2021 Compliance Conference

Adam S. Aderton is Co-Chief of the SEC Enforcement Division’s Asset Management Unit, a national specialized unit that focuses on misconduct by investment advisers, investment companies, and private funds. Mr. Aderton joined the SEC as an Enforcement staff attorney in 2008 and became an Assistant Director in 2013. Before joining the SEC, Mr. Aderton served as a law clerk to Judge J. Frederick Motz of the U.S. District Court for the District of Maryland and worked in the securities litigation and enforcement practice at Wilmer Cutler Pickering Hale and Dorr LLP. Mr. Aderton received his undergraduate degree from Truman State University and his J.D. from the University of Virginia.

Karen L. Barr is President & CEO of the Investment Adviser Association. Before assuming this role in 2014, she served as the IAA’s General Counsel for 17 years, with responsibility for the wide range of legal and regulatory matters affecting the Association and its members. Prior to joining the IAA, Ms. Barr was in private practice at Wilmer, Cutler & Pickering (now WilmerHale), where she represented clients in securities regulatory matters. Ms. Barr received her B.A. from the University of Pennsylvania and her law degree from the University of Michigan Law School. She is a frequent speaker on investment adviser issues.

Monique S. Botkin is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA in 2004, Ms. Botkin was an associate in the financial services groups at Dechert LLP in Newport Beach, CA and Alston & Bird LLP in Washington, DC. While in private practice, Ms. Botkin represented investment advisers, registered investment companies, private funds, and broker-dealers in corporate, securities and investment management matters. Ms. Botkin also served as an attorney in the SEC’s Division of Investment Management disclosure review office from 2013 to 2014. She earned her B.A. in government and politics from the University of Maryland at College Park and her J.D., cum laude, from Southwestern University School of Law in Los Angeles, where she was an editor of the Law Review.

Sarah Buescher joined the Investment Adviser Association in 2017 as Associate General Counsel. She is responsible for ERISA and pension issues as well as core Investment Advisers Act issues. Before joining the IAA, Ms. Buescher served as a Branch Chief in the Investment Adviser Regulation Office in the SEC’s Division of Investment Management. She also worked in the SEC’s Office of the General Counsel and started her legal career in the SEC’s Division of Investment Management. Between 1999 and 2009, Ms. Buescher worked at Vanguard, first in the Legal Department as Associate Counsel and Senior Counsel, and later as Manager of International Compliance in Vanguard’s Compliance Department. She earned her B.S. in Communication Studies from Northwestern University and her J.D. from the University of Notre Dame Law School.

Ari Burstein is President of Capital Markets Strategies, representing financial services firms, including investment advisers, hedge funds, private equity firms, broker-dealers, securities exchanges and trade associations before regulators and policymakers, in the U.S. and globally. He is also the co-founder of the ETFs Global Markets Roundtable, a global conference series focusing on ETFs and their impact on trading, market structure and the capital markets in general. Prior to starting Capital Markets Strategies, Mr. Burstein was Head of US Regulatory Affairs for Kreab, a leading global consulting firm. He also was Senior Counsel for capital markets issues for the Investment Company Institute (ICI) and ICI Global, the global trade associations for the regulated fund industry. Prior to joining ICI, Mr. Burstein was an attorney in the U.S. Securities and Exchange Commission’s Division of Investment Management from 1997 to 1998 and the Division of Market Regulation from 1992 to 1997.

Keith E. Cassidy is Associate Director, Technology Controls Program, in the SEC’s Division of Examinations. Mr. Cassidy began his career at the SEC as an Attorney Advisor in the Office of Legislative and Intergovernmental Affairs in 2010 before being promoted to Deputy Director in 2011 and Director of the office in 2016. In addition to his position at the SEC, Mr. Cassidy is an Infantry Officer in the United States Marine Corps Reserve. He currently serves as Operations Liaison Officer for B Company, 4th Reconnaissance Battalion and has earned numerous awards. Mr. Cassidy previously worked as Chief of Staff and Counsel at the Department of Justice’s Office of Legislative Affairs, and as a legislative assistant in the United States Senate. Mr. Cassidy received his J.D. from the George Washington University Law School and his LL.M. in Securities and Financial Regulation from Georgetown Law Center, with distinction. He received his B.A. from the University of Virginia.

Sara Crovitz is a partner with Stradley Ronon where she provides counsel on all aspects of investment company and investment adviser regulation. Prior to joining the firm, Ms. Crovitz was Deputy Chief Counsel and Associate Director of the U.S. Securities and Exchange Commission’s Division of Investment Management, and worked at the SEC for 21 years, including 17 years in the Division of Investment Management. While in the Division, Ms. Crovitz supervised the provision of significant legal guidance to the investment management industry through no-action and interpretive letters, exemptive applications, IM guidance updates and other written and oral means. She received her B.A. from the University of Chicago and her J.D. from the University of Chicago Law School.

Michael S. Didiuk is a Partner in Perkins Coie’s Investment Management practice. With over 18 years of experience at the U.S. Securities and Exchange Commission and in private practice, Mr. Didiuk represents asset managers on all aspects of the federal securities laws, with a particular in-depth knowledge on the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Mr. Didiuk is also a core member of the firm’s Blockchain industry group and helps startups, including fintech, blockchain, and cryptocurrency clients, navigate the federal securities laws and complex regulatory issues raised by fintech companies and blockchain technology in connection with the emergence of digital asset sales and digital securities. Prior to joining Perkins Coie, Mr. Didiuk worked in various roles at the SEC, including as senior counsel in the Office of Chief Counsel for the Division of Investment Management and as investment management counsel to two SEC commissioners at the SEC’s headquarters in Washington, DC. Most recently, Mr. Didiuk worked in the Office of Compliance Inspections and Examinations in the SEC’s San Francisco office, where he led examinations of registered investment advisers, robo-advisers, exempt reporting advisers, hedge funds, crypto asset funds, private equity funds, and venture capital funds. As a member of the SEC’s fintech working groups, including one of the original members of the Distributed Ledger Technology Working Group, Mr. Didiuk contributed to the SEC’s work on blockchain and robo-advisers.

Carlo di Florio is the Global Chief Services Officer of ACA Compliance Group. At ACA, Mr. di Florio is responsible for defining and executing the vision for ACA’s governance, risk, and compliance (“GRC”) service offerings. His responsibilities include oversight, management, and strategic growth of ACA’s global regulatory compliance, cybersecurity and risk, AML and financial crimes, and performance practices. Prior to joining ACA, Mr. di Florio worked for over 25 years in executive leadership roles at PricewaterhouseCoopers (PwC), where he was a Partner in the Financial Services Risk & Regulatory Practice; the Securities and Exchange Commission (SEC), where he was the Director of the Office of Compliance Inspections and Examinations (OCIE); and the Financial Industry Regulatory Authority (FINRA), where he was the Chief Risk & Strategy Officer. In these roles, Mr. di Florio led the design and implementation of large-scale regulatory compliance improvements, technology and data analytics transformations, and risk management program enhancements. Mr. di Florio also serves as Co-President and Governor of the Risk Management Association (RMA) NY Chapter and as Adjunct Professor at Columbia University, Master of Science program in Enterprise Risk Management. Mr. di Florio has been named one of the 100 Most Influential Leaders in Corporate Governance by the Association of Corporate Directors; one of the Top Trailblazers & Pioneers in Governance, Risk & Compliance by The National Law Journal; and one of the Most Influential People in Finance by Worth Magazine.

Anthony Eames is a Vice President and Director of Responsible Investment Strategy for Calvert Research and Management, a wholly-owned subsidiary of Eaton Vance Management specializing in responsible and sustainable investing across global capital markets. He is responsible for the suite of strategies focused on responsible investing, encompassing actively and passively managed U.S. and international equity strategies, fixed-income strategies and asset allocation funds. Mr. Eames is responsible for client communications and insights on investment strategy and portfolio positioning. Mr. Eames began his career in the investment management industry in 1995 with Calvert Investment Management. Over the years, he held various roles including senior vice president and national sales manager, ultimately leading Calvert’s business development and client service efforts ahead of Eaton Vance’s acquisition of Calvert’s business assets. He has been affiliated with the Eaton Vance organization since 2016. Mr. Eames is a director of US SIF: The Forum for Sustainable and Responsible investment, the leading industry voice advancing sustainable investing across all asset classes. He is also a director of the Calvert Institute for Responsible Investing, which seeks to understand how investors can address major global challenges to drive positive impact. Mr. Eames earned a B.A. from Wittenberg University. He holds the Accredited Investment Fiduciary and Accredited Asset Management Specialist designations, and FINRA Series 7, 24 and 63 licenses.

Kevin Ehrlich is the Chief Compliance Officer and Manager of Regulatory Affairs for Western Asset Management Company, an investment adviser primarily focused on managing fixed-income strategies. Western Asset has nine offices around the globe and experience across the range of fixed-income sectors. Mr. Ehrlich has been with Western Asset since 2004. Prior to Western Asset, Mr. Ehrlich worked with Legg Mason, Inc. (Western Asset’s parent company) and the Division of Trading and Markets (formerly Market Regulation) at the U.S. Securities and Exchange Commission.

Lee Faria is vice president of asset management compliance and the chief compliance officer for Columbia Management Investment Advisers, LLC (CMIA). Ms. Faria manages a group of employees who are responsible for investment guideline monitoring and trading surveillance as well as a group of employees responsible for compliance with the code of ethics/personal trading, and administering certain other fiduciary-related policies. She has significant expertise in investment adviser regulatory matters. Ms. Faria has over 30 years of industry experience, of which 25 are in a legal or compliance capacity. Ms. Faria joined one of the legacy firms of Ameriprise in 2005. Previously, she worked for Deutsche Asset Management (formerly Scudder Kemper). She also worked as an in-house counsel at both Fidelity Investments and Mellon Bank. Ms. Faria received her B.A. from Wellesley College and J.D., cum laude, from Suffolk University Law School. She is a member of the Massachusetts Bar Association.

Alexander C. Gavis is Senior Vice President and Deputy General Counsel in the Corporate Legal Department of FMR LLC, the parent company of Fidelity Investments, one of the largest brokerage and mutual fund companies in the United States and the leading provider of workplace retirement savings plans. He manages a team of attorneys and professionals responsible for providing legal services to the firm’s retail brokerage, stock plan and workplace retirement businesses. He also oversees legal services for Fidelity’s businesses involved in digital communications and commerce, including social media. Mr. Gavis provides legal advice on all of Fidelity’s national advertising and marketing initiatives. Prior to joining Fidelity in 1997, Mr. Gavis served as Assistant Counsel at the Investment Company Institute and as Senior Counsel in the Office of General Counsel at the U.S. Securities and Exchange Commission, both in Washington, DC. He also served as a judicial law clerk for The Honorable William T. Allen, Chancellor of the Court of Chancery for the State of Delaware. He has worked in investment banking in New York at Salomon Brothers Inc, handling mergers and acquisitions. Mr. Gavis received his J.D., cum laude, from the University of Pennsylvania Law School, where he served as Editor-in-Chief of the University of Pennsylvania Law Review, and his bachelor’s degree, with High Honors and Phi Beta Kappa, from Swarthmore College. As an adjunct professor at Suffolk University Law School, he teaches the class “Designing Thinking for Lawyers and Business Professionals” and has taught at the Stanford University Design and Law Schools and at Harvard Law School. He also holds a patent in the area of blockchain technologies. Mr. Gavis currently serves on FINRA’s FinTech Industry Committee and as chair of the Public Communications Committee, and as a past member of the E-Brokerage (chair) and Membership Committees and the Social Media (chair) and New Account Form Task Forces. He serves as vice chair of the IAA’s Technology Innovation Committee.

Daniel Goelzer, a retired partner in the law firm of Baker McKenzie, is a member of the Sustainability Accounting Standards Board and advises a Big Four accounting firm on audit quality issues. He prepares a bi-monthly newsletter, Audit Committee and Auditor Oversight Update, which focuses on regulatory issues affecting audit committees. From 2002 to 2012, Mr. Goelzer was a member of the Public Company Accounting Oversight Board and served as Acting PCAOB Chair from August 2009 through January 2011. From 1983 to 1990, he was General Counsel of the Securities and Exchange Commission. Mr. Goelzer is a CPA and a lawyer.

Jon K. Hadfield serves as Chief Compliance Officer for Vanguard Global Advisers, LLC and Head of Fund and Adviser Compliance for Vanguard. He is responsible for all aspects of compliance with respect to the management of Vanguard’s U.S. mutual funds and ETFs, as well as the provision of investment advice to certain non-U.S. funds, ETFs, and separately managed accounts. Prior to joining Vanguard, Mr. Hadfield was an Assistant Vice President at USAA Investments where he led the legal team that provided advice on the manufacturing and distribution of investment products, including mutual funds, ETFs, brokerage, investment advisory services, and related product lines. He is a former adjunct faculty member at St. Mary’s University School of Law where he taught a course on securities law. Prior to USAA, Mr. Hadfield served as an Associate at the Washington, DC offices of both Allen & Overy and Eversheds Sutherland. Mr. Hadfield received an LL.M. in Securities and Financial Regulation from Georgetown University Law Center, a J.D. from the University of Baltimore School of Law, and a B.A. in English from the University of Lynchburg. He is admitted to the Maryland and District of Colombia Bars.

Christopher Hayes is the Chief Compliance Officer and Principal at 1919 Investment Counsel and a member of the firm’s operating committee. As Chief Compliance Officer, his primary responsibility is to oversee the firm’s compliance with the federal securities law and coordinate all interactions with regulators, most commonly the Securities and Exchange Commission. Previously, Mr. Hayes was an attorney at The Boston Company Asset Management (an equity focused boutique that was an affiliate of Mellon Bank); Senior Legal Counsel of T. Rowe Price Associates as part of the global advisory group; and held a dual position as Assistant General Counsel of Interactive Brokers and Managing Director of Greenwich Advisor Services. Mr. Hayes holds a B.S. from Salem State University and a J.D. from New England Law. He is a member of the Massachusetts Bar.

Michelle L. Jacko, CSCP, is the Managing Partner and CEO of Jacko Law Group, PC, which offers corporate and securities legal services to broker-dealers, investment advisers, investment companies, hedge/private funds and financial professionals. In addition, Ms. Jacko is the Founder and CEO of Core Compliance & Legal Services, Inc., a compliance consultation firm. Ms. Jacko specializes in investment adviser, broker-dealer and fund regulatory compliance matters, internal control development, regulatory examinations, transition services and operational risk management. Her consultation practice is focused on the areas of regulatory exams and formal inquiries, mergers and acquisitions, annual reviews, policies and procedures development, testing of compliance programs (including evaluation of internal controls and supervision), mock exams, senior client issues, cybersecurity, Regulation S-P and much more. Ms. Jacko received her J.D. from St. Mary’s University School of Law and B.A. from the University of San Diego. She holds NSCP’s Certified Securities Compliance Professional (CSCP) designation and is a member of the National Association of Women Lawyers.

Brian McLaughlin Johnson is an Assistant Director in the Rulemaking Office in the SEC’s Division of Investment Management. Mr. Johnson heads the Division’s Investment Company Regulation Office, which is responsible for rulemaking activities under the Investment Company Act in the Division and provides advice on policy initiatives affecting the asset management industry. Before joining the SEC in 2010, Mr. Johnson was an associate at the Washington, DC offices of K&L Gates and WilmerHale. Mr. Johnson received his B.A. from the University of Delaware and his J.D. from the George Mason University School of Law.

Michelle Kirschner is an English law partner in the London office of Gibson, Dunn & Crutcher. She advises a broad range of financial institutions, including investment managers, integrated investment banks, corporate finance boutiques, private fund managers and private wealth managers at the most senior level. Ms. Kirschner has a particular expertise in fintech businesses, having advised a number of fintech firms on regulatory perimeter issues. Ms. Kirschner works closely with the Corporate team on financial services capital markets and M&A deals, in particular on investments by funds into regulated firms and related prudential issues. Ms. Kirschner has extensive experience in advising clients on areas such as systems and controls, market abuse, conduct of business and regulatory change management, including MiFID II, MAR and Senior Managers & Certification Regime. Following the EU referendum, she has spent considerable time advising regulated clients in relation to their options for conducting business in/into the EU following Brexit. Ms. Kirschner has particular experience in contentious regulatory matters, including acting as a section 166 skilled person under the Financial Services and Markets Act. She has also conducted internal investigations, in particular reviews of corporate governance and systems and controls in the context of EU and UK regulatory requirements and expectations. Ms. Kirschner has been recognised by The Legal 500 UK 2021 for Regulatory Investigations and Corporate Crime.

Sanjay Lamba is Associate General Counsel at the Investment Adviser Association. Prior to joining the IAA, Mr. Lamba worked at SEC headquarters for 10 years, beginning his service in the rulemaking office of the Division of Investment Management before transferring to the Office of Chief Counsel (Legal Branch) in the Office of Compliance Inspections and Examinations in 2010. Prior to the SEC, he was in private practice advising registered investment adviser and mutual fund clients on a wide range of matters arising under the federal securities laws. He received his B.S. degree in Finance from George Mason University in 1994 and his law degree from Boston University in 1997.

Julius Leiman-Carbia is Chief Legal Officer & Chief Compliance Officer of Wealthfront Inc. and has over 30 years of experience in the securities industry. Earlier in his career, he was appointed Associate Director in the SEC’s Office of Compliance Inspections and Examinations overseeing a staff of approximately 300 lawyers, accountants and examiners responsible for the inspections of U.S. broker-dealers and combined broker-dealer/advisers. Mr. Leiman-Carbia previously worked at the SEC from 1989 to 1994 as a counsel in the SEC’s then-Division of Market Regulation, specifically in its Office of Capital Markets. Among his professional experiences outside the SEC, Mr. Leiman-Carbia served as Chief Compliance Officer and Global Head of Sanctions Compliance at MUFG/Union Bank, Chief Compliance Officer at JP Morgan Securities, Managing Director of the Capital Markets and Banking Compliance Department at Citigroup Global Markets and Head of Equities Compliance at Goldman Sachs. Mr. Leiman-Carbia is a graduate of the University of Pennsylvania Carey Law School, a member of the New York and DC bars and a Registered In-House Counsel in the State of California.

Tess Macapinlac is a Privacy Associate at OneTrust, where she provides guidance on global regulations and standards and works in platform content development. Prior to OneTrust, Ms. Macapinlac interned at the Network Advertising Initiative and the Berkman Klein Center for Internet and Society. She earned her J.D. from the George Washington University Law School. She holds CIPP/E and CIPM certifications.

Michael W. McGrath, CFA is a partner in the Boston office of K&L Gates LLP. He is a member of the firm’s Investment Management, Hedge Funds, and Alternative Investments practice group. Mr. McGrath practices in the areas of investment management, securities, and commodities law. He focuses on counseling institutional investment firms, private fund managers, and broker-dealers in connection with regulatory aspects of their U.S. and global operations. Mr. McGrath also advises clients with respect to U.S. and global regulation of swaps and other derivatives, and assists with the development of various alternative investment strategies. Prior to joining K&L Gates, Mr. McGrath was a Vice President and Senior Counsel with Allianz Global Investors. He received a law degree from Duke University and an A.B. from Stanford University.

A. Valerie Mirko is a Partner in Baker McKenzie’s Financial Regulation and Enforcement Practice in North America. Ms. Mirko’s practice includes a wide range of regulatory, enforcement and strategic policy matters for investment management clients. Ms. Mirko regularly advises broker-dealers and investment advisers regarding federal and state securities laws and regulations, including FINRA rules, and counsels clients during all aspects of broker-dealer and investment adviser regulatory examinations and enforcement investigations. Ms. Mirko is pragmatic, drawing from her in-house and public sector experience to assess regulatory and enforcement risk within the context of federal and state regulators’ policy goals. Ms. Mirko previously served as General Counsel of the North American Securities Administrators Association (NASAA) where she advised the NASAA Board on developments in the federal securities laws and their impact on state securities regulation, contributed to federal-state regulatory coordination and collaborated on regulatory initiatives relating to data privacy, Fintech and Regtech. Earlier in her career, Ms. Mirko held legal and compliance roles at BofA Merrill Lynch and Oppenheimer and Co., Inc. and was an associate at a Washington, DC law firm. She is a graduate of Wellesley College and George Washington University Law School.

Michael Muirhead, Jr. is senior director, learning and development for Fi360, a Broadridge Company. In this role, he is responsible for leading the strategy, design, development and delivery of Fi360’s designation and training solutions. Mr. Muirhead approaches learning and development from the perspective of an industry professional who has successfully worked with plan sponsors, financial advisors, consultants and plan providers for more than 20 years. Before joining Fi360, he was a financial advisor and large market institutional sales manager for Merrill Lynch, where he gained a wealth of experience in consulting, sales, marketing and relationship management. Mr. Muirhead received a B.S. in business administration with a concentration in Finance from the Wayne State University. He also holds the Accredited Investment Fiduciary® (AIF) and Professional Plan Consultant® (PPC) designations.

Kirk Nahra is a partner with WilmerHale in Washington, DC, where he specializes in privacy and information security litigation and counseling, along with a variety of health care and compliance issues. He is co-chair of the firm’s Cybersecurity and Privacy Practice and Co-Chair of the Big Data Practice. He assists companies in a wide range of industries in analyzing and implementing the requirements of privacy and security laws across the country and internationally. He provides advice on data breaches, enforcement actions, contract negotiations, business strategy, research and de-identification issues and privacy, data security and cybersecurity compliance. He advises companies in virtually all industries, ranging from Fortune 500 companies to start-ups. He teaches privacy and data security issues at several law schools, including serving as an adjunct professor at the Washington College of Law at American University and at Case Western Reserve University. In addition, he currently serves as a fellow with the Cordell Institute for Policy in Medicine & Law at Washington University in St. Louis and as a fellow with the Institute for Critical Infrastructure Technology. Mr. Nahra received his law degree from Harvard Law School and his undergraduate degree from Georgetown University.

Naseem Nixon is Vice President and Associate Counsel at Capital Group, where she has responsibilities within the firm’s regulatory policy, retail and institutional client services, and fund governance efforts. Prior to joining Capital Group, Ms. Nixon served in the Division of Investment Management for several years, most recently as Senior Policy Advisor to the Director. She also practiced as an associate with Eversheds Sutherland in Washington, D.C. Ms. Nixon received her J.D. from Brigham Young University J. Reuben Clark Law School and her bachelor’s degree in Public Policy Studies from Duke University.

Eric C. Oppenheim is General Counsel and Chief Compliance Officer of Telemus Capital, LLC. He is responsible for all legal and regulatory compliance and administrative matters for the firm’s investment manage­ment, wealth advisory, family office services and insurance business­es. He is also a director of Mi Bank and chair of its Audit Committee. Prior to joining Telemus Capital, Mr. Oppenheim was with TIAA-CREF where he headed the Asset Management and Trust Compliance Group and was later appointed Acting Chief Compliance Officer of TIAA-CREF’s mutual fund complex. Previously, he was with Comerica Incorporated, a major regional financial services company. Mr. Oppenheim is a member of the State Bar of Michigan and the Bar of the U.S. Supreme Court. He received a B.A. degree in Political Science from the University of Michigan and a J.D. degree from Wayne State University Law School.

Alpa Patel is a partner in the Investment Funds Group of Kirkland & Ellis LLP. Prior to joining Kirkland, she served as Branch Chief of the Private Funds Branch of the Investment Adviser Regulation Office in the SEC’s Division of Investment Management. In this role, Ms. Patel was the key adviser on all private fund-related projects and priorities. For example, she was the lead counsel implementing private fund adviser reporting on Form PF and the rules related to private fund adviser registration. She also advised the Division of Corporation Finance on regulations related to the offering requirements of private funds, including general solicitation and bad actor rules. Ms. Patel also routinely advised the agency’s Office of Compliance Inspection and Examinations (OCIE) regarding the application of Advisers Act rules and other Federal securities regulations to investment advisers, particularly with respect to the nuances associated with private fund advisers. Prior to joining the SEC, Ms. Patel was in private practice where she advised clients on the structuring, formation, and private offering requirements of onshore and offshore private funds, as well as provided counsel to investment advisers in regulatory, compliance, and corporate matters.

Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018. Prior to joining the SEC, Commissioner Peirce conducted research on the regulation of financial markets at the Mercatus Center at George Mason University. She was a Senior Counsel on the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where she advised Ranking Member Richard Shelby and other members of the Committee on securities issues. Commissioner Peirce served as counsel to SEC Commissioner Paul S. Atkins. She also worked as a Staff Attorney in the SEC’s Division of Investment Management. Commissioner Peirce was an associate at Wilmer, Cutler & Pickering (now WilmerHale) and clerked for Judge Roger Andewelt on the Court of Federal Claims. Commissioner Peirce earned her bachelor’s degree in Economics from Case Western Reserve University and her JD from Yale Law School.

Steve Perazzoli is a Partner in PwC’s Asset & Wealth Management Group and has over 20 years of diverse experiences servicing a global and multi-disciplinary client base across the financial services industry. He has experience providing audit and advisory services to clients in the asset management industry and trustees for employee benefit and welfare plans. Mr. Perazzoli is focused on relevance as a business advisor in a rapidly changing global business and regulatory landscape and has a demonstrated track record in delivering value while managing relationships. He is a recognized resource on fair valuation topics and is a leading specialist on investment performance reporting.

Mari-Anne Pisarri is a partner with Pickard Djinis & Pisarri LLP. She specializes in regulatory issues pertaining to investment advisers (including asset managers, research services and proxy advisory firms), NRSROs (registered credit rating agencies) and service providers to the securities industry. In this regard, she advises clients on federal and state securities laws and rules, and related ERISA matters; processes registrations for financial market participants; designs compliance programs and assists with both internal compliance reviews and SEC compliance examinations; advances clients’ interests before regulatory and policy making bodies; and represents regulated entities in disciplinary proceedings. In addition, she speaks and writes extensively on securities regulatory issues. Ms. Pisarri received her B.A., summa cum laude, from St. Lawrence University, and her J.D., magna cum laude, from Cornell University.

Lori Renzulli is Chief Compliance Officer, Counsel, and a Partner of Harding Loevner LP, a global asset manager based in Bridgewater, New Jersey. Her responsibilities include overseeing the day-to-day management of the firm’s compliance program. Prior to joining Harding Loevner in 2006, Ms. Renzulli spent 17 years with subsidiaries of MetLife and Citigroup in various compliance and legal roles. She has also been a speaker at the SEC’s National CCOutreach conference and several IAA Compliance Conferences. Ms. Renzulli has a J.D. from Seton Hall University School of Law and a B.A. in Psychology from Douglass College, Rutgers University.

Igor Rozenblit is the Co-Head of the SEC’s Private Funds Unit. The Private Funds Unit is part of the Division of Examinations and is responsible for developing expertise in and conducting examinations of advisers to private funds. Before joining the Private Funds Unit, Mr. Rozenblit was a private funds expert in the Division of Enforcement’s Asset Management Unit. Prior to joining the SEC, Mr. Rozenblit managed the North American funds portfolio for a large European asset manager and worked at several private equity advisers. Mr. Rozenblit received his M.B.A. from the University of Chicago’s Booth School of Business and a Bachelor of Science degree from the University of Michigan.

Melissa Schiffman is a Compliance Manager and Vice President at J.P. Morgan Asset Management. In her role, she leads Compliance coverage for the managed account and advisory and core beta solutions businesses in the U.S. Prior to joining J.P. Morgan, Ms. Schiffman was a manager at Eagle Strategies LLC, a registered investment adviser of New York Life Insurance Company, where she had responsibility for investment adviser policies, Form ADV disclosures, the Code of Ethics and personal trading program, compliance training, as well as certain advisory account, best execution and social media surveillance activities. Ms. Schiffman received her B.S. summa cum laude from the Macaulay Honors College at Brooklyn College, CUNY, and holds a FINRA Series 7 license.

Linda Shirkey is a Managing Director of the Bates Compliance team based in Houston, TX.  As President and founder of The Advisor’s Resource, Inc., she has provided compliance expertise to Registered Investment Advisers for over 20 years. A former institutional stock broker covering money managers and major corporations, Ms. Shirkey was with Charles Schwab & Co., Inc., for 10 years. Prior to her position with Charles Schwab, Ms. Shirkey worked in banking and legal services in product development, marketing and corporate finance. A magna cum laude graduate of Case Western Reserve University in Cleveland, Ohio, Ms. Shirkey is a former Board member of the National Society of Compliance Professionals (“NSCP”) and currently serves on their Strategic Planning Committee. She also holds a leadership role with the Houston Compliance Roundtable and is a member of the DFW Compliance Roundtable. She is often invited to speak as an expert in applying current compliance requirements effectively and efficiently, and she has led workshops and seminars for the NSCP Regional and National Meetings, IA Watch, and the Investment Adviser Association.

Neil A. Simon is Vice President for Government Relations for the Investment Adviser Association. He has a leading role in the formulation and communication of IAA’s views on legislative and regulatory issues important to the investment advisory profession and is responsible for advocacy before the U.S. Congress. Before joining the IAA, he was Director of Government Relations for the Financial Planning Association. From 1998 to 2003, he served as executive director of the National Franchise Council where he led an innovative public-private compliance partnership between national franchisors and U.S. Federal Trade Commission. Prior to that, he was counsel in the law firm of Hogan & Hartson LLP (now known as Hogan Lovells). Mr. Simon received his B.A. magna cum laude in government and international relations from Clark University. He received his J.D. from Georgetown University, and is a member of Phi Beta Kappa.

Tracy Soehle joined Affiliated Managers Group, Inc. in 2007 and currently serves as Senior Vice President and Senior Counsel. She is responsible for overseeing AMG’s regulatory affairs and legal and compliance support of the company’s global operations and its Affiliates. Prior to joining AMG, Ms. Soehle was a senior compliance manager at State Street Global Advisors, and was previously regulatory compliance manager at Wellington Management Company LLP, and an attorney at the law firm Dechert LLP. Ms. Soehle received a B.S. from Boston College and a J.D. from Tulane University Law School.

Alexandria Stuart is Vice President, Head of Compliance & Senior Counsel, Private Equity at Vista Equity Partners. Ms. Stuart is responsible for compliance and regulatory matters for Vista’s private equity strategy and Vista’s consulting firm, Vista Consulting Group. Prior to joining Vista, Ms. Stuart was an associate in the litigation group of Ropes & Gray in its New York and San Francisco offices. While at Ropes & Gray, Ms. Stuart’s practice focused on representing clients in government investigations and enforcement actions. Prior to joining Ropes & Gray, Ms. Stuart served as an Assistant Attorney General in the Charities Bureau of the New York State Office of the Attorney General where she investigated and prosecuted fraud and abuse involving not-for-profit corporations. Ms. Stuart received a B.S. in Mass Communication from Boston University and her J.D. from The George Washington University Law School. Ms. Stuart is a member of the State Bars of New York and California.

John E. (“Jack”) Thomas, Jr. is a Senior Vice President and Audit Director with PNC. He currently has responsibility for coordinating the audit coverage of the Asset Management Group. Mr. Thomas received his B.A. in Accounting from Grove City College and has over 30 years of experience in the investment management industry. Mr. Thomas held various Audit, Risk and Compliance roles in the legacy companies of BNY Mellon, including Chief Risk & Compliance Officer of Mellon Institutional Asset Management. He also served as an Audit Manager with the financial services practice of Ernst & Young LLP. Mr. Thomas is actively involved in the Investment Adviser Association as chair of the Audit Directors Working Group and as a member of the Legal & Regulatory Committee. Mr. Thomas is a Certified Public Accountant and holds several professional designations, including Certified Financial Services Auditor, Certified Internal Auditor, Certified Trust Auditor and Chartered Global Management Accountant. He maintains membership in the American Institute of Certified Public Accountants, Fiduciary & Investment Risk Management Association, Institute of Internal Auditors and Pennsylvania Institute of Certified Public Accountants.

Bob Toner is Chief Legal Counsel of William Blair’s Investment Management division. He has over 20 years of legal experience in the investment management industry. Prior to joining the firm in 2015, Mr. Toner was a Managing Director and Counsel at Wellington Management & Company LLP for nearly eleven years. At Wellington, he provided legal and regulatory guidance on investment adviser, investment company and broker-dealer matters. Before his time with Wellington, Mr. Toner spent five years at Eaton Vance Management where he provided legal and regulatory guidance on investment adviser, investment company and broker-dealer matters. He also served as sole counsel for the firm’s international funds, collateralized debt and charitable giving products. Earlier in his career, Mr. Toner worked at Putnam Investments and the law firm of Goodwin Procter each for two years. At those firms, he advised clients on a broad range of mutual fund and other legal and regulatory matters.

Kurt Wachholz has been in the financial services industry for almost three decades. As an executive consultant, Mr. Wachholz counsels firms on code of ethics and compliance program administration. As director of education, Mr. Wachholz oversees the design and operation of two compliance professional development programs: the Investment Adviser Core Compliance certificate program and the Investment Adviser Certified Compliance Professional^® designation. Both professional development programs are co-sponsored with the Investment Adviser Association. Mr. Wachholz has served on several industry organizations, including the National Society of Compliance Professionals, in various capacities through the years. He has developed and taught “Ethics in Leadership”, an MBA program module for the Goizueta Business School at Emory University. He has developed and taught “Regulatory Jeopardy”, an elective course for the Securities Industry Institute^® in partnership with SIFMA and the Wharton School at the University of Pennsylvania. He is a contributing author and member of the editorial board for Modern Compliance: Best Practices in Securities and Finance and an editorial board member for the Journal of Financial Compliance. Mr. Wachholz earned his BA from the University of Wisconsin and his Investment Adviser Certified Compliance Professional designation from the Center for Compliance Professionals. Mr. Wachholz has also been a CTO, COO, CCO, OSJ/registered principal, investment adviser representative, and licensed insurance agent.

David Wong is the Chief Financial Officer and Chief Compliance Officer of Private Wealth Partners with responsibility for all the financial and operational affairs of the firm. Prior to joining Private Wealth Partners, Mr. Wong was the Corporate Controller at H&Q Asia Pacific, a private equity firm based in Palo Alto, CA. He is a UK Chartered Accountant and started his professional career with Ernst & Young in London, UK followed by PricewaterhouseCoopers in Hong Kong. In 1983 Mr. Wong left the accounting profession and helped start Global Asset Management (GAM) in Hong Kong, a private client money manager as their Finance Director. Since then he has held senior executive positions in finance and operations with a number of international money management firms such as Royal Trust of Canada, Credit Lyonnais and Nicholas Applegate over a 20 year period. In other work, Mr. Wong has served as an independent director of a NASDAQ quoted company and taught accounting to MBA students at HULT University in San Francisco. Mr. Wong holds a B.A. in Economics and Geography from the University of Leeds in England.

Rana J. Wright serves a Partner, Chief Administrative Officer, and General Counsel of Harris Associates, where she is responsible for managing the legal, compliance, human resources, risk and regulatory functions of Harris Associates globally. She is also the Principal Executive Officer and President of the Oakmark Funds. Prior to Harris, Ms. Wright served as associate general counsel and managing director at Bank of America, where she was the chief legal officer for BofA Global Capital Management, the asset management affiliate of Bank of America and chief counsel overseeing Merrill Lynch’s distribution of registered investment products. Ms. Wright led the team that was responsible for providing counsel, both strategic and legal, to business partners in the product, sales and marketing functions. She began her career at the global law firm Reed Smith LLP, where she represented mutual funds, broker-dealers and investment advisors, counseling them on a panoply of regulatory, strategic and transactional issues. While at Reed Smith, Ms. Wright was the vice-chair of the firm’s Global Diversity and Inclusion initiative. She earned a B.A. from the University of Pittsburgh and a J.D. from Duquesne University School of Law.