C2 19 Speakers


2019 Compliance Conference Speaker Biographies


Lindsay Antoniello is Deputy Chief Compliance Officer of TPG and is based in TPG’s Fort Worth, Texas office. In her role, Ms. Antoniello focuses on U.S. and European regulatory compliance as well as TPG’s global anti-corruption, sanctions and anti-money laundering compliance efforts and data privacy matters. Ms. Antoniello also oversees TPG’s compliance training program and compliance relations with TPG’s portfolio companies. In addition, Ms. Antoniello leads TPG’s Fort Worth Social Impact Committee. Prior to joining TPG in early 2017, Ms. Antoniello was a Senior Vice President of Legal & Compliance at Blackstone in New York. During her 10 years at Blackstone, Ms. Antoniello worked on various compliance matters and legal agreements for the private equity and real estate businesses and during the latter five years, she led the day-to-day compliance efforts for Blackstone’s Tactical Opportunities business since its inception (which invests across all asset classes, geographies and industries). Ms. Antoniello received a J.D. from New York Law School and a B.A. from the University of Maryland at College Park.


Stephanie Avakian was named Co-Director of the U.S. Securities and Exchange Commission’s Division of Enforcement in June 2017, after serving as Acting Director since December 2016. She was previously the Division of Enforcement’s Deputy Director. Before being named Deputy Director, Ms. Avakian was a partner at Wilmer Cutler Pickering Hale and Dorr LLP, where she served as a vice chair of the firm’s securities practice and focused on representing financial institutions, public companies, boards, and individuals in a broad range of investigations and other matters before the SEC and other agencies. Ms. Avakian previously worked in the SEC’s Division of Enforcement as a branch chief in the New York Regional Office, and later served as counsel to former SEC Commissioner Paul Carey. Ms. Avakian received her bachelor’s degree from the College of New Jersey and a law degree from Temple University’s Beasley School of Law, both with high honors.

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.


Thoreau Bartmann is Senior Special Counsel in the Investment Adviser Rulemaking Office at the U.S. Securities and Exchange Commission. Since he joined the SEC more than 10 years ago, Mr. Bartmann has been involved in all aspects of asset management regulation, leading a variety of rulemaking initiatives for the Division of Investment Management. Notably, Mr. Bartmann was the branch chief managing the effort that culminated in the 2014 adoption of structural reforms to the $3 trillion money market fund industry. More recently, he managed the team on the fund derivatives rule proposal, was the Division’s lead on the mutual fund liquidity rule adoption and its implementation, and is working on the planned revisions to the investment adviser advertising rule. He also has expertise in fund distribution issues, drafting key guidance on mutual fund distribution and sub-accounting fees. Before he joined the SEC, Mr. Bartmann was a securities enforcement associate at Fried, Frank, Harris, Shriver and Jacobson where he provided advice to private funds on issues related to late trading and market timing, among other things. Mr. Bartmann earned his J.D. from the University of North Carolina, Chapel Hill, and a B.A from the University of Alabama, Birmingham.


Kenneth Berman, a member of Debevoise & Plimpton LLP’s Investment Management Group, focuses his practice on providing regulatory and compliance advice to financial services firms, particularly investment advisers and sponsors of mutual funds, private equity funds and other pooled investment vehicles. Mr. Berman also counsels mutual fund independent directors and advises operating companies concerning status issues they may face under the Investment Company Act of 1940. Prior to joining Debevoise, Mr. Berman was Associate Director of the Securities and Exchange Commission’s Division of Investment Management, where he oversaw the division offices responsible for processing applications for exemptive relief under the Investment Company Act and administering the Public Utility Holding Company Act of 1935. He joined the SEC staff in 1988 after several years of private practice. Before becoming Associate Director in 1997, Mr. Berman was Assistant Director of the Division’s Office of Regulatory Policy.

Gail C. Bernstein is General Counsel of the Investment Adviser Association. She joined the IAA from the law firm of WilmerHale in Washington, DC, where she had been a Special Counsel in the Securities Department from 2008 until June 2017. Prior to that, Ms. Bernstein was first an associate and then a partner at Wilmer, Cutler & Pickering (now WilmerHale) in Washington, DC. While in private practice, Ms. Bernstein counseled clients on all aspects of financial and securities regulation, with a specific focus on the Dodd-Frank Act and securities and derivatives law and compliance. Ms. Bernstein grew up in South Africa and earned her B.A. from the Hebrew University of Jerusalem in 1982 and her law degree from Harvard Law School in 1988. After law school, Ms. 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 from 1989-1990, when she moved to Washington.


Dalia Osman Blass is the Director of the Securities and Exchange Commission’s Division of Investment Management. Ms. Blass previously served in a number of leadership roles in the Division of Investment Management, most recently as Assistant Chief Counsel. Ms. Blass returned to the SEC as Director of Investment Management in September, 2017 from Ropes & Gray LLP, where she advised on a broad range of investment fund, private equity, and regulatory matters, including Exchange Traded Funds. Earlier in her career, she practiced law at O'Melveny & Myers LLP, and began her career in the London office of Shearman & Sterling LLP. During her SEC tenure of more than a decade, Ms. Blass received the SEC's Manuel F. Cohen Award, which recognizes outstanding legal ability and performance. Ms. Blass earned a J.D. from Columbia University School of Law, where she was Harlan Fiske Stone Scholar and Executive Editor of the Journal of Transnational Law. She received her B.A in international studies from the American University and studied political science at the American University in Cairo.

Paula Bosco

Paula A. Bosco is the CEO and co-founder of Activus Risk Management, LLC, a leading risk management firm that provides customized Governance, Regulatory Compliance and Audit, Enterprise Risk Management, ESG & Responsible Investing, and Diligence services to asset managers, asset owners, stock exchanges, regulators and non-financial businesses around the world. Ms. Bosco has more than 23 years of investing, legal, compliance and risk management experience serving in various litigation, transaction and advisory roles for investment advisers, broker-dealers, dual-registrants, global banks, hedge funds, private equity funds, credit funds and BDCs. Prior to co-founding ACTIVUS, Ms. Bosco was Managing Director, Chief Regulatory Counsel and CCO of New Mountain Capital, where she led the regulatory legal and compliance program for multiple SEC-registered investment advisers that managed several hedge funds, private equity funds and credit/loan/SBIC funds totaling ~$16 billion in committed capital. She was also an Executive Officer, and the Chief Regulatory Counsel, Chief Audit Executive, CCO and Corporate Secretary of the firm’s business development company, New Mountain Finance Corporation (NYSE: NMFC). Prior to joining NMC, Ms. Bosco held several senior legal and compliance positions with prominent Wall Street firms including Lehman Brothers Inc., Citigroup Global Markets, Inc., Schulte, Roth & Zabel LLP, the American Stock Exchange and FINRA, and PaineWebber. Prior to attending law school, Ms. Bosco began her career in the industry as a sales trading assistant in the Asian equity markets. Ms. Bosco holds a J.D., an M.B.A. in Finance (concentration in Investment Management), a B.A. in Political Science and recently earned a M.S. in Enterprise Risk Management (ERM) at Columbia University in the City of New York.

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.

Garrett Broadrup is a Vice President, Senior Counsel of Affiliated Managers Group, Inc. He is primarily responsible for overseeing global regulatory affairs and providing legal support to AMG and its Affiliates on a broad range of investment management-related matters. From 2006 to 2010, Mr. Broadrup was Vice President and Associate Counsel for OppenheimerFunds, Inc. where he worked on various legal and regulatory matters, focusing primarily on investment-related issues. Previously, Mr. Broadrup was an attorney in the Investment Management Group at Davis Polk & Wardwell. From 2001 to 2002, Mr. Broadrup served as a law clerk to the Hon. D. Brock Hornby (D. Me.). Mr. Broadrup received a J.D. from the University of Pennsylvania Law School and an A.B. from Bowdoin College.

Sharon Buccafusco has been Tradition Capital Management LLC’s Associate Chief Compliance Officer since 2007. Earlier, Ms. Buccafusco served as an Assistant Vice President at JPMorgan Chase in the Investment Bank. During her 34-year tenure, she held positions as a Financial Analyst, Operations Manager, Product Manager, and Financial Controller in the Operations, Cash Management and Technology Divisions, and the Investment Bank. Responsible for the maintenance and ongoing development of effective regulatory compliance policies and procedures at Tradition, Ms. Buccafusco is currently pursuing the Investment Adviser Certified Compliance Professional (IACCP®) designation.

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.


Claire Burke is a Senior Compliance Manager in the Vanguard Compliance Department. Ms. Burke joined Vanguard in 2008 and currently oversees the Retail Compliance Team. Previously, Ms. Burke was a Senior Counsel in Vanguard’s Legal Department where she provided support for a variety of data security, privacy, fraud and risk-related issues. Ms. Burke joined Vanguard after completing a clerkship in the United States District Court for the Eastern District of Pennsylvania. Prior to clerking, she was an associate with Covington & Burling in Washington, DC for four years where she handled commercial litigation and antitrust matters. She received her law degree from Harvard Law School and is a graduate of Duke University.


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.


Eva Ciko Carman is a managing partner of Ropes & Gray LLP’s New York office and co-head of the global Securities Enforcement practice. She has 27 years of experience representing investment advisers and boards in connection with Securities and Exchange Commission examinations, investigations and litigated actions. Her focus is on investment company, private equity, hedge fund and credit fund defense. Her practice is nationwide. Ms. Carman has had recent cases in seven of the SEC’s regional offices and the Washington office. Her recent experience includes two rare mid-investigation dismissals of fee and expense investigations, and complete defense of a portfolio manager of a prominent hedge fund in an insider trading case. She provides regulatory guidance on matters relating to insider trading, custody, anti-corruption, design and implementation of compliance programs intended to address complex and novel trading and business issues. She has also been tapped to conduct internal investigations, the most recent of which was of a commodities broker that was under investigation for complex issues associated with accounting disclosures.


Christine C. Carsman joined Affiliated Managers Group, Inc. in 2004 and currently serves as Senior Policy Advisor. In this role, she advises the CEO and the Executive team while actively engaging in policy matters around the world. Previously, Ms. Carsman served as the Executive Vice President, Chief Regulatory Counsel and Deputy General Counsel, responsible for overseeing the Company’s regulatory affairs and legal and compliance support of AMG’s global operations and its Affiliates. Prior to joining AMG, Ms. Carsman served as Vice President, Senior Counsel and Director of Operational Risk Management and Compliance at Wellington Management Company, LLP from 1995 to 2004. Ms. Carsman also held positions as Deputy General Counsel at The Boston Company, Inc., and as an attorney at Sullivan & Worcester, LLP. Ms. Carsman serves on the Board of Trustees for AMG Funds Family of Funds and is a Director of the AMG Pantheon Fund, LLC, the AMG Pantheon Master Fund, LLC and the Harding Loevner Funds, Inc. Ms. Carsman is Vice Chair of the Board of Governors for the Investment Adviser Association (IAA), and is a member of the IAA’s Legal and Regulatory Committee, Chairing the Committee’s Regulatory Reform Working Group. She also serves as a member of the Steering Committee for the IAA Active Managers Council, and Chairs the Council’s Policy Task Force. She received her B.A. from Simmons College and her J.D. from Northeastern University School of Law.


Joanna Catalucci is a Senior Managing Director, Chief Compliance Officer & Senior Compliance Manager within Guggenheim Partners. In this role, she leads the strategic direction of the comprehensive compliance program for Guggenheim Investments focusing on compliance requirements of the investment advisors, products and distribution specific to the registered fund business. Before joining Guggenheim, she served as senior vice president and chief compliance officer of Rydex|SGI for 12 years. In this role, Ms. Catalucci oversaw the compliance programs for Rydex|SGI’s investment advisor, mutual funds and ETFs, as well as institutional accounts. Ms. Catalucci also oversaw the execution and monitoring of Rydex|SGI’s Code of Ethics and coordinated all aspects of various regulatory exams. In addition, she led the Risk Committee for Rydex|SGI. Before joining Rydex|SGI in 2000, Ms. Catalucci served as vice president of fund administration for Chase Global Fund Services Co., where she was responsible for compliance for the Morgan Stanley Dean Witter group of funds. Before that, she served as an audit supervisor at PriceWaterhouseCoopers, LLP. Ms. Catalucci holds a B.S. degree in accounting from Merrimack College in Andover, MA.


Jonathan Cedarbaum is a partner in WilmerHale’s Cybersecurity, Privacy and Communications Group and its Government and Regulatory and Litigation Group. Based in Washington, DC, he regularly advises financial firms of all kinds and sizes on data security and privacy compliance, preparation, and incident response. Mr. Cedarbaum returned to WilmerHale in the fall of 2011 after serving as the Acting Assistant Attorney General in charge of the Justice Department’s Office of Legal Counsel, which provides authoritative legal guidance to the White House, the Attorney General, and all Executive Branch departments and agencies.


Kenny Clowers joined ACA Compliance Group in August 2014 and is currently a Managing Director in San Francisco. He works with investment advisers, hedge fund managers, and private equity firms on a variety of complex and nuanced regulatory compliance issues. Prior to joining ACA, Mr. Clowers worked at the U.S. Securities and Exchange Commission (SEC) in Washington, DC for nearly 10 years. During his time at the SEC, he served as an Examination Manager and Securities Compliance Examiner/Staff Accountant. He led and participated in investment adviser compliance examinations involving numerous asset classes, investment strategies, client types, and investment vehicles. Mr. Clowers also participated in thematic reviews and risk-targeted sweeps of private fund and retail investment advisers and of investment companies.


Robert A. Cohen was named the first Chief of the SEC Division of Enforcement’s Cyber Unit in September 2017. The Cyber Unit investigates securities law violations involving: initial coin offerings and other conduct involving digital assets; hacking to obtain nonpublic information; brokerage account takeovers; market manipulations using social media and other electronic platforms; cybersecurity controls at regulated entities; and cybersecurity disclosures by public issuers. Before becoming Chief of the Cyber Unit, Mr. Cohen was Co-Chief of the SEC’s Market Abuse Unit, where he led investigations involving stock exchanges, dark pools, and complex insider trading. Mr. Cohen was in private practice prior to joining the Commission, and also served as a law clerk in the U.S. District Court for the District of Maryland. Mr. Cohen received his J.D. from the New York University School of Law, where he served on the Law Review, and received a B.S. from Cornell University.


Lewis Collins joined GW&K Investment Management in 2017 as General Counsel with responsibility for managing the firm’s legal, regulatory compliance, and risk matters. Prior to joining GW&K, Mr. Collins served as Senior Vice President and Senior Counsel at Affiliated Managers Group, Inc. (AMG) overseeing U.S. legal and regulatory compliance for AMG Affiliates across a broad range of areas, including investment management, employment, regulatory, real estate, and licensing. Previously he was an attorney in the corporate department of Ropes & Gray where he represented a diverse group of clients including investment management firms, mutual funds and sports organizations. Mr. Collins received a J.D. from the University of Michigan Law School and a B.A. from Williams College. He is a member of the Massachusetts Bar Association and is active in investment management industry organizations, including the Investment Adviser Association and the Investment Company Institute.


Mark J. Dowdell, Assistant Regional Director for the SEC’s Philadelphia Regional Office, has over 28 years of experience with the Securities and Exchange Commission. He has conducted and/or reviewed over 900 investment adviser and over 75 mutual fund examinations, and has participated in over 44 enforcement referrals. Mr. Dowdell was awarded the Examination Award of Excellence from the SEC in December 1997. He left the SEC in 1998 and joined Merrill Lynch where he served as Vice President/Audit Manager in their Corporate Audit Division, and was responsible for managing and conducting audits of Merrill Lynch Investment Managers and its subsidiary companies. Mr. Dowdell rejoined the SEC as a Branch Chief in 2002 and currently serves as an Assistant Regional Director for the Philadelphia Regional Office within the Examination Program and serves as Co-Chair of the Marketing Sales Practices Working Group within the National Exam Program.

Peter Driscoll, CPA, is Director of the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE). He previously served as Acting Director, as OCIE’s first Chief Risk and Strategy Officer, and as OCIE’s Managing Executive from 2013 through February 2016. He joined the SEC in 2001 as a staff attorney in the Division of Enforcement in the Chicago Regional Office and was later a Branch Chief and Assistant Regional Director in OCIE’s Investment Adviser and Investment Company examination program. Prior to the SEC, Mr. Driscoll began his career with Ernst & Young LLP and held several accounting positions in private industry. He received his B.S. in Accounting and law degree from St. Louis University. He is licensed as a certified public accountant and is a member of the Missouri Bar Association.


Jisha Dymond is Counsel and Chief of Staff of the Compliance Department at Oz Management. Ms. Dymond directs the day-to-day operations of the Compliance Program, including managing the policy and training programs. Prior to joining the Oz, she was a Consultant to the Global Political Law Group at JPMorgan Chase and practiced law for over a decade at Genova Burns and Tressler LLP. Ms. Dymond holds a Bachelor of Science in Finance from DePaul University and a Juris Doctor, cum laude, from New York Law School.

David Edwards is president and founder of Heron Wealth, which provides financial advice, investment management and estate planning to individuals and families across the United States and in Europe. An avid writer, he has contributed over 100 columns to TheStreet.com. Mr. Edwards is also a member of the New York Society of Security Analysts and the Investment Adviser Association. Prior to founding Heron Wealth, Mr. Edwards was associated with Morgan Stanley, JP Morgan and Nomura Securities developing investment products and quantitative trading models. He graduated from Hamilton College, with a B.A. in History and Mathematics, and holds an M.B.A. in General Management from Darden Graduate School of Business at 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 for institutional clients. 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.

James Ferrarelli

James Ferrarelli is Vice President of Technology for Charles Schwab Investment Management, Inc. (CSIM) and Charles Schwab Investment Advisory, Inc. (CSIA). He is responsible for technology strategy, application design and development, third party product integration and production management of the technology platform supporting CSIM and CSIA. Prior to joining Schwab in 2015, Mr. Ferrarelli spent more than four years at J.P. Morgan Asset Management in New York. Most recently, he was the Chief Business Technologist and Head of J.P. Morgan Investment Management Operations Technology. Prior to J.P. Morgan Asset Management, Mr. Ferrarelli spent 11 years at Morgan Stanley Inc. in both London and New York, during which he held a number of senior technology roles. Mr. Ferrarelli holds a Bachelor of Science in Computing Information Systems from the University of Manchester in the United Kingdom.


Alexander C. Gavis is Senior Vice President & 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 heads a team of attorneys and professionals and is responsible for providing legal services to the firm's retail brokerage, stock plan and workplace retirement businesses. He also oversees and manages legal services for Fidelity's businesses involved in electronic and mobile commerce, start-up innovation, and social media. Mr. Gavis also oversees 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. 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.

Christopher Gilkerson is Senior Vice President, Chief Legal Officer, and General Counsel at Charles Schwab & Co. He heads the Institutional and Retail Legal Group responsible for delivering legal advice to a dozen Schwab companies and numerous business lines including: investment advisory programs, retail branches and call centers, brokerage operations, services to independent registered investment advisors, international, schwab.com and e-business, and retirement plan services. He has been at Schwab for 20 years. Prior to joining Schwab, Mr. Gilkerson was the Assistant General Counsel for Market Regulation at the SEC, and was an adjunct faculty member at American University, Washington College of Law. He has written and spoken on a wide range of securities industry topics and serves on various industry committees. Mr. Gilkerson received a B.A. in political science, summa cum laude, from The Ohio State University, and his J.D. from Yale Law School.

Paul D. Glenn is Special Counsel for the Investment Adviser Association. Previously, he worked for 12 years at the U.S. Securities and Exchange Commission as a trial attorney and special counsel in the Division of Enforcement and the Office of General Counsel, respectively. He also worked at the Office of the Comptroller of the Currency (OTS), U.S. Treasury, as Deputy Chief Counsel and Special Counsel. Mr. Glenn also served as Vice President and Director of Compliance for PNC Bank N.A. in Washington, DC and WashingtonFirstBank N.A. in Reston, VA. He holds an LL.M from Georgetown University Law Center and his J.D. and B.A. from Case Western Reserve University. He holds an honorary doctor of laws degree from Nyack College.


Catherine (Katy) Courtney Gordon serves as a Vice President, Corporate Counsel for two retail advisory affiliates at Prudential. Ms. Gordon previously served as Senior Counsel at Morgan, Lewis & Bockius LLP, focusing her practice on the regulation of broker-dealers and investment advisers under the federal and state securities laws and the rules of self-regulatory organizations (SROs), with an emphasis on fiduciary duty and the intersection of advisory and brokerage services. She also served as senior counsel in the Chief Counsel’s Office and the Disclosure Review and Accounting Office of the Division of Investment Management of the U.S. Securities and Exchange Commission, where she worked on a broad range of investment advisory matters including status and registration, disclosure, fiduciary duty, performance marketing and social media and provided guidance on regulatory examinations and enforcement actions. She also performed analysis and review of investment company filings under the Federal securities laws. Ms. Gordon has also worked in the market regulation, advertising regulation, and enforcement departments of NASD Regulation Inc. (now FINRA) and served as an assistant general counsel at the Municipal Securities Rulemaking Board and as a Director, Associate General Counsel at E*TRADE Financial Corporation.


Laura L. Grossman is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA, Ms. Grossman 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. Ms. Grossman received her B.A., summa cum laude, from Rutgers College, and she received her law degree from the University of Pennsylvania.


Justin S. Guthrie, CFA, is a Partner at ACA Performance Services, a division of ACA Compliance Group. His primary responsibilities include serving as a partner on traditional and alternative GIPS verification engagements and the day-to-day operations of the GIPS verification and consulting division of ACA. Previously, Mr. Guthrie served as an auditor at Ernst & Young. Mr. Guthrie is a past president of the CFA Society of East Tennessee and is also the past Chair of the United States Investment Performance Committee. Mr. Guthrie was recently appointed to the GIPS Executive Committee and has presented at numerous CFA Institute conferences, including the GIPS Conference. Mr. Guthrie holds a BS in accounting and a master’s degree in accounting from the University of Tennessee, Knoxville.

E Halterman

Elizabeth Halterman is Vice President and Legal Counsel for T. Rowe Price, where she is primarily responsible for monitoring and assessing the impacts of global regulatory developments affecting T. Rowe Price and its international subsidiaries. She previously served as an attorney-advisor for regulatory policy in the Securities and Exchange Commission’s (SEC’s) Office of International Affairs where she engaged with the SEC’s foreign counterparts on international regulatory issues affecting U.S. asset managers and investment advisers. Shortly after joining T. Rowe Price in 2018, she was awarded the SEC Chairman’s Award for Excellence for contributions made during her SEC tenure related to MiFID II. Ms. Halterman began her career with the Consumer Financial Protection Bureau’s Office of Enforcement from 2013 to 2014. She earned a J.D., cum laude, from Vermont Law School where she was an Articles Editor for the Vermont Journal of Environmental Law. She received her B.A. in anthropology from the College of William and Mary.


Ki P. Hong is the head of Skadden’s Political Law Group. He advises major corporations on the unique political law issues they face when engaging in government affairs or government procurement activity. These include federal and state campaign finance, lobbying, gift, ethics and conflict-of-interest laws. Mr. Hong also advises clients on pay-to-play laws that impose special restrictions on the political activity of companies that have or seek government contracts, as well as their covered employees. He advises clients on establishing and maintaining comprehensive systems to ensure compliance with those laws. In addition, he represents clients at the enforcement stage. Mr. Hong’s clients include companies from a wide range of different industries. He represents three of the "Big Four" accounting firms and leaders in other industries, such as technology, energy, media, insurance and communications. He also represents nine of the top 10 U.S. banks and nearly all of Wall Street. He is ranked in Band 1 of “leading individuals” for political law in Chambers USA: America’s Leading Lawyers for Business. Washingtonian Magazine repeatedly also has recognized him as a top lawyer in the field of ethics and election law.


Holly Hunter-Ceci is an Assistant Chief Counsel in the Division of Investment Management at the Securities and Exchange Commission. Prior to joining the SEC in 2008, Ms. Hunter-Ceci was an Associate in the Investment Management practice group at the Washington, DC office of Morgan Lewis, and an Associate General Counsel at Legg Mason. She received her undergraduate degree from The Johns Hopkins University and her law degree from The Catholic University of America, Columbus School of Law.


Michelle L. Jacko, CSCP, is CEO of Core Compliance & Legal Services, Inc., a compliance consultation firm which services registered investment advisers, broker-dealers hedge/private funds, investment companies, and financial professionals. In addition, Ms. Jacko is Managing Partner and CEO of Jacko Law Group, PC, a law firm which offers securities and corporate counsel services to the financial industry. Ms. Jacko specializes in investment adviser, broker-dealer and fund regulatory compliance matters, internal control development, regulatory examinations and operational risk management. Her consultation practice is focused on the areas of mock examinations, annual reviews, policies and procedures development, testing of compliance programs (including evaluation of internal controls and supervision), performance advertising, 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.


Robert J. Jackson, Jr. was sworn in as Commissioner of the Securities and Exchange Commission on January 11, 2018. Commissioner Jackson has extensive experience as a legal scholar, policy professional, and corporate lawyer. He came to the SEC from NYU School of Law, where he was a Professor of Law. Previously, he was Professor of Law at Columbia Law School and Director of its Program on Corporate Law and Policy. Before joining the Columbia Law School faculty in 2010, Commissioner Jackson served as a senior policy advisor at the U.S. Department of Treasury. Earlier in his career, Commissioner Jackson practiced law in the executive compensation department of Wachtell, Lipton, Rosen & Katz. Commissioner Jackson holds two bachelor’s degrees from the University of Pennsylvania, an MBA in Finance from the Wharton School of Business, a master’s degree from Harvard’s Kennedy School of Government, and a law degree from Harvard Law School.


Daniel S. Kahl is the Co-Deputy Director and Chief Counsel for the Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission. Formerly, Mr. Kahl was Assistant Director in charge of the Investment Adviser Regulation Office in the Division of Investment Management at the SEC. Prior to joining the Commission in 2001, Dan worked for the Investment Adviser Association, FINRA, and the North American Securities Administrators Association. He received his B.S. from Penn State University, J.D. from Southern Methodist University, and LL.M. (Securities) from Georgetown University.


Mary E. Keefe is a Managing Director and Director of Regulatory Affairs for Nuveen Investments, Inc., where she manages Nuveen’s relationships with its regulators and keeps Nuveen Senior Management current in the rapidly changing regulatory environment in which Nuveen operates. Previously, Ms. Keefe served as Director of Compliance for Nuveen. Earlier, Ms. Keefe served for 10 years as the Director of the SEC’s Chicago Regional Office, managing enforcement and examination programs covering the nine Midwest states. Ms. Keefe earned her law degree at De Paul University College of Law and her undergraduate degree at Northern Illinois University.


Mavis Kelly is an Assistant Director in the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE). She serves in OCIE’s National Exam Program Office and assists in the administration of the investment company and investment adviser examination program. Since joining the SEC in 1992, Ms. Kelly has conducted or overseen over 500 examinations of investment companies and investment advisers. She has been directly involved in many national risk-targeted examination initiatives that focused on topics such as: the types of registrants OCIE examines (i.e., dual registrants, variable insurance product sponsors, and advisers to private funds); registrants’ business lines or operational areas (i.e., due diligence, distribution, marketing, and trading and execution); investment products (i.e., hedge funds, private equity funds, BDCs, and ETFs); and industry practices (i.e., cybersecurity, business continuity, valuation, and custody).


Tanya A. Kerrigan currently serves as Vice President and Assistant General Counsel to Massachusetts Financial Services Company (“MFS”) in Boston, where she focuses on institutional investment advisory business. Prior to MFS, Ms. Kerrigan was a member of the Executive Committee and served as General Counsel and Chief Compliance Officer of Boston Advisors, LLC, a boutique investment adviser located in Boston. At Boston Advisors, Ms. Kerrigan managed all legal and regulatory operations including the compliance oversight of separately managed accounts, wrap programs, hedge funds and mutual funds sub advised by Boston Advisors. Ms. Kerrigan was also responsible for new product creation, including hedge funds and mutual funds. Previously, Ms. Kerrigan held the position of Associate General Counsel and Deputy Compliance Officer at H.C. Wainwright & Co., Inc., a dually registered investment adviser and broker-dealer located in Boston. Ms. Kerrigan received a B.A. from the University at Albany and a J.D. from New England School of Law, and is licensed to practice law in Massachusetts. Ms. Kerrigan is a Board Member of the New England Broker Dealer Investment Adviser Association (“NEBDIAA")


Ash Khan, Managing Director of Treliant, has over 20 years of experience in information security, technology risk management, enterprise architecture, and technology infrastructure. His expertise spans a diverse range of industries including banking, insurance, pharmaceuticals, and government. Prior to joining Treliant, Mr. Khan was the Chief Information Security Officer of the Global Consumer Banking division of Citigroup. In this role, he was accountable for ensuring the security of the Global Consumer Banking portfolio of products, services, applications, and customer data spanning the online, mobile, voice, branch, and ATM channels. Mr. Khan has built security programs from inception through execution, augmenting traditional security program management with business continuity, disaster recovery, and IT compliance. Mr. Khan is a graduate in Physics from University College London and holds an advanced degree in Computing from Imperial College London. In the Security discipline, he has numerous certifications including Certification in Risk and Information Systems Control (CRISC), Certified Information Systems Security Professional (CISSP), Certified Information Privacy Professional (CIPP/US), Certified Information Security Manager (CISM), Certified Information Systems Auditor (CISA), PCI Internal Security Assessor (PCI-ISA), and PCI Professional (PCIP).


Jennifer L. Klass is a partner at Morgan, Lewis and Bockius LLP. A regulatory counseling lawyer with a broad background in investment management regulation, she advises clients on a wide range of investment advisory matters, including investment adviser registration and interpretive guidance, disclosure and internal controls, regulatory examinations and enforcement actions. Her clients include major investment banks, investment advisers, broker-dealers and the sponsors of private investment funds and mutual funds. Previously Vice President and Associate General Counsel at Goldman, Sachs & Co., Ms. Klass’s practice focuses on the convergence of investment advisory and brokerage services.

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.


Ronald Long is the Director of Regulatory Affairs and Elder Client Initiatives, reporting to the Chief Compliance Officer of Wells Fargo Advisors. In this role, he works with business units to help them stay abreast of the changing regulatory environment and issues related to the aging client. Under his leadership, the firm has created guides for the older investor and increased awareness for its investment professionals on the concerns of the older investor. Since 2006, Ron has taken a leading role in the securities industry in reviewing how it engages its older clients. He has spoken at numerous conferences sponsored by the Institutes of Medicine, American Society on Aging, and the White House Conference on Aging. Ron started his legal career as an associate with the San Jose, California law firm of Hoge, Fenton, Jones and Appel, Inc. He is a graduate of Williams College and received his law degree from Georgetown University Law Center.


Keith Marks is General Counsel and Executive Director of Compliance Solutions Strategies. Mr. Marks works across CSS to find regulatory data and reporting solutions that investment managers need. He manages a team of Directors, Consultants and Compliance Managers who provide consulting, annual compliance program reviews, risk assessments, on-site mock examinations, registration services, and cybersecurity services to institutional wealth managers, private fund managers, retail wealth advisors, and registered investment companies. Mr. Marks earned his Juris Doctor degree magna cum laude from Western New England University School of Law, and his Bachelor of Arts magna cum laude from the University of Connecticut. He is a member of the State Bar of Connecticut.


Akrivi (Vivi) Mazarakis is a Branch Chief in the Office of Chief Counsel for the SEC’s Office of Compliance Inspections and Examinations (OCIE). She provides advice on law, policy, operations, and ethics to examination staff in Washington, DC and in the regional offices. Prior to assuming this role, Ms. Mazarakis conducted examinations of broker-dealers and self-regulatory organizations at the SEC. In addition to her federal government experience, Ms. Mazarakis was a senior associate at several major private law firms in their enforcement and litigation practices, where she represented broker-dealers, investment advisers, and executives of public companies in civil litigation and in investigations by the SEC, the U.S. Department of Justice, and other U.S. regulatory agencies regarding alleged violations of the U.S. securities laws. She earned a Bachelor of Arts in Political Science and Economics from the University of Houston and graduated from American University with a Juris Doctor as well as a Master of Arts in International Affairs.


Michael W. McGrath, CFA, is 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.


Sharanya Mitchell is Vice President, Senior Global Regulatory Counsel and Chief Privacy Officer of Cohen & Steers, a publicly-listed and diversified asset manager. Ms. Mitchell is responsible for advising on ongoing and upcoming regulatory requirements internationally. Prior to joining Cohen & Steers, Ms. Mitchell advised on financial regulation at the law firm, Davis Polk & Wardwell LLP, and at the New York Stock Exchange in New York. Prior to her time in New York, she advised on financial regulation at the investment bank, Banque AIG, and worked in policy at the Ministry of Justice in London. Ms. Mitchell holds a Master of Laws from Columbia Law School, a Bachelor of Laws (Hons) from University of London, and a Bachelor of Psychology (Hons) from University of New South Wales.


James O'Leary is the Director of Performance at Mellon which is an entity that was formed by the merger of Standish Mellon Asset Management, The Boston Company Asset Management and Mellon Capital Management to form a multi-asset class investment manager with a wide range of active and passive strategies. Previously he was the Director of Performance at BNY Mellon Asset Management Operations and also served as a GIPS/Performance analyst at Evergreen Investment Management Company. Mr. O’Leary is a volunteer with CFA Institute. From 2014–current, he has served on the United States Investment Performance Committee (USIPC), which is the official local country sponsor for the Global Investment Performance Standards (GIPS) in the United States. He was appointed Chair of the Committee in September 2018.


Pamela F. Pendrell, IACCP, is a partner and the Chief Compliance Officer of GlobeFlex Capital, a registered investment adviser serving institutional clients. She has been with the firm since 2004 and held marketing and client service roles prior to focusing on compliance. Prior to joining GlobeFlex, Ms. Pendrell worked for AllianceBernstein in New York and Pacific Corporate Group in San Diego. She earned her B.A. at Colgate University, graduating magna cum laude with high honors in History.


Mark D. Perlow is a partner in the San Francisco office of Dechert LLP. He represents mutual funds, hedge fund managers, fund independent directors, investment advisers and broker-dealers on a broad range of regulatory and transactional matters. He is also an adjunct lecturer at the University of California, Berkeley Law School where he teaches a course on capital markets and financial regulation. Having served as senior counsel in both the SEC’s Office of the General Counsel and the Division of Enforcement, Mr. Perlow has considerable experience with SEC rule-making, submissions, enforcement, examinations and compliance activity. Mr. Perlow received a J.D. from Yale Law School, an M.A. from Oxford University and an A.B. from the University of California, Berkeley. He is a member of the California and District of Columbia Bars.

Mari-Anne Pisarri is a Partner with Pickard Djinis & Pisarri. She specializes in regulatory issues pertaining to investment advisers, 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, Ms. Pisarri speaks and writes extensively on securities regulatory issues. Before joining Pickard Djinis and Pisarri in 1985, Ms. Pisarri was an associate at Cladouhos & Brashares in Washington, DC, 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.

Robert E. Plaze is a partner with Proskauer and a member of the Registered Funds Group. He advises investment advisers and investment companies on an array of matters, with a particular focus on regulatory and compliance matters. Previously, he served as Deputy Director of the Division of Investment Management of the U.S. Securities and Exchange Commission. During his nearly 30 years of SEC service, he was responsible for policy development and management of many of the key regulatory initiatives affecting investment companies and investment advisers, including rules governing fund and adviser compliance programs, fund corporate governance, personal trading, custody and brokerage practices, prohibitions on “pay-to-play” practices, and protection of investor privacy. Most recently, Mr. Plaze was responsible for rulemaking to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act affecting investment advisers, including rules requiring advisers to hedge funds and other private funds to register with SEC, rules implementing new exemptions from registration and rules requiring reporting by certain exempt investment advisers.


Patricia A. Poglinco is a partner in and co-head of Seward & Kissel’s Investment Management group. Ms. Poglinco joined Seward & Kissel in 1986 and has been a partner since 1994. Ms. Poglinco’s practice specialties include the representation of investment advisers and related regulatory compliance; the formation and representation of private investment partnerships, group trusts and various offshore investment vehicles; the formation and CFTC registration of commodity pools, commodity pool operators and commodity trading advisors; the formation and ongoing representation of registered investment companies (open-end and closed-end funds) and their managers, distributors, underwriters and other service providers; and general securities and general corporate matters.


John Pollard is a Director in EJF Capital LLC’s Compliance Department and is responsible for day-to-day compliance matters at the firm. Prior to joining EJF, Mr. Pollard worked at the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations for over 10 years. During his time at the Commission, Mr. Pollard developed and led national initiatives such as the Presence Exams, which influenced over 500 examinations across 11 regional offices. Mr. Pollard has also led examinations of various registered investment advisers including advisers to private funds, registered investment companies, and individual client accounts. Mr. Pollard completed his undergraduate degree at Villanova University and received his J.D. from The Catholic University of America.


Jim Prescott, IACCP, is Vice President, Compliance of Ariel Investments, LLC. Mr. Prescott is a member of Ariel Investments’ four person Compliance team. His responsibilities include the administration of Ariel’s Code of Ethics program, proxy voting, conflicts and risk, 22c-2 review, procedure testing and regulatory filings. He is the co-chair of Ariel’s data governance committee. Mr. Prescott made the switch to Compliance after a 30+ year career in Operations. Prior to joining Ariel in 2014, Mr. Prescott spent seven years at Henderson Global Investors (North America) as the manager of its U.S. retail separately managed accounts administration. He graduated from DePaul University with a B.S. in Business Administration and holds an IACCP designation.

Rob Saperstein

Rob Saperstein is a Senior Managing Director, the Global Head of Compliance and Senior Counsel for Guggenheim Partners, LLC. Mr. Saperstein joined Guggenheim in June 2012 as Senior Regulatory Counsel and Head of Central Compliance. Mr. Saperstein has 30 years’ experience as a legal and compliance professional in the industry. As Global Head of Compliance, Mr. Saperstein has oversight over the compliance programs for all Registered investment Advisors, Registered Investment Companies, Broker-Dealers, Commodity Trading Advisors and Business Development Companies firmwide. Prior to joining Guggenheim, Mr. Saperstein worked at Caxton Associates, LLC, Goldman, Sachs & Co., and Bear Stearns & Co.. He served as a Branch Chief in the Enforcement Division of the New York office of the U.S. Securities and Exchange Commission after beginning his career as a litigation Associate at the law firm of Rosenman & Colin. Mr. Saperstein passed his FINRA Series 7 (Registered Representative), Series 8 (Branch Manager), Series 14 (NYSE Chief Compliance Officer) and Series 24 (NASD Principal) exams. Mr. Saperstein graduated from Tufts University in 1985 with a B.A. and from George Washington University Law School in 1988 with a J.D. He is admitted to practice in New York State.


Aaron Schlaphoff is a partner in the New York office of Kirkland & Ellis LLP, where he is a member of the Investment Funds group. Prior to joining Kirkland, Mr. Schlaphoff was most recently an attorney fellow in the Division of Investment Management at the U.S. Securities and Exchange Commission (SEC). Drawing on his private sector experience, he contributed to a wide range of matters relating to investment advisers and investment vehicles subject to SEC regulation, including private funds, mutual funds and exchange-traded funds (ETFs). In the private funds area, Mr. Schlaphoff advised various SEC divisions and offices, including the Office of Compliance Inspections and Examinations (OCIE) and the Division of Enforcement, on interpretive matters under the Advisers Act, as well as on market practice in the hedge fund and private equity fund industries.


Michael Sherman is Partner at Dechert LLP. His practice focuses on counseling investment advisers (including advisers to hedge funds), investment companies and other financial institutions in regulatory, corporate and compliance matters. Much of Mr. Sherman’s work involves helping clients with issues related to investment adviser registration, compliance policies and procedures, marketing and advertising (including Global Investment Performance Standards), investment company status questions, and regulatory issues and examinations. Mr. Sherman was “highly recommended” in the 2014 edition of the Legal 500 (US) in the area of mutual/registered funds. Mr. Sherman received his B.A., cum laude, from American University, and his J.D. from Vanderbilt University Law School, where he was Associate authorities editor of the Vanderbilt Journal of Transnational Law.


Linda Shirkey, President and founder of The Advisor’s Resource, has provided compliance expertise to registered investment advisers for over 20 years. The firm’s clients range from startups to multi-billion dollar entities; hedge, private equity and wealth managers. A former institutional stock broker covering money managers and major corporations, Ms. Shirkey provides a strategic perspective, collaborating with clients to create fully customized compliance practices. A magna cum laude graduate of Case Western Reserve University in Cleveland, Ohio, Ms. Shirkey is involved with Texas Wall Street Women, and also holds a leadership role with the Houston Compliance Roundtable.

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.


Jennifer Songer serves as Branch Chief of the Private Funds Branch of the Investment Adviser Regulation Office, an office within the SEC’s Division of Investment Management in Washington, DC. The Private Funds Branch focuses on regulations affecting private fund advisers and assists the Commission in developing policy relating to private funds and private fund advisers. Prior to joining the SEC, she was an associate at K&L Gates LLP and Seward & Kissel LLP where she advised clients on the structuring, formation, and private offering requirements of private funds and provided counsel to investment advisers in regulatory and compliance matters. Ms. Songer received a J.D. from Boston College Law School and a B.A. from the University of Pennsylvania.


Marshall S. Sprung is a Managing Director and Global Head of Compliance at Blackstone Alternative Asset Management LP. Before joining the firm in 2016, Mr. Sprung was Co-Chief of the Asset Management Unit of the U.S. Securities and Exchange Commission’s Division of Enforcement. In this capacity, Mr. Sprung oversaw a nationwide program of investigations focusing on investment advisers, investment companies, mutual funds, hedge funds, private equity funds and other investment vehicles managed by investment advisers. He co-led a team of nearly 80 attorneys, industry experts and other professionals, and was responsible for directing the SEC’s asset management-related enforcement efforts. In recognition of his leadership and integrity, he received the Chairman’s Award for Excellence in Leadership in 2015. Mr. Sprung had previously served as AMU Deputy Chief and Assistant Director in the Enforcement Division. Mr. Sprung received his J.D. from New York University School of Law, where he served as Executive Editor of the New York University Law Review, and his B.A. with honors from Brown University.

Chris Stanley

Chris Stanley is the Founding Principal of Beach Street Legal, a law practice and compliance consultancy for investment advisers and financial planners. In this role he provides legal advice and compliance counseling related to federal and state securities laws, SEC rules and regulations, investment management compliance, RIA registration, advisers in transition, and general corporate legal matters. Most recently he served as General Counsel for Loring Ward, a turnkey asset management provider headquartered in San Jose, California. He also previously served as Loring Ward's Chief Compliance Officer, as well as Chief Legal Officer and Chief Compliance Officer for the SA Funds – Investment Trust, a mutual fund family advised by Loring Ward. Chris received his J.D. and M.B.A. from Santa Clara University, and his B.A. from Boston College. He also has passed the FINRA Series 7 General Securities Representative and Series 24 General Securities Principal examinations, as well as the NASAA Series 66 examination. He is admitted to the State Bar of California and the District of Columbia.


Sarah G. ten Siethoff is Deputy Associate Director in the Rulemaking Office of the SEC’s Division of Investment Management. As Deputy Associate Director, Ms. ten Siethoff is responsible for developing recommendations for rulemaking and other policy initiatives under the Investment Company and Investment Advisers Acts of 1940. Ms. ten Siethoff also oversees management of key rulemaking projects related to funds and investment advisers. She has served in the Division of Investment Management since 2008, as Assistant Director, Senior Special Counsel and Senior Counsel. Earlier, Ms. ten Siethoff was an Associate with Cleary Gottlieb Steen and Hamilton LLP from 2000-2008. She received her law degree from Yale Law School, a master’s degree in international relations from Yale University, and a bachelor’s degree with highest distinction from the University of Virginia. Ms. ten Siethoff was a Case Notes Editor of the Yale Law Journal and an Articles Editor of the Yale Journal of International Law. While at the SEC, Ms. ten Siethoff received the Excellence in Leadership Award in 2016 and the Manuel F. Cohen Award in 2010, among other honors.

Mitchell Thompson

Mitchell Thompson is a Supervisory Special Agent in the FBI Cyber Division, Global Operations and Targeting Unit, where he oversees initiatives to combat the global cyber threat and transnational cyber criminals. Prior to his current role, he established the FBI New York Financial Cyber Crimes Task Force with investigators from FBI, US Secret Service, NYPD, and other law enforcement agencies in the New York City area. The task force was responsible for investigating several high profile cyber breaches and intrusions targeting the financial sector in New York. SSA Thompson has over 10 years of cyber investigative experience, where he has investigated intrusions, malware, botnets, financial fraud, and various internet scams. SSA Thompson holds an M.B.A. degree and prior to his appointment as an FBI Special Agent, he obtained his CPA license and practiced public accounting for a global accounting firm.

Roberta U

Roberta Ufford is a Senior Special Counsel in the Analytics Office of the SEC’s Division of Investment Management. The Analytics Office monitors trends in the investment management industry and carries out the Division’s outreach and examination program. Ms. Ufford also contributes to the work of the Division’s Rulemaking Office. Before joining the SEC in 2015, Ms. Ufford was a principal of the Groom Law Group, Chartered, located in Washington, DC where she advised retirement plan sponsors and service providers about fiduciary and other issues arising under ERISA, federal securities laws and other laws. She earned her law degree from the George Washington University National Law Center in Washington, DC, graduating with High Honors, and her undergraduate degree from Goucher College in Towson, Maryland. Before attending law school, she served as an active duty military intelligence officer in the U.S. Army, attaining the rank of Captain.


Thomas P. Vartanian is Executive Director & Professor of Law, Program on Financial Regulation & Technology at George Mason University’s Scalia Law School, where he is also a Professor of Law. Between 1983 and 2018, he chaired the Financial Institution’s practices at Dechert LLP and Fried Frank through four financial crises and was consistently recognized by clients as “one of the best financial services lawyers in America.” Mr. Vartanian served in the Reagan Administration as General Counsel of the Federal Home Loan Bank Board and the FSLIC. Prior to that, he served in the Office of the Comptroller of the Currency as Special Assistant to the Chief Counsel and Senior Antitrust Litigation Attorney. Mr. Vartanian served as Chairman of the American Bar Association’s Cyberspace Law Committee between 1998 and 2002, when he chaired an international task force of lawyers from twenty countries which issued a seminal report on the novel jurisdiction issues created by electronic commerce and virtual currencies entitled, “Achieving Legal and Business Order in Cyberspace: A Report on Global Jurisdiction Issues Created by Cyberspace.” Mr. Vartanian has authored more than four hundred articles and seven books, including 21st Century Money, Banking and Commerce. He is a frequent lecturer and media commentator on the financial services industry.


Karyn D. Vincent, CFA, CIPM, is Head, Global Industry Standards at CFA Institute and GIPS® Executive Director. Previously, she was managing partner for client services at ACA Performance Services. Ms. Vincent founded Vincent Performance Services LLC, which subsequently merged with ACA. She also served as the global practice leader for investment performance services at PricewaterhouseCoopers. Ms. Vincent also served on the GIPS Executive Committee, chaired the GIPS Technical Committee, GIPS Interpretations Subcommittee and the Verification/Practitioner Subcommittee, served on the CIPM® Advisory Council, and chaired the AIMR-PPS® Implementation Committee. She co‐authored with Bruce J. Feibel Complying with the Global Investment Performance Standards (GIPS). Ms. Vincent holds a bachelor’s degree in accounting from the University of Massachusetts Dartmouth.


Gwendolyn A. Williamson, a partner at Perkins Coie LLP, represents registered investment companies and business development companies and their independent directors, as well as investment advisers, family offices and nonprofit organizations. She advises clients on governance and compliance responsibilities under the federal securities laws, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Ms. Williamson’s 15 years of experience in the asset management industry includes work with: registered fund launches and liquidations; fund and adviser compliance and vendor oversight programs; SEC registrations, examinations and investigations; annual compliance and risk assessments; routine and special shareholder disclosures; conflict of interest issues; cybersecurity oversight and monitoring; annual fund contract renewals and independence evaluations; large-scale fund and adviser changes in control; applications for exemptive relief; reporting under the federal securities laws; and negotiating advisory agreements, fund selling and servicing agreements, credit facilities, securities lending arrangements and other contracts germane to the asset management industry. An active speaker and writer, Ms. Williamson serves on the Editorial Board of The Investment Lawyer.


Rana J. Wright serves as the General Counsel of Harris Associates, where she is responsible for managing the legal, compliance, risk and regulatory functions of Harris Associates globally. 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.


Elcin Yildirim, Assistant Director, heads the Quantitative Analytics Unit (QAU) at the U.S. Securities and Exchange Commission. Based out of New York, he was a Quantitative Research Analyst/Financial Engineer in the same Unit prior to his leadership role. The QAU, as part of Office of Risk Strategy in OCIE, focuses on examination support as well as research and development of tools for data analytics. His industry experience is mainly in quantitative and algorithmic trading of equities and futures. Previous to joining the SEC in 2013, Mr. Yildirim held positions of Quantitative Portfolio Manager at SAC Capital Advisors; Director at the Global Strategic Risk Group (GSRG) in Merrill Lynch and Vice President in Process Driven Trading (PDT) at Morgan Stanley. He started his career by consulting on Financial Risk with Oliver Wyman. He has a PhD in Physics with a focus on Probability and Applied Mathematics from Princeton University.


Kerry Zinn is a partner at Bressler, Amery and Ross, P.C. Ms. Zinn is a regulatory counseling and enforcement attorney and is a member of Bressler’s financial institutions practice and head of its financial crime compliance practice. Ms. Zinn advises clients on a wide range of issues including investment advisory matters relating to registration, interpretive guidance, compliance, internal controls, regulatory examinations, enforcement actions and more. Ms. Zinn is one of thirty attorneys who are part of Bressler’s Senior and Vulnerable Investors Issues Group. That Group focuses on advising the financial services industry relating to exploitation and other issues that impact seniors and vulnerable persons. Previously, Ms. Zinn was in-house counsel at a large global financial services firm for 15 years where she advised the firm’s investment advisers, broker dealers, investment bank, private bank and funds in connection with regulatory, compliance and enforcement matters. Immediately prior to going into private practice, she was the head attorney for financial crime compliance in the Americas for that global financial services firm. Ms. Zinn also worked for the SEC’s Division of Enforcement in Miami, Florida for approximately five years. She conducted investigations and first-chaired administrative and federal court actions against registrants and other parties who violated the federal securities laws.