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 Boston Compliance Workshop.
Joshua Broaded, CFA, is a partner and head of U.S. regulatory compliance practice at ACA Group. In this role, he is responsible for development and oversight of ACA’s regulatory compliance solutions, which leverage consulting, managed services, and technology. Prior to assuming his current role, Broaded launched ACA’s Analysis and Review Center, which provides managed services including electronic communication surveillance, outsourced marketing reviews, and code of ethics administrative support. Previously, he served as an examiner for the SEC. He earned his Bachelor of Science in Business Administration from the University of Pittsburgh.
Jason Brown is a partner in Ropes & Gray LLP’s asset management group and co-head of the firm’s private funds regulatory practice. He has extensive experience representing investment advisers to private equity funds, real estate funds, credit funds, venture capital funds, hedge funds, separate accounts, and commodity pools. Brown also assists private fund managers in registering as investment advisers with the SEC; develops Advisers Act compliance programs; helps non-U.S. private equity firms analyze their regulatory obligations under U.S. law.; works with investment advisers on SEC examinations; and advises clients on SEC enforcement actions. Jason received his JD, cum laude, from Harvard Law School, and his BA, summa cum laude, from the University of Pennsylvania, Wharton School. Brown will speak at the Virtual Compliance Workshop.
Dan Campbell is a director at ACA Group, where he provides compliance consulting services to hedge fund, private equity, real estate, and credit fund advisers, as well as other registered and unregistered advisers. He manages and conducts compliance program reviews and mock SEC inspections and assists these firms in identifying and addressing their unique compliance and operational risks. Prior to ACA, he served as an assistant regional director at the SEC’s Atlanta Regional Office where he supervised several exam teams and managers conducting registered investment adviser, investment company, and broker-dealer examinations. Campbell earned his Bachelor of Business Administration degree from James Madison University and his MBA from Emory University’s Goizueta Business School.
Anne C. Choe is a partner in Willkie Farr & Gallagher LLP’s Asset Management Department. She advises a wide range of pooled investment vehicles, including mutual funds, ETFs, private funds (hedge funds, private equity funds and venture capital funds) and their sponsors and investment managers. She has in-depth knowledge of the various securities and other laws applicable to pooled vehicles and regularly counsels investment advisers and family offices. A key aspect of Choe’s practice is representing investment advisers and funds in SEC examination and enforcement matters. She earned her bachelor’s degree from University of Maryland, summa cum laude, and a J.D. from the University of North Carolina School of Law. Choe will speak at the New York Compliance Workshop.
Chuck Daly is counsel in Sidley’s Investment Funds practice. He has extensive experience working with investment advisers on regulatory compliance requirements, structures and programs, ongoing compliance monitoring, testing protocols, and the management and coordinating of regulatory exams and reviews. He focuses on the practical design, implementation, and on-going administration of compliance programs for registered and unregistered advisory firms. In providing those services to investment advisers, he has gained experience drafting and editing policies and procedures and disclosure documents for managers offering a multitude of products and investment strategies across a variety of asset classes. Daly earned his B.A. from American University, MBA, magna cum laude, from Syracuse University, and J.D., magna cum laude, from Syracuse University College of Law. Daly will speak at the Chicago Compliance Workshop.
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. Di Florio will speak at the New York Compliance Workshop.
Silvestre A. Fontes is regional director of the SEC’s Boston Regional Office, where he leads a staff of more than 180 attorneys, accountants, investigators, securities compliance examiners, and other personnel involved with enforcement and examinations in the region. He formerly worked in the Boston office’s enforcement program and as the first supervisor of its Market Abuse Unit. Previously, Fontes served as Chief Compliance Officer of Bracebridge Capital LLC and several Wellington Management Company regulated entities, and as director in the Financial Services Regulatory Practice of PricewaterhouseCoopers. He earned his B.A from Boston College, A.M. from the University of Chicago, and J.D. cum laude from the University of Pennsylvania.
Jamie Gershkow is a partner in Stradley Ronon’s New York office and focuses her practice on advising investment companies, independent trustees, and investment advisers on regulatory and compliance matters and the applicability and interpretation of securities laws. She frequently counsels on the formation, registration, and ongoing compliance of investment advisers and investment companies, including ETFs, money market funds, and multi-manager funds. Gershkow assists money market fund clients in addressing the many varied matters impacting money market fund management, operations, and compliance, including with respect to recently adopted reforms to Rule 2a-7. She holds a B.A., magna cum laude, from University of Maryland and a J.D., magna cum laude, from Drexel University School of Law. Gershkow will speak at the New York Compliance Workshop.
Louis Gracia, CFE, is an associate regional director in the Investment Adviser – Investment Company Examination Program in the SEC’s Chicago Regional Office, investigating and referring findings for Commission enforcement action on several ’40 Act-related issues including Ponzi schemes, misuse of soft dollars, undisclosed principal transactions, false hedge fund valuation, false/misleading advertising, custody rule non-compliance, failure to supervise, and inadequate compliance policies and procedures. Gracia has been with the SEC for nearly 30 years and has also represented the SEC at numerous examiner recruitment and investor outreach events. He holds a B.S. in Accounting from the University of Illinois at Chicago. He currently holds a CPA license in the state of Illinois. Gracia will speak at the Chicago 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 New York Compliance Workshop.
Vanessa L. Horton is an associate regional director in the SEC’s IA/IC examination program in Chicago and participates in multiple National Examination Program (NEP) and Commission-wide initiatives, including acting as a subject matter expert in the SEC’s National Exam Training program, co-chair of the SEC’s People Committee, and member of the EXAM’s Executive Committee, the Diversity Council, and the Private Fund Special Working Group. Horton’s background is specifically in trading, operations, and compliance. Before joining the SEC, she spent more than 13 years in the private sector, most recently as the CCO of a dual registrant. She earned a B.S. from University of Illinois at Urbana-Champaign Gies School of Business and a master’s degree in strategic management from DePaul University. Horton will speak at the Virtual Compliance Workshop.
Jaqueline M. Hummel, IACCP®, is ACA Group’s director of thought leadership, regulatory compliance. She is a securities attorney and regulatory compliance consultant with extensive experience as an in-house attorney working in the areas of investment adviser, broker-dealer, and investment company regulation and compliance. Hummel provides compliance consulting services to registered investment advisors, working to develop effective compliance programs and solve complex regulatory issues, including serving as an outsourced CCO. Prior to ACA Group, she held several CCO and in-house counsel positions, most recently serving as a partner at Hardin Compliance Consulting LLC, which was purchased by Foreside in 2021. She received a B.A. from the University of Wisconsin-Madison and a J.D. from Emory University School of Law. Hummel will speak at the Virtual Compliance Workshop.
Maurya Crawford Keating is an associate regional director in the SEC New York Regional Office. She joined the Division of Examinations in 2018 as co-head of the NYRO Investment Adviser/Investment Company unit. Keating also served as acting head of the NYRO Broker-Dealer/Exchange unit and as co-acting regional director of NYRO. Previously, she was lead director and associate general counsel in the National Compliance Office of AXA Equitable Life Insurance Company; vice president, chief broker-dealer counsel, and investment advisor CCO of AXA Advisors, LLC; and associate general counsel at New York Life Insurance Company and Royal Alliance Associates, Inc. Keating received her J.D. from St. John’s University School of Law and her B.A. and M.A. from The Catholic University of America. Keating will speak at the New York Compliance Workshop.
Kevin M. Kelcourse is associate director for the Division of Examinations at the SEC’s Boston Regional Office. He leads a staff that conducts inspections and examinations of investment advisers, investment companies, hedge funds, private equity funds, broker-dealers, municipal advisers, transfer agents, and other securities firms in New England. He is also currently serving as acting co-regional director for the office. Kelcourse previously worked for the Division of Enforcement, including as assistant director in the Division’s Asset Management Unit. Prior to the SEC, he was a federal prosecutor with the Justice Department and an associate with O’Melveny & Myers. He is a graduate of Georgetown University Law Center and Georgetown University. Kelcourse will speak at the Boston 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 Chicago Compliance Workshop.
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. Mannon will speak at the Boston 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.
A. Valerie Mirko is co-leader of Armstrong Teasdale’s Securities Regulation and Litigation practice. She represents broker-dealers, investment advisers, and private fund advisers in SEC enforcement, examination, and regulatory matters. Her practice focuses on issues related to conflicts of interest, distribution channels and marketing, safeguards and custody, and cybersecurity. Previously, she served as a partner in the financial regulation and enforcement practice of a global law firm; advised broker-dealers and investment advisers in enforcement investigations at a Washington, D.C., law firm; held legal and compliance roles at Oppenheimer & Co. and Merrill Lynch (now Bank of America); and served as general counsel of NASAA. She is a graduate of Wellesley College and George Washington University Law School. Mirko will speak at the Virtual Compliance Workshop.
Craig Moreshead is a partner at ACA Group where he oversees ACA’s Regulatory Advisory practice, which provides strategic and regulatory guidance to investment advisers under the Advisers Act and state securities laws. Prior to ACA, he served as in-house counsel for a large financial services company. He has more than 25 years of experience providing regulatory compliance services to private fund managers, registered investment companies, and retail investment advisers. During his career, Moreshead has written and spoken on a variety of topics including custody, cybersecurity, advertising, private fund compliance, and conflicts of interest. He received his B.A. from Hofstra University and a J.D. from Capital University Law School. Moreshead 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.
Christine Ayako Schleppegrell, a partner at Morgan, Lewis & Bockius LLP, counsels asset managers on legal, regulatory, and compliance matters, focusing on advisers to private funds (private equity, hedge, venture capital, infrastructure, real estate, credit) and separately managed accounts. She spent several years in private practice and more recently served at the SEC, including as senior counsel in the Investment Adviser Regulation Office, Private Funds Branch, where she advised on policy matters and counseled staff of the Divisions of Enforcement and Examinations. Schleppegrell earned her J.D. from the University of Washington School of Law and her B.A. from Vassar College and Oxford University. Schleppegrell will speak at the Chicago Compliance Workshop.