2020 IAA Investment Adviser Compliance Conference
More than 400 investment adviser compliance and legal professionals attended our 2020 conference in Washington, DC on March 5-6 and heard presentations from 90 regulators, industry experts, and peers on a wide range of topics – including preparing for new Form CRS; strategies for managing an SEC exam; data privacy; cybersecurity; technology; trading and best execution; ethics; and much more.
We want to thank our 2020 Compliance Conference speakers – and remind you to Save the Date for next year’s conference – March 4-5, 2021.
Thank You to our 2020 Compliance Conference Speakers!
Joseph Allessie
Deputy General Counsel
Harris Associates L.P.
Elaine Banar
Global Head of Anti-Money Laundering and Anti-Corruption Compliance
Guggenheim Partners, LLC
Karen L. Barr
President & CEO
Investment Adviser Association
David Bartels
Associate Director, Chief Counsel’s Office
Securities and Exchange Commission
Marita Bartolini
Assistant Director, Office of Compliance Inspections and Examinations
Securities and Exchange Commission
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 Botkin
Associate General Counsel
Investment Adviser Association
Julien Bourgeois
Partner
Dechert LLP
Matthew Bromberg
Partner
Dorsey & Whitney LLP
Colleen Brown
Partner
Sidley Austin LLP
Theresa Brunsman
Vice President, Associate General Counsel
Nuveen Asset Management
Sarah A. Buescher
Associate General Counsel
Investment Adviser Association
Claire G. Burke
Chief Compliance Officer
Vanguard Advisers, Inc.
Robert E. Burks, Jr.
Chief Compliance Officer
Brown Capital Management
Christine Carsman
Senior Policy Advisor
Affiliated Managers Group, Inc.
Maria Chambers
Chief Compliance Officer
Klingenstein Fields Wealth Advisors
Scot Draeger
President and General Counsel
R. M. Davis, Inc.
Peter Driscoll
Director, Office of Compliance Inspections and Examinations
Securities and Exchange Commission
Ivy Wafford Duke
Chief Compliance Officer
National Real Estate Advisors, LLC
David Edwards
President & Wealth Advisor
Heron Wealth
Mark A. Egert
Chief Compliance Officer and Head of Asset Management Americas Compliance
JPMorgan Investment Management Inc.
Kevin Ehrlich
Manager, U.S. Regulatory Affairs & CCO
Western Asset Management Company
Jeff Engelsman
Managing Director and Global Chief Compliance Officer
TCW Group, Inc.
Lee A. Faria
Vice President and Chief Compliance Officer
Columbia Management Investment Advisers, LLC
Rick A. Fleming
Investor Advocate, Office of the Investor Advocate
Securities and Exchange Commission
Wendy Fox
Senior Vice President, Chief Compliance Officer
Ariel Investments
Brian Gallagher
Managing Director, Chief Administrative Officer
1919 Investment Counsel, LLC
Paul Glenn
Special Counsel
Investment Adviser Association
Alan P. Goldberg
Partner
Stradley Ronon Stevens & Young, LLP
Laura Grossman
Associate General Counsel
Investment Adviser Association
Glen Guymon
Vice President and Senior Counsel
Dodge & Cox
Alexis Hall
Senior Special Counsel and Acting Associate Director, Technology Controls Program, Office of Compliance Inspections and Examinations
Securities and Exchange Commission
Joann Harris
Chief Compliance Officer and Deputy General Counsel
TPG Global, LLC
Christopher Hayes
Chief Compliance Officer, Principal
1919 Investment Counsel, LLC
John Hoeppner
Head of US Stewardship and Sustainable Investments
Legal & General Investment Management America, Inc.
Vanessa L. Horton
Assistant Regional Director, Office of Compliance Inspections and Examinations
Securities and Exchange Commission
Jaqueline M. Hummel, IACCP®
Managing Director and Partner
Hardin Compliance Consulting LLC
Michelle L. Jacko, CSCP
Managing Partner and CEO
Jacko Law Group, PC
Founder and CEO
Core Compliance & Legal Services, Inc.
Jennifer L. Klass
Co-Chair, North America Financial Regulation and Enforcement Practice
Baker & McKenzie LLP
Michael B. Koffler
Partner
Eversheds Sutherland (US) LLP
Sanjay Lamba
Associate General Counsel
Investment Adviser Association
Bob Lavigne
Managing Director
Bates Compliance
Peggy E. Lebert
Managing Director and Chief Compliance Officer
Avalon Investment & Advisory
The Honorable Allison Herren Lee
Commissioner
Securities and Exchange Commission
Kathy Lewis
Chief Compliance Officer
First Affirmative Financial Network LLC
Rosa Licea-Mailloux
Vice President, Director of Corporate Compliance
MFS Investment Management
Christine Lombardo
Partner
Morgan, Lewis & Bockius LLP
James G. Lundy
Partner
Faegre Drinker Biddle & Reath, LLP
Andrea Ottomanelli Magovern
Branch Chief, Chief Counsel’s Office
Securities and Exchange Commission
Grace Man
Senior Manager
Franklin Templeton Investments
Richard D. Marshall
Partner
Katten Muchin Rosenman LLP
Katie McGinley
Chief Compliance Officer
Mitchell, McLeod, Pugh & Williams, Inc.
Michael McGrath
Partner
K&L Gates LLP
Ian J. McPheron
Head of Legal—Americas
Aviva Investors
Justin Meagher
Managing Director
SS&C
Paul M. Miller
Partner
Seward & Kissel LLP
Nick Morgan
Partner
Paul Hastings LLP
Karen Nash-Goetz
Vice President & Senior Legal Counsel
T. Rowe Price Associates, Inc.
Steven Peikin
Co-Director, Division of Enforcement
Securities and Exchange Commission
Pamela F. Pendrell, IACCP®
Chief Compliance Officer/Partner
GlobeFlex Capital, L.P.
Kimberly Peretti, CISSP
Partner
Alston & Bird LLP
Lillian Peros
Regional Vice President, Relationship Management
Fidelity
Robert E. Plaze
Partner
Proskauer Rose LLP
Robyn Forman Pollack
Managing Director
AchieveNEXT
George B. Raine
Partner
Ropes & Gray LLP
Gwen Reinke
Chief Compliance Officer
Vista Equity Partners
Julie M. Riewe
Partner
Debevoise & Plimpton LLP
Thomas J. Ritter, Sr., CSCP®
Director of Compliance
Journey Advisory Group, LLC and Lang Advisors, LLC
Jeremi Roux, CFA
General Counsel & Chief Compliance Officer
Hamlin Capital Management, LLC
Igor Rozenblit
Co-Head, Private Funds Unit, Office of Compliance Inspections and Examinations
Securities and Exchange Commission
Paul Schappell
Senior Principal Consultant
ACA Aponix
Jed Schneider, CIPM, FRM
Senior Vice President, GIPS Compliance and Performance Reporting
Lazard Asset Management
Mark Schoeff Jr.
Senior Reporter
InvestmentNews
Brian Simon
General Counsel
Harding Loevner LP
Neil Simon
Vice President, Government Relations
Investment Adviser Association
Danielle Nicholson Smith
Vice President and Senior Legal Counsel – U.S. Communications and Digital Services
T. Rowe Price Investment Services, Inc. and T. Rowe Price Advisory Services, Inc.
Jacob D. Smith
Principal, General Counsel and Chief Compliance Officer
Luther King Capital Management
Ryan Spelman
Senior Manager
Duff & Phelps
Marshall Sprung
Senior Managing Director and Global Head of Compliance
The Blackstone Group
Ben Tecmire
Senior Counsel, Investment Adviser Regulation Office, Division of Investment Management
Securities and Exchange Commission
Bob Toner
Chief Legal Counsel - Investment Management
William Blair & Company, LLC
Karyn Vincent, CFA, CIPM
Head, Global Industry Standards and GIPS Executive Director
CFA Institute
Kurt Wachholz, IACCP®
Director of Education and Executive Consultant
National Regulatory Services
Joshua Westerholm
Partner
Kirkland & Ellis LLP
Lori Weston
Managing Director
Foreside
Steven A. Yadegari
Chief Operating Officer and General Counsel
Cramer Rosenthal McGlynn, LLC
E.J. Yerzak, CISA, CISM, CRISC
Director of Cyber IT Services
Compliance Solutions Strategies (CSS)
Jessica Zerges
Legal and Compliance
Capital Research & Management Company
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.
Thanks to our 2020 Conference Sponsor
