2022 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 involving investment advisers, investment companies, and private funds. Aderton joined the SEC as an Enforcement staff attorney in 2008 and became an Assistant Director in 2013. Before joining the SEC, he served as a law clerk to Judge J. Frederick Motz of the U.S. District Court for the District of Maryland and worked in the securities litigation and enforcement practice at Wilmer Cutler Pickering Hale and Dorr LLP. He received his undergraduate degree from Truman State University and his J.D. from the University of Virginia.

Pete Baldwin is a Partner at Faegre Drinker. He draws on his experience as a former federal prosecutor to counsel clients facing data privacy and cybersecurity issues and government investigations. Baldwin offers valuable insight before, during, and after cybersecurity incidents, and he assists clients in the areas of forensic analysis, breach remediation, victim notification, and responding to inquiries by regulators and law enforcement agencies. He also helps clients to determine whether and when it is appropriate to contact law enforcement and regulatory authorities, and he has helped clients develop valuable relationships and contacts with government agencies. Baldwin also advises businesses, executives, and boards on responding to other types of government inquiries and investigations.

Karen L. Barr became President & CEO of the IAA in 2014, after serving as the IAA’s General Counsel for 17 years. Under her leadership, the Investment Adviser Association has grown in both size and scope, enhancing the range of services, educational opportunities and peer-to-peer involvement for fiduciary investment advisers. Prior to joining the IAA, Barr was in private practice at Wilmer, Cutler & Pickering (now WilmerHale), where she represented clients in securities regulatory matters. Barr received her B.A. from the University of Pennsylvania and her law degree from the University of Michigan Law School. She is a frequent speaker on investment adviser issues.

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.

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

Colleen Theresa Brown is a Partner at Sidley Austin LLP, where she focuses on privacy, cybersecurity, data protection, and emerging technology issues for a diverse group of companies, including those in the financial, life sciences, telecommunications, media, retail, technology, and manufacturing sectors. Her experience includes cyber risk and data breach management, corporate data protection and privacy compliance, international data protection and cross-border transfer, Big Data, Internet of Things, electronic surveillance, trade secrets, social media, cloud computing, and online brand protection. In addition to counseling and litigation related to data protection, her work also includes counseling and negotiation of data-driven agreements, privacy and cybersecurity diligence, and integration planning for mergers and acquisitions.

Caroline A. Crenshaw was unanimously confirmed by the U.S. Senate and sworn into office as Commissioner of the SEC in 2020, bringing with her a range of securities law and policy experience and a commitment to public service. She has served as Counsel to Commissioners Kara Stein and Robert Jackson, and previously as a staff attorney in the Division of Examinations and the Division of Investment Management. Commissioner Crenshaw currently serves as a captain in the U.S. Army Reserve, Judge Advocate General’s Corps. Prior to government service, Commissioner Crenshaw practiced law at Sutherland, Asbill and Brennan LLP. She graduated cum laude from Harvard College and received a law degree magna cum laude from the University of Minnesota.

Carlo di Florio is the Global Chief Services Officer of ACA Group, where he is responsible for defining and executing the vision for ACA’s governance, risk, and compliance (“GRC”) service offerings. His responsibilities include oversight, management, and strategic growth of ACA’s global regulatory compliance, cybersecurity and risk, AML and financial crimes, and performance practices. Previously, di Florio worked for more than 25 years in executive leadership roles at PricewaterhouseCoopers (PwC), the SEC Office of Compliance Inspections and Examinations, and FINRA. He also serves as Co-President and Governor of the Risk Management Association NY Chapter and as Adjunct Professor at Columbia University’s Master of Science program in Enterprise Risk Management.

Ivy Duke is the Chief Compliance Officer for National Real Estate Advisors, LLC, an SEC-registered investment adviser located in Washington, DC, that specializes in build-to-core, developing and owning large-scale, urban commercial and multifamily real estate projects for its institutional client accounts. She began her investment management career at Drinker Biddle & Reath LLP, then joined Calvert Investments, Inc. where she last served as Vice President and Acting General Counsel. She also served as Counsel in the Investment Management Group at Seward & Kissel LLP. She holds an LL.M. in Securities and Financial Regulation from Georgetown University Law Center, and a J.D. and B.A. from the University of Virginia.

Kevin Ehrlich is the Chief Compliance Officer and Manager of Regulatory Affairs for Western Asset Management Company, an investment adviser primarily focused on managing fixed-income strategies. Ehrlich has been with Western Asset since 2004, before which he worked with Legg Mason, Inc. (Western Asset’s parent company at the time) and the Division of Trading and Markets (formerly Market Regulation) at the SEC.

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.

Susan Gault-Brown is Chair of Stradley Ronon’s fintech practice and an active member of the investment management group. For more than 20 years, she has been a trusted adviser to clients, including registered funds, private funds, investment advisers, broker-dealers, funding portals, commodity trading advisors, commodity pool operators and other regulated financial participants, as well as entities exempt from regulation. She routinely counsels clients on SEC and CFTC compliance issues concerning derivatives and securities and has significant experience with emerging financial services products that are web and app-based, including crowdfunding platforms, investment platforms, cryptocurrencies, digital assets, blockchain and distributed ledger technology (DLT) and roboadvisers.

Melissa Gilbertson is Assistant Vice President of IT and Trading Manager at Mairs & Power, Inc., overseeing the daily operations of the IT and Trading Operations departments. The IT group provides overall technology support, disaster recovery, and data security, while the trading group handles strategies, portfolio construction, internal reporting, compliance and more. Previously, Gilbertson worked at Alerus Retirement Solutions, Fairview Health Services, and United Health Group. She is a Board of Trustee member and chair of the Finance Committee of the Episcopal Homes of Minnesota and a board member of the CFA Society of Minnesota. She earned a B.A. from the University of Minnesota and an M.B.A. from the University of St. Thomas.

Jon K. Hadfield is Chief Compliance Officer for Vanguard Global Advisers, LLC and Head of Fund and Adviser Compliance for Vanguard, responsible for all aspects of compliance with respect to the management of Vanguard’s U.S. mutual funds and ETFs, as well as the provision of investment advice to certain non-U.S. funds, ETFs, and separately managed accounts. Previously, Hadfield worked at USAA Investments, Allen & Overy, and Eversheds Sutherland. He received an LL.M. in Securities and Financial Regulation from Georgetown University Law Center, a J.D. from the University of Baltimore School of Law, and a B.A. in English from the University of Lynchburg.

Meghan Irmler is an Associate General Counsel in the Asset Management Group of Raymond James & Associates, Inc. supporting the firm’s retail advisory programs. Prior to joining Raymond James, Irmler was a Senior Attorney at Cleary Gottlieb Steen & Hamilton LLP, where she advised U.S. and non-U.S. financial institutions, fund managers, and other financial industry clients on matters involving the regulation of investment advisers across practice areas from financial products and M&A to structured finance and private equity. She received her J.D. from the University of Pennsylvania Law School and her B.A. from Barnard College, Columbia University.

David Joire is a Senior Special Counsel in the Chief Counsel’s Office of the SEC’s Division of Investment Management. Joire’s team is primarily responsible for issuing no-action letters, interpretive letters, and other staff positions under the Investment Company Act of 1940, the Investment Advisers Act of 1940, and other federal securities laws that affect the asset management industry. They also review and analyze applications requesting exemptive relief under these laws. Prior to joining the SEC, Joire worked in private practice advising investment advisers and investment companies on a variety of regulatory, compliance, and transactional matters.

Jennifer L. Klass is Co-Chair of Baker McKenzie’s Financial Regulation and Enforcement Practice in North America. She is an experienced investment management lawyer with particular focus on investment adviser regulation and the convergence of investment advisory and brokerage services. She regularly represents clients before the SEC, both in seeking interpretative guidance and in managing examination and enforcement matters. Klass is a leading practitioner in digital investment advice and FinTech. Previously, she was Vice President and Associate Counsel at Goldman, Sachs & Co. Her practice focuses on the retail and wealth management businesses of investment advisers and dual registrants, and her clients include asset managers, broker-dealers, and sponsors of private investment funds, mutual funds, and exchange-traded funds.

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.

Grace Man is Director at Franklin Templeton, where she leads a team responsible for GIPS compliance and composite maintenance. Previously, she was a Product Manager and Marketing Manager for institutional products at Franklin and worked at Callan Associates as a Database Supervisor. She also served as a volunteer of the United States Investment Performance Committee (USIPC) and the Pooled Fund Advisory Team for the CFA Institute. Man holds an M.B.A. in Finance from Golden Gate University and was the former Chair of the IAA GIPS Compliance Forum.

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.

Chris Mulligan is a Senior Special Counsel in the Division of Examinations at the SEC, where he drafts risk alerts related to private funds and investment advisers, advises on rulemakings, counsels examiners on legal issues and enforcement referrals, conducts exams, trains staff, and develops exam initiatives and priorities related to private fund advisers. Before joining the SEC, Mulligan was in private practice, counseling private equity advisers and institutional investors with respect to fund formation and regulatory issues. He earned his J.D. from Georgetown University.

Ammani Nagesh is Associate Director of Strategy and Client Relations for the Investment Funds Global Regulatory Solutions Group at Kirkland & Ellis LLP. Prior to joining Kirkland, Nagesh spent many years at the SEC, serving as Confidential Assistant to Chairmen Christopher Cox and Mary L. Schapiro. She also worked in the agency’s Division of Investment Management, which oversees the SEC’s administration of the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Nagesh began her career on Capitol Hill, working for the House of Representatives Committee on Homeland Security and in the Office of Congressman Nick Smith (R-MI). She graduated from Albion College in Michigan.

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.

Rob Patchett is the Global Chief Privacy Officer and I.T. Chief Compliance Officer for Raymond James Financial, where he is responsible for the global privacy compliance program and the compliance technology strategy for the firm. Patchett is also the Data Protection Officer for Raymond James UK and European operations. Prior to Raymond James, he served as the Chief Privacy Officer and Head of Information Governance for MUFG Americas and the Union Bank of California. He sits on numerous privacy and cyber risk advisory groups and holds degrees in I.T. and business from Middlesex University.

Sheena Paul is a Counsel in Debevoise & Plimpton’s Investment Management Group U.S. regulatory practice, based in the firm’s Washington, DC, office. Her practice focuses on providing regulatory advice to investment managers, with a focus on private equity clients. She has extensive experience advising asset managers and institutional investors on a broad range of U.S. regulatory matters, regularly advising on issues arising under the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the Securities Act of 1933. She received a B.A. from Macalester College and J.D. from Georgetown University Law Center.

Mari-Anne Pisarri is a Partner with Pickard Djinis and Pisarri LLP. She specializes in regulatory issues pertaining to investment advisers, NRSROs, and service providers to the securities industry. Previously, Pisarri was an Associate at Cladouhos & Brashares, where she worked on a range of regulatory and international business matters. She also was involved in litigation in federal and state courts, including major customs litigation before the Court of International Trade. Pisarri began her career as a law clerk for the Honorable John P. Wiese in the U.S. Court of Claims. She received her B.A. from St. Lawrence University, summa cum laude, and her J.D. from Cornell Law School, magna cum laude.

John Pollard is the Global Chief Compliance Officer for EJF Capital LLC and oversees compliance matters and regulatory affairs related to the firm’s investment advisory services. Pollard serves on the board of the Washington DC Compliance Round Table, a nonprofit organization dedicated to educating and supporting financial compliance professionals in the DC area. Prior to joining EJF, Pollard worked at the SEC Division of Examinations for over 10 years. During this time, Pollard developed and led national initiatives that guided over 500 examinations, conducted by 400 examiners across 11 regional offices. Pollard also led examinations of various registered investment advisers including advisers to private funds, registered investment companies, and individual client accounts.

Adam J. Reback is a Partner at Optima Partners, a leading global regulatory compliance advisory firm, where he focuses on supporting the regulatory and compliance needs of hedge funds, private equity funds, registered investment advisers, broker-dealers, independent research providers, and other global financial institutions. Reback has 25 years of investment management industry experience including as Partner & CCO of J. Goldman & Co., L.P. (JGC) and CCO of John A. Levin & Co. He is a regular contributor to various investment industry periodicals and frequently speaks at numerous industry events and conferences on a wide variety of topics. Reback attended New York University and completed the FBI Citizens Academy.

Aliya Robinson is Senior Legal Counsel, Legislative and Regulatory Affairs for T. Rowe Price, leading the Legislative and Regulatory Affairs team’s work on all retirement-related public policy issues. Robinson has more than 20 years of experience, previously working at The ERISA Industry Committee and the U.S. Chamber of Commerce. She has advocated for retirement legislation and testified on retirement and compensation issues before Congress, the Department of Labor, and the Department of Treasury. Robinson is a graduate of New York University School of Law, where she also received a Master of Laws in Taxation. She received a B.A. in Economics and African studies from Yale University.

Jeremi Roux, CFA, is General Counsel and Chief Compliance Officer of Hamlin Capital Management, where he is responsible for all legal and compliance matters for the firm. Prior to joining Hamlin, he served as the Chief Compliance Officer of a mid-sized registered investment adviser. Roux previously worked in FINRA’s Market Regulation department and the SEC’s Division of Enforcement, Asset Management Unit. Roux graduated cum laude from Brooklyn Law School, where he was an International Business Law Fellow and an associate editor of the Brooklyn Journal of International Law. He is a member of the Brooklyn Law School Alumni Board.

Andrea Santoriello is an Executive Director and Assistant General Counsel at J.P. Morgan Asset Management (JPMAM). She serves as chief counsel for the JPMAM Private Equity Group and also advises JPMAM on strategic transactions and proprietary investments in diverse emerging managers. Previously, Santoriello was a senior associate at the law firm of Davis Polk & Wardwell LLP in the Investment Management Group. She received a B.A. in Political Science from the College of the Holy Cross, summa cum laude, and a J.D. from Harvard Law School, cum laude. She is the Vice Chair of the IAA’s Private Equity Fund Advisers Committee.

Christine Ayako Schleppegrell serves as Senior Counsel in the Investment Adviser Regulation Office, Private Funds Branch, at the SEC, where she advises on policy matters and counsels staff of the Divisions of Enforcement and Examinations. Previously, Schleppegrell worked as an attorney in private practice in Washington, DC, and San Francisco, California. She is an adjunct professor for the Fordham Law Corporate Compliance Program, co-chairs the D.C. Bar Investment Management Committee, and serves as Chair of the 100 Women in Finance D.C. Chapter. Schleppegrell earned her J.D. from the University of Washington School of Law and her B.A. from Vassar College and Oxford University.

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.

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

Steven W. Stone is a Partner at Morgan Lewis. He is a securities lawyer who counsels clients on regulations governing broker-dealers, investment advisers and bank fiduciaries, and pooled investment vehicles. As head of the firm’s financial institutions practice, he counsels U.S. broker-dealers, investment banks, investment advisers, and mutual fund organizations. He regularly represents clients before the SEC and FINRA, both in seeking regulatory relief and assisting clients in enforcement or examination matters. He earned a B.A. from Bates College, and a J.D. from The George Washington University Law School and is a member of the D.C. Bar.

Thankam (Tara) Varghese is Senior Counsel in the Chief Counsel’s Office in the Division of Investment Management at the SEC, where she focuses on issues under the Investment Company Act of 1940 and Investment Advisers Act of 1940. She has served in a variety of other roles at the Commission, including as Counsel to Commissioner/Acting Chair Allison Herren Lee, Special Counsel in the Office of Trading Practices in the Division of Trading Markets, and Attorney-Adviser in the Office of Market Oversight in the Division of Examinations. Before joining the SEC, she was an associate in the Financial Services litigation group of McCarter & English, LLP.

Melanie Mayo West, Esq., is General Counsel and Chief Compliance Officer for LSIA, an investment advisory firm headquartered in the Detroit area that primarily serves high net worth individuals. Prior to joining LSIA almost seven years ago, she worked for a variety of investment advisers, including over a decade as Associate General Counsel for Munder Capital Management, where she primarily focused on regulatory issues affecting the Munder Funds. She also has previous experience in private practice providing advice to banks and investment advisers on Investment Company Act and Investment Advisers Act matters.

Brad Wilson serves as Counsel at MFS Investment Management, where he supports MFS’ sustainability program by tracking and advising business groups on regulatory developments, supporting MFS’ sustainability governance process, and supporting other sustainability-related initiatives. Wilson joined MFS in 2015, providing legal support to MFS’ Luxembourg UCITS and MFS’ US mutual funds. He previously served as an associate general counsel and compliance officer at Legg Mason and as an analyst at FINRA. He earned a B.A. in political science and B.B.A. in finance from the University of Georgia and an M.B.A. and J.D. from the University of Maryland. He is a member of the New York State Bar.

Allen Xiao, CFA, is the Deputy Chief Risk Officer for Amundi US. Previously, Xiao was the North American Regional Head of Risk for Aviva Investors. He is a member of the CFA Institute’s ESG Verification Subcommittee, focusing on developing verification procedures for ESG Disclosure Standards, a member of the Steering Committee of GARP Chicago, and CFA New York Performance and Risk Analytics Group. He also sits on the Advisory Council of Fellow of Canadian Securities Institute promoting investment education. Xiao has extensive experience in risk, compliance, and audit. He is a CPA in the State of Illinois and a Director’s Scholar at University of Oxford EMBA program.