2020 Compliance Conference


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
Dechert LLP 

Matthew Bromberg
Dorsey & Whitney LLP 

Colleen Brown
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
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
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
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
Morgan, Lewis & Bockius LLP 

James G. Lundy
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
Katten Muchin Rosenman LLP 

Katie McGinley
Chief Compliance Officer
Mitchell, McLeod, Pugh & Williams, Inc. 

Michael McGrath
K&L Gates LLP 

Ian J. McPheron
Head of Legal—Americas
Aviva Investors 

Justin Meagher
Managing Director

Paul M. Miller
Seward & Kissel LLP 

Nick Morgan
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
Alston & Bird LLP

Lillian Peros
Regional Vice President, Relationship Management

Robert E. Plaze
Proskauer Rose LLP

Robyn Forman Pollack
Managing Director

George B. Raine
Ropes & Gray LLP

Gwen Reinke
Chief Compliance Officer
Vista Equity Partners 

Julie M. Riewe
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

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
Kirkland & Ellis LLP 

Lori Weston
Managing Director

Steven A. Yadegari
Chief Operating Officer and General Counsel
Cramer Rosenthal McGlynn, LLC 

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