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 a partner in Willkie Farr & Gallagher LLP’s Litigation Department and a member of the Securities Litigation & Enforcement Practice Group. His practice focuses on regulatory enforcement matters and white-collar defense. Aderton has particular experience in regulatory inquiries and litigation involving the asset management industry. In addition to representing clients in connection with SEC and other government examinations, investigations, and litigations, he provides compliance counseling to asset managers. Aderton was formerly co-chief of the SEC Enforcement Division’s Asset Management Unit. He received his undergraduate degree from Truman State University and his J.D. from the University of Virginia.
Dimple Anderson is the chief compliance officer at Vise, a venture-backed FinTech startup. She has more than 20 years of experience in the securities, investment advice, and insurance industries where she has built operations and compliance programs for businesses and teams to scale and optimize for growth, M&A, and IPOs. Before joining Vise, Dimple was the CCO at SoFi Wealth and head of compliance for SoFi Invest, where she built the compliance infrastructure for various investment products, including securities, investment advisory, and cryptocurrency products. Prior to SoFi, Dimple held various compliance and operations leadership roles at NorthWestern Mutual, LearnVest, Lenox Advisors, and Canada Life. She holds a FINRA Series 7 & 24.
Karen Aspinall is a partner at Practus LLP and is the chair of the firm’s Financial Services practice area. 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.
Karen L. Barr is president and chief executive officer of the IAA. Before assuming the role of president and CEO 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 investment adviser industry. Prior to joining the IAA, Barr was in private practice at Wilmer, Cutler & Pickering (now WilmerHale), where she represented clients in SEC investigations, securities class action litigation, internal corporate investigations, and securities regulatory matters. She received her B.A. from the University of Pennsylvania and her J.D. from the University of Michigan Law School.
David P. Bartels is a partner in Dechert’s ﬁnancial services group. As former deputy chief counsel of the SEC Division of Investment Management, he has extensive experience with regulatory issues faced by asset managers and both registered and unregistered funds. He also managed guidance IM provided to the Divisions of Enforcement and Examinations and provided technical assistance on proposed legislation. Prior to joining the SEC, he was an associate in the corporate practice of an international law firm. He earned his B.A. from the State University of New York at Buffaloand his J.D. from Yale Law School. He is admitted to the Bar in the District of Columbia and New York.
Thoreau Bartmann is co-chief counsel of the SEC Division of Investment Management, where he oversees the Division’s legal guidance regarding investment companies and investment advisers. Bartmann joined the Commission in 2005, developing rulemaking policy in a variety of capacities, and in 2021 he took on a new position as an assistant director in the Chief Counsel’s Office, where he oversaw the Division’s work on crypto and international matters and provided guidance to advisers and funds. Before the SEC, Bartmann worked as an associate at the law firm Fried, Frank, Harris, Shriver, and Jacobson. He received his J.D. from the University of North Carolina Chapel Hill and his B.A. from the University of Alabama, Birmingham.
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.
Jeff Blumberg is a partner at Faegre Drinker Biddle & Reath LLP. He is an investment management lawyer who advises clients on regulatory, corporate governance, business, and structural matters. He counsels registered and unregistered money managers on operations and other key business matters, including mergers and acquisitions, regulatory investigations and examinations, compliance policies and procedures, contracts, advertising and securities valuation. Prior to practicing law, Blumberg spent seven years working in the financial services industry with one of the largest independent financial services firms in the Chicagoland area, where he was a registered principal for the firm’s broker-dealer office and acted as the internal compliance officer for the firm.
Lori Bosi is a senior director of investment compliance at MFS Investment Management®. In consultation with senior management, she manages the investment compliance program in accordance with legal, regulatory, and client‐imposed requirements. Previously, she worked for 15 years at Western Asset Management, where she was most recently a portfolio compliance manager on the firm’s startup integration team. Before that, she was an assistant vice president and senior compliance analyst at Wellington Management for more than three years. Lori earned her B.A. and MBA degrees from Northeastern 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, California, 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.
Drew Bowden is chief operating officer of Western Asset Management Company and brings more than 34 years of industry experience to his role. He joined the firm in 2021 after serving as executive vice president, general counsel, and secretary with Jackson Financial, Inc. Previously, Bowden was the director of the SEC Division of Examinations, as well as chief operating officer, general counsel, and executive director with Legg Mason Capital Management and deputy general counsel with Legg Mason, Inc. He holds a B.A., summa cum laude, from Loyola University, where he was in the Honors English Program, and a J.D., cum laude, from the University of Pennsylvania Carey Law School.
Sarah Buescher is special counsel of the IAA. Before joining the IAA, 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. She also previously worked at Vanguard, first in the Legal Department as associate counsel and senior counsel, and later in the Compliance Department as manager of international compliance. She earned her B.S. in Communication Studies from Northwestern University and her J.D. from the University of Notre Dame Law School.
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.
Charu A. Chandrasekhar is a litigation counsel in the New York office of Debevoise & Plimpton and a member of the firm’s White Collar & Regulatory Defense Group. Her practice focuses on securities enforcement and government investigations, including cybersecurity issues and internal investigations. Prior to joining the firm, Chandrasekhar served as an assistant regional director in the SEC’s Division of Enforcement and as the founding chief of the Division’s Retail Strategy Task Force. She also served as a senior advisor and senior counsel in the Division of Enforcement’s Market Abuse Unit.
James Creel is an associate general counsel in The Vanguard Group, Inc.’s Office of General Counsel, where he leads the Advice Legal Team providing counsel to Vanguard’s proprietary advice services offered to retail clients and to retirement plan participants. Creel joined Vanguard in 2008 and has supported its Personal Investor, Financial Advisor Services, and International divisions. Prior to joining Vanguard, he was an attorney at Janney Montgomery Scott, LLC, a broker-dealer headquartered in Philadelphia, PA, and an associate in the litigation practice of Saul Ewing LLP. He received his undergraduate degree from Saint Joseph’s University and his law degree from Temple University Beasley School of Law.
Dianne M. Descoteaux is associate general counsel at the IAA. She has more than 20 years of experience as an attorney in the investment management industry and in private law practice advising clients on compliance issues arising under the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Prior to joining the IAA, Dianne was general counsel at Cipperman Compliance Services, LLC; served as outsourced chief compliance officer for several client engagements; and worked as in-house counsel at SEI Investments. She also practiced law in the Investment Management Practice groups of Morgan Lewis and Bockius LLP, Morrison & Foerster LLP, and Stradley Ronon Stevens & Young LLP. She is a McKenna Scholar and honors graduate of Claremont McKenna College and earned her law degree at Duke University School of Law.
Lance Dial is a partner at Morgan, Lewis & Bockius LLP. With more than a decade of experience as senior in-house counsel with global investment managers, Dial has a deep understanding of mutual fund law and operation and is fluent in the myriad regulations applicable to investment managers. He is well-versed in the creation of investment products and ESG and sustainability matters. Dial works extensively on regulatory policy matters, engaging with various financial services regulators, including the SEC, Department of Labor, IRS, and Department of Treasury. He is admitted to the Massachusetts Bar. He received his B.A. from the University of Georgia, and his MBA and J.D., cum laude, from Boston University.
Carlo di Florio is the global advisory leader of ACA Group. 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 governor of the Risk Management Association NY Chapter and as adjunct professor at Columbia University, where he teaches strategic risk management. He also serves on the Regulatory Advisory Committee of the National Association of Compliance Professionals and on the Board of Advisors of the Private Equity CFO Association NY Chapter.
Scot Draeger is president and general counsel of R. M. Davis, an independent investment advisory firm with over $6 billion in AUM. He joined R. M. Davis in 2017 after a career serving in senior legal, business, and management roles at the SEC, Citigroup’s Corporate & Investment Bank in New York (including as General Counsel of Citi Fund Services), and as Chairman of the Financial Services, Securities, and Asset Management Industry Groups at Bernstein Shur. Draeger earned a B.S. in Law & Government from the University of Cincinnati and a J.D. from the University of Maine School of Law. He is a member of the District of Columbia and Maine Bar Associations.
Jennifer A. Duggins, IACCP®, CRCP®, is assistant director and co-head of the Private Funds Unit within the SEC’s Division of Examinations. Duggins is also an adjunct professor in Fordham Law School’s MSL Compliance Program, where she currently teaches Introduction to Corporate Compliance. Prior to joining the SEC, she was a director in regulatory risk consulting within the advisory practice of KPMG; senior vice president and CCO of Chilton Investment Company; and vice president, legal and compliance at Andor Capital Management. Duggins earned a B.A. in history from New York University and a M.S. in human resource management from Sacred Heart University John F. Welch College of Business.
Ivy Wafford Duke is the chief compliance officer for National Real Estate Advisors, LLC, an SEC-registered investment adviser located in Washington, D.C., 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.
Jennifer Eller is a principal in 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. 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.
Lee Faria is chief compliance officer and vice president of Columbia Management Investment Advisers, LLC, where she manages employees responsible for investment guideline monitoring and trading surveillance, as well as 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, including more than 30 years of industry experience, 25 of which are in a legal or compliance capacity. Faria previously worked for Deutsche Asset Management (formerly Scudder Kemper), Fidelity Investments, and Mellon Bank. She 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.
Steven Farmer is the chief compliance officer for Confluence Investment Management LLC, responsible for managing the compliance program to effectively monitor compliance with internal policies as well as regulatory requirements. Before joining Confluence, he served as the chief compliance officer for Northern Trust Investments, Inc., 50 South Capital Advisors, LLC and various registered mutual funds. Previously, Farmer served as the chief compliance officer for Mesirow Advanced Strategies, Inc., as well as senior compliance positions for Mesirow Financial International in the U.K. and Hong Kong. He received a B.S. degree in Finance from Northern Illinois University and an MBA from DePaul University.
Aida Finn serves as senior manager, compliance and risk management at GW&K, where she is responsible for a broad range of areas under the firm’s Compliance Program – including the annual compliance program review, assessing regulatory developments, disclosure requirements, and other supervisory obligations. Finn co-chairs GW&K’s ESG Committee and is a member of various other Operating Committees including the Brokerage, Cybersecurity/Business Continuity & Disaster Recovery, Diversity Equity & Inclusion, Proxy Voting, and Valuation Committees. Prior to joining GW&K, she was a compliance manager at Affiliated Mangers Group, Inc. (AMG) and a manager at Deloitte & Touche. She received a BA in Government/Legal Studies & Romance Languages from Bowdoin College.
Shannon Geyer, CPA, is director of compliance & finance at Compton Wealth Advisory Group, LLC, where she is responsible for overseeing company finances and Compton Wealth’s customized family office solutions. Geyer began her career in public accounting and provided tax planning and preparation services to a wide variety of clients for more than twenty years. She earned a B.S. degree from the University of Virginia’s McIntire School of Commerce, and is currently working toward becoming an Investment Adviser Certified Compliance Professional®.
Steve Gilbert is a vice president in the Advisory Compliance Division of Raymond James, as well as the president and CEO of Carillon Fund Distributors, Inc., one of Raymond James’ broker-dealers. He has been with Raymond James for 16 years. Gilbert has been in the industry since 1986 and has worked for Fidelity, State Street, Putnam, Transamerica, and in FINRA’s Advertising Regulation Department. He earned his B.S. in finance and financial management services from Northeastern University.
Alan P. Goldberg is a partner at Stradley Ronon in Chicago, IL, focusing on representing registered investment companies and their independent board members, registered investment advisers, sponsors to unregistered investment pools, and family offices. He handles all aspects of creating registered investment companies and registering new investment advisers, including the establishment of compliance policies and procedures. He prepares regulatory filings and applications on behalf of investment companies, including mutual funds, ETFs, closed-end funds, and investment advisers. Goldberg has performed numerous comprehensive compliance reviews of investment advisers and investment companies and also routinely handles all aspects of investment adviser and fund merger transactions.
Laura L. Grossman is associate general counsel of the IAA. She has more than 20 years of experience as an investment management attorney. 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.
Nancy Hancock is the IAA’s vice president, business practices. Before the IAA, she spent more than 20 years in marketing communications, most recently in the institutional channel at T. Rowe Price. Previously, Hancock worked at Putnam Investments, aligned with the institutional, RIA, and 529 businesses, following eight years at State Street, where she supported the custody units serving the firm’s institutional, mutual fund, and insurance services client bases. Hancock holds a B.A., cum laude, in French with a minor in German from the University of Illinois. She earned her MBA with a dual concentration in marketing and finance from the Kellogg School of Management at Northwestern University. She holds a FINRA Series 7 license.
Patrick Hayes is a partner at Calfee, Halter & Griswold LLP, where he serves as leader of the firm’s investment management practice and represents. He supports advisers in the development and administration of their compliance programs, including the creation and implementation of policies and procedures governing all activities of the adviser. His clients include wealth managers, private fund advisers, family offices, ERISA investment fiduciaries, dual registrants, broker-dealers, cryptotraders, mutual fund trusts, and institutional asset managers. In 2020, Hayes launched The Securities Compliance Podcast: Compliance in Context™. He earned a B.A., magna cum laude, from the University of Notre Dame, and a J.D. from the University of Cincinnati College of Law.
Kelley Howes is co-chair of Morrison Foerster’s Investment Management Group and has experience in a wide range of legal, regulatory, compliance, corporate governance, insurance, and other matters relating to the representation of registered and unregistered investment companies, investment advisers, transfer agents, and broker-dealers. Howes counsels independent fund directors on governance issues and advises registered investment companies on mergers, reorganizations, compliance, and regulatory matters, including examinations and enforcement matters. She regularly counsels U.S. and non-U.S. domiciled investment advisers on compliance with the Investment Advisers Act and its related regulations. Prior to Morrison Foerster, she was executive vice president and general counsel of Janus Capital Group Inc.
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.
Christopher Jackson is senior vice president and general counsel of Calamos Investments, where he is responsible for the legal and compliance functions of Calamos and its affiliated companies. He has been involved in the financial services industry since 1986, previously working for Van Kampen American Capital, Inc. (now Van Kampen Investments), Hansberger Global Investors, Inc., and Deutsche Asset Management. Jackson is a member of the bars of the states of Illinois, Florida, and New York, as well as the American Bar Association, Illinois State Bar Association, and National Society of Compliance Professionals. He 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.
David Joire is a senior special counsel in the Chief Counsel’s Office of the SEC’s Division of Investment Management and 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. He also reviews and analyzes 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.
Ken C. Joseph is managing director and head of the Financial Services Compliance and Regulation practice for the Americas at Kroll, LLC. He is also a fellow of the Kroll Institute and head of the firm’s Cryptocurrency Task Force. Joseph previously served the SEC for 21 years, including an inaugural supervisor in the Division of Enforcement Asset Management Unit and most recently as a senior officer in the Division of Examinations. Joseph earned his B.S. and MBA in Marketing Management and International Finance from St. John’s University, and his J.D. from the University of North Carolina at Chapel Hill School of Law.
Tanya Kerrigan is the general counsel and chief compliance officer of Eaglebrook Advisors, responsible for legal and compliance oversight of firm operations. She has been in the investment management industry for more than 20, years having served as general counsel and chief compliance officer of several investment management firms ranging from small advisers to large global firms. Kerrigan has been responsible for advising on a broad range of legal, compliance, and regulatory matters with respect to SEC registered advisers, private equity funds, mutual funds, broker dealers and hedge funds. Kerrigan received a B.A. from University at Albany and a J.D. from New England School of Law and is licensed to practice law in Massachusetts.
Laurin (Laurie) Blumenthal Kleiman is a partner in Sidley’s Investment Funds practice, where she advises a wide range of domestic and international investment funds and managers on regulatory, compliance, and enforcement issues. Her practice encompasses advice to both U.S. and non-U.S. managers to investment products of all types with respect to both U.S. federal and state investment manager registration, regulation, and compliance; organization and registration of U.S. registered investment companies, including mutual funds, money market funds, and closed-end funds; advice to financial institutions with respect to investment fund and manager compliance and governance issues and fund and manager mergers, acquisitions, and reorganizations; and assistance to investment managers in connection with SEC examinations.
Matthew Kolesky is president and chief compliance officer for Arbor Capital Management, Inc. In 2020, Kolesky and the team at Arbor Capital launched Arbor Digital, an SMA offering focused on digital assets. As CCO for Arbor Capital, he sits at the intersection of compliance, traditional finance, and digital assets. Kolesky first interacted with Bitcoin by mining on his home computer in 2010, and later explored Ethereum after it launched. He was born and raised in Alaska and currently resides in Houston, Texas.
Pam Krill is a shareholder in the Investment Management Practice Group of Godfrey & Kahn, S.C. She practices securities and corporate law with significant experience representing investment advisers and investment companies, including institutional and retail asset management firms, registered open-end and closed-end funds, and unregistered funds, such as hedge funds, private equity funds, and real estate funds. Krill counsels these clients on a wide range of legal and business issues, including federal and state regulation, corporate governance, strategic business planning, new product design, mergers and acquisitions, and general corporate matters. She also regularly advises boards of directors of investment companies, and in particular independent directors, on their special responsibilities.
Joe LaFemina is a senior manager on the Advent Managed Services Solutions Management team. In this role, he manages the strategy and business needs for the managed services solutions provided to asset and wealth management firms. Prior to his current role, LaFemina was a senior relationship manager on the customer success team, where he helped complex asset management clients maximize their investment in SS&C Advent’s suite of products and services. He holds B.S. degrees in marketing and accounting from Syracuse University and an MBA from Babson College.
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.
Jim Lundy is a partner and litigator within the Securities Enforcement & Litigation Practice Group at Foley & Lardner LLP, based in the firm’s Chicago office, where he successfully resolves high-stakes enforcement matters by drawing on deep technical insights and emotional intelligence. He seeks to protect the reputations and stakeholder relationships of his clients under investigation by the SEC and other regulatory bodies, leveraging his experience working in the SEC’s Division of Enforcement for almost a decade. Lundy spent the last several years of his service with the SEC helping lead the Division of Examinations program for the Midwest region.
Joseph M. Mannon is a shareholder and co-chair of the Investment Services Group at Vedder Price. He focuses his practice on legal and compliance matters for investment advisers, mutual funds, closed-end funds, and unregistered vehicles such as hedge funds, hedge fund of funds and other investment entities. He has substantial experience in regulatory and compliance matters affecting investment advisers, including registration and marketing, such as compliance with Global Investment Performance Standards (GIPS), as well as in drafting compliance policies and procedures. Mannon also spends significant time counseling registered and unregistered investment company boards. He earned his B.A. from Michigan State University and his J.D. from Loyola University Chicago School of Law.
Katherine (Katie) M. McGinley serves as the chief compliance officer for Mitchell McLeod Pugh & Williams, where she also provides investment management and consulting services to both individuals and qualified retirement plans. Katie has been engaged in 40 Act compliance since 2004, and previously practiced law in the areas of commercial real estate development and financing. She earned a B.A. from the Williams School of Commerce at Washington and Lee University in 1997 and a J.D. from The University of Alabama School of Law in 2000. McGinley is a member of the State Bar of Georgia and the Alabama State Bar.
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.
Marc Mehrespand is a branch chief in the Chief Counsel’s Office of the SEC’s Division of Investment Management. His office focuses on issues related to the Investment Advisers Act and the Investment Company Act. Prior to joining the SEC, Mehrespand was a partner at K&L Gates LLP and counsel at Wilson Sonsini Goodrich & Rosati. In private practice, he focused on private fund formation and the Investment Advisers Act. Mehrespand holds an M.A. in international affairs and a J.D., both from The George Washington University.
Paul Miller is a partner in Seward & Kissel’s Investment Management Group, located in the firm’s Washington D.C. office. He advises on the full range of matters affecting registered advisers, including their formation, registration with the SEC under the Investment Advisers Act of 1940, participation in managed account and wrap programs, and ongoing regulatory reporting and compliance obligations. He has also authored or co-authored many articles covering issues confronted by registered advisers and their clients. Miller earned a B.S. from University of North Carolina at Chapel Hill, Kenan – Flagler Business School, and a J.D., cum laude, from Syracuse University College of Law.
Larry Nakamura, IACCP®, is vice president and chief compliance officer of CI Private Wealth and head of US Wealth Compliance for CI Financial, responsible for overseeing the compliance programs of 25 business units and six affiliated registrants. He has more than 25 years of experience in the financial services industry, with positions including chief compliance officer, director of client services, and executive regulatory consultant with National Regulatory Services. He co-founded Nexa Technologies, Inc., where he helped design 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.
Kimberly H. Novotny is senior associate general counsel with Franklin Templeton. She handles legal matters relating to the firm’s U.S. retirement business, collective investment trusts and high net worth business. From 2006 to 2019, Ms. Novotny provided legal support for the Templeton mutual funds and institutional separate accounts and oversaw Franklin Templeton’s proxy voting team. Prior to joining Franklin Templeton in 2006, Novotny was a partner in the investment management practice of Bell, Boyd & Lloyd. She received a J.D., with honors, 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.
Erik Olsen is chief compliance officer at Vident Investment Advisory, LLC and Vident Advisory, LLC. Prior to joining Vident, he served as a managing director at ACA Group as the head of registered investment company compliance. Prior to ACA, Olsen was a compliance director at Legg Mason, where he headed the firm’s Global Compliance Examinations team. Before Legg Mason, he served as a securities compliance examiner in the SEC’s Office of Compliance Inspections and Examinations (Investment Adviser/Investment Company). Prior to the SEC, Olsen worked in the Mutual Funds Legal and Accounting Departments of Deutsche Asset Management. He earned his B.B.A. degree in Finance from Loyola College (now Loyola University Maryland).
Dabney O’Riordan is a partner at Quinn Emanuel Urquhart & Sullivan, where she focuses on securities-related government inquiries and litigation. A 17-year SEC veteran, she was the longest-serving leader of the Asset Management Unit. In addition to overseeing investigations, O’Riordan worked on various initiatives, task forces, and SEC rules including the Share Class Selection Disclosure Initiative, the Climate and ESG Task Force, the Interpretation Regarding Standard of Conduct for Investment Advisers, the Marketing Rule, the Proposed Private Fund Adviser Rule, and the Proposed ESG Disclosure Rule for Investment Advisers and Investment Companies. She received her B.S in environmental science, magna cum laude, from Wellesley College and her J.D. from the University of California, Los Angeles.
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. Patel counsels some of the largest, most sophisticated asset management firms on issues related to the registration, structure, and operations of their advisory businesses and navigating complex SEC examinations and enforcement investigations. 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 a key adviser on private fund-related projects and priorities.
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. He has extensive experience structuring, forming, and reorganizing registered funds and hedge funds; preparing and negotiating fund documents and agreements; and assisting with adviser and fund mergers, acquisitions, and adoptions. Perlow has counseled fund sponsors and investors on regulatory aspects of and issues posed by alternative funds, derivatives, short selling, market structure, and exchange-traded funds. He also advises investment adviser and fund sponsors on fintech matters, including marketplace lending and online investment advice. He also has considerable experience with SEC rule-making, submissions, enforcement, examinations, and compliance activity.
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 and frequently writes and speaks about these matters. Pisarri received her B.A. from St. Lawrence University, summa cum laude, and her J.D. from Cornell Law School, magna cum laude.
Mukya Porter is a principal of CIM Group, serving as chief Compliance officer of the company and two affiliated companies, OCV Partners and OFS Capital Management. Prior to joining CIM, Porter served as a senior vice president of compliance at Oaktree Capital Management. Her experience also includes roles at Pacific Investment Management Company as vice president, compliance; ay Morgan Stanley Global Wealth Management as vice president, legal; and at Morgan Stanley Investment Management as vice president, compliance. Porter earned a B.S. degree in Biology from Howard University and a J.D. from the University of California, Berkeley School of Law.
Jacob (Jake) Prudhomme is financial services, advisory at KPMG US, where his practice focuses on financial market structure and technology. He has more than 15 years of experience providing strategic advice to start-ups, fintechs, and Tier 1 financial institutions, including traditional and crypto-native broker-dealers, ATSs, investment advisors, MSBs, and financial data and analytics providers. He has extensive change management experience, including design and implementation of replicable controls and processes across jurisdictions, including EMEA, APAC, and LATAM. A former securities and options principal and SEC senior counsel, Prudhomme has fluency with a multitude of financial products from equities to fixed income to derivatives.
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. 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.
Gwen Reinke is managing director and chief compliance officer of Vista Equity Partners, where she oversees Vista’s global regulatory and compliance functions and provides legal oversight for all internal firm matters. Previously, she worked for Blum Capital Partners, Senator Dianne Feinstein, USL Capital Corp., Schwab; and Deloitte & Touche, LLP. She received a B.A. in Business Economics from the University of California at Los Angeles and a J.D. from University of San Francisco School of Law. Reinke is a member of the State Bar of California and is also a CPA (inactive). She is currently a member of the Board of Governors of the Investment Adviser Association and the board of PowerSchool, a Vista portfolio company.
Aliya Robinson is managing 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.
Sarah Ronnenberg, IACCP®, is compliance director of Horizon Investments, LLC. She has spent more than 20 years in the financial services industry, including as a compliance officer on TIAA’s Operations and Plan Compliance team and 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, for Bear Stearns’ equity research department, and with Vardon Capital Management’s compliance program. She earned a B.A. in English and French from Vanderbilt University, summa cum laude, and an M.A. in Anglo-American Literary Relations from the University College London.
Jyothi San Juan, CPA, CIA, CISA, is a senior manager, compliance for CI 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.
Michael Shoemaker is the chief compliance officer for Kayne Anderson Rudnick Investment Management, LLC in Los Angeles, CA, responsible for ensuring the firm’s activities comply with relevant legal and regulatory requirements by developing, implementing, and maintaining the firm’s compliance program. Shoemaker was previously chief compliance officer for Driehaus Capital Management LLC and Driehaus Mutual Funds, compliance officer for PIMCO, and served in various compliance roles at Driehaus. He earned a B.S. in Business Administration with a major in Accounting from the University of Arizona, an MBA with a concentration in Finance and International Business from DePaul University, and a J.D. from Chicago-Kent College of Law. He is a member of the Illinois bar.
Victor Siclari is a senior vice president at Wilmington Trust, where he supports first-line risk, governance, and compliance for its retirement and institutional custody services business. His decades of experience in investment management, fiduciary, and banking settings include roles at USAA, BNY Mellon, Reed Smith, Federated Hermes, and the SEC’s Investment Management division. Siclari holds an LL.M. in Securities Regulation with distinction from Georgetown University Law Center, a J.D. from the University at Buffalo Law School, and a B.A. from Hofstra University.
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.
Danielle Nicholson Smith is vice president and managing legal counsel for U.S. communications and digital services at T. Rowe Price. She advises on the firm’s advisory services and mutual funds marketing, with a focus on digital marketing and social media. She worked extensively on the implementation of the SEC Marketing Rule and its application to the firm’s advisory communications. Most of her time in the industry has been spent on SEC adviser marketing and FINRA advertising rules regarding communications with the public. She serves on FINRA’s Public Communications Committee and the Advertising Rules Committee of the Investment Company Institute. Smith received her B.A. from Smith College and her J.D. from the University of Maryland King Carey School of Law.
Kevin Spence is a director of compliance at TIAA, overseeing regulatory compliance across individual and wealth management broker-dealer and investment advisory businesses. He oversees areas of compliance such as policy management, regulatory change management, and complaint reporting. Prior to TIAA, Spence spent more than 20 years serving in various compliance leadership roles at both large and small registered investment advisors including Wells Fargo Advisors and HSBC. He obtained his J.D. from the Saint Louis University School of Law and is a member of the D.C. Bar Association. He maintains both the Investment Adviser Certified Compliance Professional® (IACCP®) and the Certified Securities Compliance Professional (CSCP) designations.
Marshall S. Sprung is the global head of compliance at Blackstone. Previously, Sprung was co-chief of the Asset Management Unit of the SEC Division of Enforcement, where he oversaw a nation-wide program of investigations; co-led a team of nearly 80 attorneys, industry experts, and other professionals in all 12 SEC offices; and was responsible for directing the SEC’s asset management-related enforcement efforts. He received his J.D. from New York University School of Law, where he served as executive editor of the New York University Law Review, and his B.A. with honors from Brown University. He currently serves on the board of God’s Love We Deliver.
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 an owner, partner, 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 investment advisory industry 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.
Steven A. Yadegari is the founder and CEO of FiSolve, an outsourced provider of COO, general counsel, and CCO services. Yadegari has more than 20 years of experience in the industry, including senior roles with the SEC, large national law firms, and a leading money management firm. He is director of an Irish UCITS fund complex, a contributor to the SEC’s Asset Management subcommittee for Small Advisers and Funds, an adjunct professor of law at the Cardozo School of Law, and president of the NY Association for Conflict Resolution. He has also trained staff in the SEC’s Enforcement Division and presents at the SEC’s Chief Compliance Outreach programs.
E.J. Yerzak, CISA, CISM, CRISC, is director of cyber IT services at Compliance Solutions Strategies (CSS), a Confluence company. He oversees the team that conducts cybersecurity risk assessments including penetration testing, vulnerability scanning, phishing testing, and dark web monitoring. As a cybersecurity expert, Yerzak has authored numerous articles on emerging technology and regulatory issues and is the author of an award-winning technothriller fiction novel, “Access Point.”
Zephram J. Yowell is a senior vice president and counsel in the legal and compliance department in the Newport Beach office of PIMCO, where he provides legal support primarily on regulatory matters. Yowell joined PIMCO in 2009 as a legal specialist. He has 13 years of legal experience and holds an undergraduate degree and a J.D. from Chapman University. He is a member of the California bar.
Wei Zhao is the chief compliance officer and head of compliance at Fiera Capital Inc., where she manages and develops the firm’s compliance program. She has more than 15 years of experience in the compliance and risk function in assessment management industry, including as the chief compliance officer for Penn Mutual Asset Management, LLC, and Penn Series Funds, Inc.; with Aberdeen Asset Management, where she held positions heading up the investment compliance team and auditing function in the US; and at BlackRock as vice president of the Portfolio Compliance Group. She received a bachelor of economics degree from The Central University of Finance and Economic (Beijing) and MBA from the University of Delaware.