2020 Compliance Conference

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Investment Adviser Compliance Conference


The IAA’s annual Investment Adviser Compliance Conference is a comprehensive two-day program that provides investment advisers with the most current information available on the changing regulatory landscape. Participants return to their firms with practical insights and knowledge of best practices to help them maintain a successful compliance program. In addition to meeting and interacting with peers, attendees will hear from a distinguished roster of speakers that includes SEC staff, investment adviser industry professionals, and legal experts.

The conference covers a wide range of compliance issues, both in plenary sessions and in numerous breakout sessions. Video recordings of all breakout sessions are available after the conference exclusively to conference attendees. The conference is approved for NRS Investment Adviser Certified Compliance Professional® (IACCP®) continuing education credit.   It is also approved for CLE credit and for NASBA CPE credit.        

The IAA’s 2020 Investment Adviser Compliance Conference will take place Wednesday – Friday, March 4-6, 2020 in Washington, DC. Registration will open this fall.

The IAA would like to thank the industry experts, peers and regulators who spoke at the 2019 IAA Investment Adviser Compliance Conference:

Lindsay Antoniello
Deputy Chief Compliance Officer
TPG Global, LLC

 

Stephanie Avakian
Co-Director, Division of Enforcement
Securities and Exchange Commission

 

Karen L. Barr
President & CEO
Investment Adviser Association

 

Thoreau A. Bartmann
Senior Special Counsel, Division of Investment Management
Securities and Exchange Commission

 

Kenneth J. Berman
Partner
Debevoise & Plimpton LLP

 

Gail Bernstein
General Counsel
Investment Adviser Association

 

Dalia Blass
Director, Division of Investment Management
Securities and Exchange Commission

 

Paula Bosco
Co-Founder & CEO
Activus Risk Management

 

Monique S. Botkin
Associate General Counsel
Investment Adviser Association

 

Garrett C. Broadrup
Vice President and Senior Counsel
Affiliated Managers Group, Inc.

 

Sharon C. Buccafusco
Vice President
Tradition Capital Management LLC

 

Sarah A. Buescher
Associate General Counsel
Investment Adviser Association

 

Claire G. Burke
Chief Compliance Officer
Vanguard Advisers, Inc.

 

Ari Burstein
President
Capital Markets Strategies

 

Eva Ciko Carman
Partner
Ropes & Gray LLP

 

Joanna Catalucci
Senior Managing Director and CCO
Guggenheim Funds

 

Jonathan G. Cedarbaum
Partner
WilmerHale

 

Kenneth W. Clowers
Managing Director
ACA Compliance Group

 

Robert A. Cohen
Chief, Cyber Unit, Division of Enforcement
Securities and Exchange Commission

 

Lewis Collins
General Counsel
GW&K Investment Management

 

Mark Dowdell
Assistant Regional Director, Philadelphia Regional Office
Office of Compliance Inspections and Examinations
Securities and Exchange Commission

 

Jisha Dymond
Chief of Staff & Compliance Counsel
Oz Management

 

David Edwards
President & Wealth Advisor
Heron Wealth

 

Kevin Ehrlich
Manager, U.S. Regulatory Affairs & CCO
Western Asset Management Company

 

James Ferrarelli
Vice President and Head of Investment Management Technology
Supporting Charles Schwab Investment Management, Inc. and Charles Schwab Investment Advisory, Inc.

 

Alexander Gavis
SVP & Deputy General Counsel
Fidelity Investments

 

Christopher Gilkerson
Senior Vice President, General Counsel
Charles Schwab & Co., Inc.

 

Paul D. Glenn
Special Counsel
Investment Adviser Association

 

Catherine (Katy) Courtney Gordon
Vice President and Corporate Counsel
Prudential Financial, Inc.

 

Laura L. Grossman
Associate General Counsel
Investment Adviser Association

 

Justin S. Guthrie, CFA
Partner
ACA Performance Services

 

Elizabeth Halterman
Legal Counsel, Legislative and Regulatory Affairs
T. Rowe Price Associates, Inc.

 

Paul Helms
Partner
McDermott Will & Emery

 

Ki P. Hong
Partner
Skadden, Arps, Slate, Meagher & Flom LLP

 

Holly Hunter-Ceci
Assistant Chief Counsel, Division of Investment Management
Securities and Exchange Commission

 

Michelle L. Jacko
CEO
Core Compliance & Legal Services, Inc.
Managing Partner and CEO
Jacko Law Group, PC

 

Robert J. Jackson, Jr.
Commissioner
Securities and Exchange Commission

 

Daniel Kahl
Co-Deputy Director and Chief Counsel
Office of Compliance Inspections and Examinations
Securities and Exchange Commission

Mary E. Keefe
Director of Regulatory Affairs
Nuveen Asset Management

 

Mavis Kelly
Assistant Director
Office of Compliance Inspections and Examinations
Securities and Exchange Commission

Tanya Kerrigan
Vice President and Assistant General Counsel
MFS Investment Management

 

Ash Khan
Managing Director
Treliant, LLC

 

Jennifer L. Klass
Partner
Morgan, Lewis & Bockius LLP

 

Sanjay Lamba
Associate General Counsel
Investment Adviser Association

 

Ronald Long
Director of Regulatory Affairs and Elder Client Initiatives
Wells Fargo Advisors

 

Keith Marks
General Counsel and Executive Director
Compliance Solutions Strategies

 

Vivi Mazarakis
Branch Chief, Office of Chief Counsel
Office of Compliance Inspections and Examinations
Securities and Exchange Commission

 

Michael W. McGrath
Partner
K&L Gates LLP

 

Sharanya Mitchell
Vice President, Senior Global Regulatory Counsel and Chief Privacy Officer
Cohen & Steers Capital Management, Inc.

 

James O’Leary
GIPS Compliance Analyst
BNY Mellon Asset Management North America

 

Pamela Pendrell
Partner, Chief Compliance Officer
GlobeFlex Capital

 

Mark Perlow
Partner
Dechert LLP

 

Mari-Anne Pisarri
Partner
Pickard Djinis and Pisarri LLP

 

Robert E. Plaze
Partner
Proskauer Rose LLP

 

Patricia A. Poglinco
Partner
Seward & Kissel LLP

 

John Pollard
Director of Compliance
EJF Capital LLC

 

James R. Prescott
Vice President, Compliance
Ariel Investments, LLC

 

Robert Saperstein
Senior Managing Director
Guggenheim Partners, LLC

 

Aaron J. Schlaphoff
Partner
Kirkland & Ellis LLP

Michael L. Sherman
Partner
Dechert LLP

 

Linda Shirkey
President
The Advisor's Resource, Inc.

 

Neil Simon
Vice President for Government Relations
Investment Adviser Association

 

Jennifer Songer
Branch Chief, Private Funds Branch
Investment Adviser Regulation Office
Division of Investment Management
Securities and Exchange Commission

 

Marshall Sprung
Managing Director and Global Head of Compliance
Blackstone Alternative Asset Management LP

 

Chris Stanley
Founding Principal
Beach Street Legal

 

Sarah G. ten Siethoff
Associate Director for the Rulemaking Office
Division of Investment Management
Securities and Exchange Commission

 

Mitchell Thompson
Supervisory Special Agent, Cyber Division
Federal Bureau of Investigation

 

David G. Tittsworth
Counsel
Ropes & Gray LLP

 

Roberta Ufford
Senior Special Counsel, Division of Investment Management
Securities and Exchange Commission

 

Thomas P. Vartanian
Executive Director & Professor of Law
Program on Financial Regulation & Technology
Antonin Scalia Law School, George Mason University

 

Karyn Vincent, CFA, CIPM
Head, Global Industry Standards and GIPS Executive Director
CFA Institute

 

Gwendolyn A. Williamson
Partner
Perkins Coie LLP

 

Rana J. Wright
General Counsel
Harris Associates L.P.

 

Elcin Yildirim
Assistant Director, Quantitative Analytics Unit
Office of Compliance Inspections and Examinations
Securities and Exchange Commission

 

Kerry A. Zinn
Principal
Bressler, Amery & Ross, P.C.

Exhibitors and Sponsors

The IAA welcomes exhibitors and sponsors for this event. Opportunities are limited and sell out quickly. For more information, contact IAA Marketing & Partnerships Manager Alex Ioannidis at alex.ioannidis@investmentadviser.org or at (202) 293-4222.

More Information

For more information about the Compliance Conference, contact IAA Director of Meetings & Events Lisa Gillette at (202) 293-4222 or at lisa.gillette@investmentadviser.org.