Skip to main content

Gail C. Bernstein is general counsel of the Investment Adviser Association (IAA), the leading association advancing the interests of fiduciary investment adviser firms. Bernstein has responsibility for legal matters affecting the IAA and for the development and execution of the IAA’s regulatory advocacy and engagement on behalf of its members. She is also responsible for working with IAA members on legal, regulatory, and compliance issues affecting investment advisers. She joined the IAA in 2017 from the law firm of WilmerHale in Washington, D.C., where she had been both a special counsel and a partner in the Securities Department. She earned her law degree from Harvard Law School and, after law school, clerked for the Honorable Douglas P. Woodlock of the U.S. District Court for the District of Massachusetts. Bernstein will speak at the San Francisco Compliance Workshop.

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. Botkin will speak at the Dallas Compliance Workshop.

Sarah Buescheris 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. Buescher will speak at the New York Compliance Workshop.

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. Grossman will speak at the Chicago Compliance Workshop.

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. Lamba will speak at the Denver Compliance Workshop.

Sarah S. Mallett is a partner at Kirkland & Ellis LLP in the firm’s Government, Regulatory, and Internal Investigations Practice Group. Prior to joining Kirkland in April 2024, Mallett spent more than seven years at the SEC. She most recently served as an assistant director in the SEC’s Enforcement Division where she investigated and supervised some of the Division’s most notable actions. Before joining the SEC, Mallett was a government investigations and securities litigation associate in the Dallas office of Haynes and Boone, LLP. She graduated from the University of Texas McCombs School of Business and Southern Methodist University’s Dedman School of Law. Mallett will speak at the Dallas Compliance Workshop. 

Pablo Man is a partner in K&L Gates LLP’s Asset Management and Investment Funds practice. Man represents primarily investment advisers, registered closed-end funds (including tender offer and interval funds), and private funds (including exchange funds, hedge funds, and funds of one). He focuses his practice on regulatory matters relating to the Investment Advisers Act of 1940 and counsels investment advisers with respect to registration (including “status” questions), regulation and reporting, SEC examinations, and adviser mergers and acquisitions. Among other things, Man routinely advises investment advisers on regulatory and compliance matters relating to custody, recordkeeping (including electronic records), trading, principal and cross-transactions, best execution, performance advertising, fiduciary duty and conflicts. Man will speak at the Chicago Compliance Workshop. 

Michael W. McGrath, CFA a partner at Dechert LLP, focuses on advising global asset managers in the formation and operation of investment funds, regulatory compliance, and securities and commodities law across a wide range of asset classes and fund structures. He has significant experience advising asset managers on regulatory and transactional matters, including the formation and operation of private equity funds, hedge funds, real estate funds, credit funds, separate accounts and mutual funds. Previously, McGrath was a partner at K&L Gates LLP, as well as vice president and senior counsel with Allianz Global Investors. He received a J.D. from Duke University and an A.B. from Stanford University. McGrath will speak at the Boston Compliance Workshop.

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. Nelson will speak at the Virtual Compliance Workshop.

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. Soehle will speak at the Boston Compliance Workshop.

You are now leaving Investment Adviser Association

The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.

You will be redirected to

Click the link above to continue or CANCEL