officer and Director of Client Service at Dowling & Yahnke. Nakamura is an Executive Regulatory Consultant with National Regulatory Services and co-founder of Nexa Technologies, Inc., where he helped create a multi-lingual direct-access trading platform and risk management compliance systems for high-frequency traders. Nakamura is a frequent lecturer at NRS and IACCP events and holds a PFP professional designation from the University of California, Los Angeles Extension.
William A. Nelson is Associate General Counsel at the IAA. Previously, he was Assistant General Counsel and Public Policy Counsel at CFP Board and Chief Compliance Officer for Mercer Advisors. He has also held roles as an attorney with both the U.S. Departments of Justice and Veterans Affairs. Nelson has served as an Adjunct Professor at the University of Denver Sturm College of Law and George Washington University Law School. He received his undergraduate degree from the University of Tulsa, his J.D. with Honors from the University of Tulsa College of Law, and his LL.M. from the George Washington University Law School.
C. Dabney O’Riordan is Co-Chief of the SEC Enforcement Division’s Asset Management Unit (AMU). O’Riordan joined the SEC as an Enforcement staff attorney in 2005, became a member of the AMU at its inception in 2010, and served as counsel to the Director of the Division of Enforcement in 2012 before being promoted to Assistant Director that same year. Previously, she served as a law clerk to the Honorable David R. Thompson of the U.S. Court of Appeals for the Ninth Circuit and was a litigation associate at Munger, Tolles & Olson LLP. She received her undergraduate degree magna cum laude in environment science from Wellesley College and her J.D. from the University of California, Los Angeles.
Rob Patchett is the Global Chief Privacy Officer and I.T. Chief Compliance Officer for Raymond James Financial, where he is responsible for the global privacy compliance program and the compliance technology strategy for the firm. Patchett is also the Data Protection Officer for Raymond James UK and European operations. Prior to Raymond James, he served as the Chief Privacy Officer and Head of Information Governance for MUFG Americas and the Union Bank of California. He sits on numerous privacy and cyber risk advisory groups and holds degrees in I.T. and business from Middlesex University.
Alpa Patel is a Partner in the Investment Funds Regulatory Solutions Group of Kirkland & Ellis LLP, where she focuses on counseling U.S. and non-U.S. investment advisers regarding the complex regulatory framework in which they operate. Previously, she was Branch Chief of the Private Funds Branch of the Investment Adviser Regulation Office in the SEC’s Division of Investment Management, where she was the key adviser on private fund-related projects and priorities. Prior to joining the SEC, she was in private practice where she advised clients on onshore and offshore private funds, as well as provided counsel to investment advisers in regulatory, compliance, and corporate matters.
Sheena Paul is a Counsel in Debevoise & Plimpton’s Investment Management Group U.S. regulatory practice, based in the firm’s Washington, DC, office. Her practice focuses on providing regulatory advice to investment managers, with a focus on private equity clients. She has extensive experience advising asset managers and institutional investors on a broad range of U.S. regulatory matters, regularly advising on issues arising under the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the Securities Act of 1933. She received a B.A. from Macalester College and J.D. from Georgetown University Law Center.
Mark D. Perlow is a Partner at Dechert LLP, representing mutual funds, hedge fund managers, fund independent directors, investment advisers, and broker-dealers on regulatory and transactional matters. Having served as senior counsel in both the SEC’s Office of the General Counsel and the Division of Enforcement, Perlow has considerable experience with SEC rule-making, submissions, enforcement, examinations and compliance activity. He 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 and Pisarri LLP. She specializes in regulatory issues pertaining to investment advisers, NRSROs, and service providers to the securities industry. Previously, Pisarri was an Associate at Cladouhos & Brashares, where she worked on a range of regulatory and international business matters. She also was involved in litigation in federal and state courts, including major customs litigation before the Court of International Trade. Pisarri began her career as a law clerk for the Honorable John P. Wiese in the U.S. Court of Claims. She received her B.A. from St. Lawrence University, summa cum laude, and her J.D. from Cornell Law School, magna cum laude.
Robert Plaze is a Partner in Proskauer Rose’s Registered Funds Group, where he advises clients on regulatory and compliance issues under the federal securities laws. Previously, he was in the SEC’s Division of Investment Management for more than 30 years, most recently as Deputy Director. At the SEC, he was responsible for policy development and management of the key regulatory initiatives affecting investment companies and investment advisers, including rules governing fund and adviser compliance programs, money market funds, fund corporate governance, personal trading, custody and brokerage practices, prohibitions on “pay to play” practices, and protection of investor privacy. He received his A.B. and his J.D., cum laude, from Georgetown University.
John Pollard is the Global Chief Compliance Officer for EJF Capital LLC and oversees compliance matters and regulatory affairs related to the firm’s investment advisory services. Pollard serves on the board of the Washington DC Compliance Round Table, a nonprofit organization dedicated to educating and supporting financial compliance professionals in the DC area. Prior to joining EJF, Pollard worked at the SEC Division of Examinations for over 10 years. During this time, Pollard developed and led national initiatives that guided over 500 examinations, conducted by 400 examiners across 11 regional offices. Pollard also led examinations of various registered investment advisers including advisers to private funds, registered investment companies, and individual client accounts.
Tito Pombra is President and Founder of Adviser Compliance Consulting Inc. (ACC), where he is focused on regulatory exams, annual reviews, mock SEC exams, policies and procedures development, advertising and marketing reviews, and compliance, and Chief Compliance Officer at Main Street Research. He has more than 25 years of experience in the global asset management industry, as President of Core Compliance and Legal Services, as Chief Compliance Officer of Matthews Asia Funds/Matthews International Capital Management, LLC, and in various compliance and accounting positions at Franklin Templeton. He is a former board member of the National Society of Compliance Professionals and co-chair of the Bay Area CCO committee.
Adam J. Reback is a Partner at Optima Partners, a leading global regulatory compliance advisory firm, where he focuses on supporting the regulatory and compliance needs of hedge funds, private equity funds, registered investment advisers, broker-dealers, independent research providers, and other global financial institutions. Reback has 25 years of investment management industry experience including as Partner & CCO of J. Goldman & Co., L.P. (JGC) and CCO of John A. Levin & Co. He is a regular contributor to various investment industry periodicals and frequently speaks at numerous industry events and conferences on a wide variety of topics. Reback attended New York University and completed the FBI Citizens Academy.
Julia Reyes is a Partner with ACA Performance Services, a division of ACA Compliance Group, where she is responsible for more than 60 client relationships and focused on verifying investment advisers’ claims of GIPS® compliance and performance engagements. Reyes has more than 15 years of experience, including as a Partner with Ashland Partners & Company LLP. She heads the Performance Process Committee, helping develop and maintain a process to conduct verifications and other performance engagements, and serves on the Thought Leadership council providing content and topics of interest to performance and compliance professionals. Reyes earned her B.S. in Accounting from Arizona State University and also earned a Certificate in Performance Measurement.
Aliya Robinson is Senior Legal Counsel, Legislative and Regulatory Affairs for T. Rowe Price, leading the Legislative and Regulatory Affairs team’s work on all retirement-related public policy issues. Robinson has more than 20 years of experience, previously working at The ERISA Industry Committee and the U.S. Chamber of Commerce. She has advocated for retirement legislation and testified on retirement and compensation issues before Congress, the Department of Labor, and the Department of Treasury. Robinson is a graduate of New York University School of Law, where she also received a Master of Laws in Taxation. She received a B.A. in Economics and African studies from Yale University.
Gretchen Passe Roin is a Partner in the Investment Management Practice at WilmerHale, where she counsels investment advisers, independent directors, and large financial institutions regarding regulatory requirements relating to wrap programs, separate accounts, mutual funds, and private funds. She advises on a wide variety of issues, including SEC and state securities registration and exemptions, conflicts of interest and affiliated transactions, regulatory reporting obligations, compliance policies and procedures, and complex enforcement matters. Roin has substantial experience addressing regulators’ evolving concerns and ever-increasing expectations for disclosures to clients and mitigation of conflicts of interest. She received her B.A. from Harvard University and her J.D. from Harvard Law School.
Jeremi Roux, CFA, is General Counsel and Chief Compliance Officer of Hamlin Capital Management, where he is responsible for all legal and compliance matters for the firm. Prior to joining Hamlin, he served as the Chief Compliance Officer of a mid-sized registered investment adviser. Roux previously worked in FINRA’s Market Regulation department and the SEC’s Division of Enforcement, Asset Management Unit. Roux graduated cum laude from Brooklyn Law School, where he was an International Business Law Fellow and an associate editor of the Brooklyn Journal of International Law. He is a member of the Brooklyn Law School Alumni Board.
Jyothi San Juan, CPA, CIA, CISA, is a Senior Manager, Compliance for Segall Bryant & Hamill, responsible for directing the day-to-day activities of compliance personnel in implementing all aspects of the firm’s compliance policies and program. Previously, San Juan worked at Allstate Investment Management in the compliance department and at Allstate Insurance in the internal audit department working on financial, operational, and IT audits. She has a B.S. in Accounting from DeVry University and an M.S. in Information Systems from DePaul University. San Juan also holds the Series 7, 63, and 24 FINRA registrations.
Andrea Santoriello is an Executive Director and Assistant General Counsel at J.P. Morgan Asset Management (JPMAM). She serves as chief counsel for the JPMAM Private Equity Group and also advises JPMAM on strategic transactions and proprietary investments in diverse emerging managers. Previously, Santoriello was a senior associate at the law firm of Davis Polk & Wardwell LLP in the Investment Management Group. She received a B.A. in Political Science from the College of the Holy Cross, summa cum laude, and a J.D. from Harvard Law School, cum laude. She is the Vice Chair of the IAA’s Private Equity Fund Advisers Committee.
Richard C. Sarhaddi is Head of Retail Advice Compliance at Vanguard, where he leads the compliance team that supports Vanguard Personal Advisor Services, Vanguard Digital Advisor, and the firm’s advice technology division. He also serves as Chief Compliance Officer of Just Invest, LLC, an RIA that provides direct indexing capabilities to RIAs and their clients. Sarhaddi began his career as a ’40 Act lawyer at Claymore Advisors (now part of Guggenheim). Since then, he has focused on Advisers Act and broker-dealer issues for firms including optionsXpress, Inc., Charles Schwab & Co., Inc. and The Vanguard Group, Inc. Sarhaddi is co-chair of the IAA Digital Advisers Committee.
Christine Ayako Schleppegrell serves as Senior Counsel in the Investment Adviser Regulation Office, Private Funds Branch, at the SEC, where she advises on policy matters and counsels staff of the Divisions of Enforcement and Examinations. Previously, Schleppegrell worked as an attorney in private practice in Washington, DC, and San Francisco, California. She is an adjunct professor for the Fordham Law Corporate Compliance Program, co-chairs the D.C. Bar Investment Management Committee, and serves as Chair of the 100 Women in Finance D.C. Chapter. Schleppegrell earned her J.D. from the University of Washington School of Law and her B.A. from Vassar College and Oxford University.
Keith Shoates is Chief Operating Officer at Student Freedom Initiative, a nonprofit that aids students attending a Minority Serving Institution by increasing their social and economic mobility. He is also Vice President of Vista Equity Partners, where he is responsible for strategic planning, operations, corporate communications, and corporate initiatives. Prior to Vista, Shoates worked as Director of IT at Integrity Applications Incorporated and served in the U.S. Air Force for 23 years, retiring as a Colonel. He earned a B.S. and M.Eng. in Electrical Engineering from Cornell University, an M.B.A. from Chapman University, and a Master of Strategic Studies from USAF Air Command & Staff College.
Neil A. Simon is the IAA’s Vice President, Government Relations. He has a leading role in the formulation and communication of the IAA’s views on legislative and regulatory issues 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 and served as executive director of the National Franchise Council. Prior to that, he was counsel in the law firm of Hogan & Hartson LLP (now known as Hogan Lovells). He received his B.A. magna cum laude from Clark University, his J.D. from Georgetown University, and is a member of Phi Beta Kappa.
Adomas Siudika serves as Privacy Counsel at OneTrust, where he provides guidance on global data privacy regulations and standards and works in platform content development. Prior to OneTrust, Siudika worked for a data privacy software company and a law firm in Chicago. He earned his L.L.B. degree from Law University of Lithuania and L.L.M. from Indiana University Robert H. McKinney School of Law. He holds CIPP/US, CIPP/E, and CIPM certifications.
Tracy M. Soehle is Managing Director and Senior Counsel at Affiliated Managers Group, Inc. 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, Soehle was a senior compliance manager at State Street Global Advisors; regulatory compliance manager at Wellington Management Company LLP; and an attorney at the law firm Dechert LLP. She received a B.S. from Boston College and a J.D. from Tulane University Law School.
Wes Stillman is Founder and President of RightSize Solutions. After 30+ years of managing technology in high-level positions, Stillman founded RightSize Solutions in 2002. Prior to RightSize Solutions, his clients included major airlines, broker-dealers, trust companies, health care providers, community banks, and other financial institutions. He has held high-level positions at National Advisors Trust Company, FSB, Comdisco, and Midwest Consulting Group. A technology pioneer in every sense, he is quoted as a subject matter expert in industry publications and speaks at conferences on topics such as cybersecurity, cloud-based environments, and leveraging technology.
Steven W. Stone is a Partner at Morgan Lewis. He is a securities lawyer who counsels clients on regulations governing broker-dealers, investment advisers and bank fiduciaries, and pooled investment vehicles. As head of the firm’s financial institutions practice, he counsels U.S. broker-dealers, investment banks, investment advisers, and mutual fund organizations. He regularly represents clients before the SEC and FINRA, both in seeking regulatory relief and assisting clients in enforcement or examination matters. He earned a B.A. from Bates College, and a J.D. from The George Washington University Law School and is a member of the D.C. Bar.
Bob Toner is Deputy General Counsel of William Blair’s Investment Management division. Previously, he served as Managing Director and Counsel at Wellington Management Company LLP, providing legal and regulatory guidance on investment adviser, investment company, and broker-dealer matters. Toner also formed and led a legal team supporting Wellington’s investment professionals in assessing and negotiating terms for equity and fixed income transactions and was responsible for advising the firm on regulatory matters arising from its activities as a large institutional investor. Toner also worked at Eaton Vance Management, Putnam Investments, and Goodwin Procter. He received a B.A. from Harvard University and J.D. from Boston College.
Thankam (Tara) Varghese is Senior Counsel in the Chief Counsel’s Office in the Division of Investment Management at the SEC, where she focuses on issues under the Investment Company Act of 1940 and Investment Advisers Act of 1940. She has served in a variety of other roles at the Commission, including as Counsel to Commissioner/Acting Chair Allison Herren Lee, Special Counsel in the Office of Trading Practices in the Division of Trading Markets, and Attorney-Adviser in the Office of Market Oversight in the Division of Examinations. Before joining the SEC, she was an associate in the Financial Services litigation group of McCarter & English, LLP.
Kurt Wachholz is a Managing Director at Bates Group LLC. He has more than 25 years of experience in the financial services industry working in and with a wide range of companies including banks, insurance companies, broker-dealers, and investment advisers. Over the course of his career, he has served as chief technology officer, chief compliance officer, OSJ, operations manager, registered representative, insurance agent, investment adviser representative, and compliance consultant. Wachholz has been the director of two compliance professional development programs and is an editor for two industry compliance publications. He holds the IACCP designation and has previously held FINRA Series 7, 66, SIE and 24 licenses.
Melanie Mayo West, Esq., is General Counsel and Chief Compliance Officer for LSIA, an investment advisory firm headquartered in the Detroit area that primarily serves high net worth individuals. Prior to joining LSIA almost seven years ago, she worked for a variety of investment advisers, including over a decade as Associate General Counsel for Munder Capital Management, where she primarily focused on regulatory issues affecting the Munder Funds. She also has previous experience in private practice providing advice to banks and investment advisers on Investment Company Act and Investment Advisers Act matters.
Jeremiah Williams, CFA, is a Partner in Ropes & Gray’s litigation and enforcement practice group, where he focuses on defending entities and individuals in civil and criminal government investigations with a focus on the financial services industry. He also advises asset management clients on regulatory issues and securities-related enforcement. Prior to joining Ropes & Gray, Williams was Senior Counsel in the Division of Enforcement at the SEC. While at the SEC, he was a member of the Asset Management Unit, a specialized group investigating potential misconduct involving registered investment companies and private funds. He also previously spent six years in the financial industry.
Brad Wilson serves as Counsel at MFS Investment Management, where he supports MFS’ sustainability program by tracking and advising business groups on regulatory developments, supporting MFS’ sustainability governance process, and supporting other sustainability-related initiatives. Wilson joined MFS in 2015, providing legal support to MFS’ Luxembourg UCITS and MFS’ US mutual funds. He previously served as an associate general counsel and compliance officer at Legg Mason and as an analyst at FINRA. He earned a B.A. in political science and B.B.A. in finance from the University of Georgia and an M.B.A. and J.D. from the University of Maryland. He is a member of the New York State Bar.
Rana J. Wright is Partner, Chief Administrative Officer, and General Counsel of Harris Associates, responsible for managing the legal, compliance, HR, risk, and regulatory functions globally. She is also the Principal Executive Officer and President of the Oakmark Funds. Previously, she was Associate General Counsel and Managing Director at Bank of America, where she was the Chief Legal Officer for BofA Global Capital Management, and was an Associate and Partner at Reed Smith LLP, where she counseled clients on regulatory, strategic, and transactional issues and served as 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.
Allen Xiao, CFA, is the Deputy Chief Risk Officer for Amundi US. Previously, Xiao was the North American Regional Head of Risk for Aviva Investors. He is a member of the CFA Institute’s ESG Verification Subcommittee, focusing on developing verification procedures for ESG Disclosure Standards, a member of the Steering Committee of GARP Chicago, and CFA New York Performance and Risk Analytics Group. He also sits on the Advisory Council of Fellow of Canadian Securities Institute promoting investment education. Xiao has extensive experience in risk, compliance, and audit. He is a CPA in the State of Illinois and a Director’s Scholar at University of Oxford EMBA program.