2020 Compliance Conference Speaker Biographies
Joseph Allessie, CRCP, Deputy General Counsel of Harris Associates L.P. (an affiliate of Natixis Global Asset Management), has nearly 30 years of legal, compliance and regulatory experience in the asset management and financial services industry ranging from mutual funds to hedge funds, fund of funds, separately managed accounts, offshore funds, euro-domiciled funds and broker-dealer/distribution law. Previously, Mr. Allessie was Senior Vice President & Managing Counsel at the OppenheimerFunds in New York where he managed a team of 25 legal and compliance professionals. Mr. Allessie also acted as a consultant for a short period assisting Sia Partners and a multi-national Canadian bank with AML/KYC remediation in New York. Prior to that Mr. Allessie spent nearly 18 years at UBS Asset Management and its affiliated firm GAM. Mr. Allessie also served as General Counsel and CCO of Kenmar Advisory Corp., a hedge fund of funds in Greenwich and was counsel to the Bureau Chief for the New Jersey Bureau of Securities focusing on enforcement and regulatory matters. Mr. Allessie began his legal career as an associate at the McDonald Group Law Firm in his native Erie, PA and was a former law clerk to the Administrative Law Judge at the Bureau of Securities of the State of Michigan. Mr. Allessie is a graduate of the Western Michigan University Thomas M. Cooley Law School and the Pennsylvania State University. Mr. Allessie also holds a Certified Regulatory and Compliance Professional designation from the FINRA Institute at Wharton.
Elaine Banar is the Global Head of Anti-Money Laundering and Anti-Corruption Compliance for Guggenheim Partners. Ms. Banar has also served as the Global Head of Sanctions Compliance and the Regional Anti-Bribery & Corruption Head at UBS, and the Global Sanctions Head at American Express Company. Ms. Banar’s public service has included 12 years as an Assistant U.S. Attorney in the Eastern District of New York, where she served in roles such as the Chief of the Asset Forfeiture Section and Deputy Chief of the Narcotics Section, and 11 years as a federal agent with the Department of Homeland Security (formerly the U.S. Customs Service) where she lead investigations of money laundering, narcotics trafficking, international weapons smuggling, and also worked undercover. In 2000-2001, Ms. Banar served as the Department of Justice’s Interim Legal Advisor and police liaison to the United Nations Mission in Kosovo where she led the drafting and implementation of laws to allow police covert operations, wiretapping and witness protection. As part of a U.S. State/ Defense Departments project, Ms. Banar was later selected as the only U.S. federal prosecutor to join a team of law enforcement experts to provide training to police and prosecutors in the Baltics on effective use of covert operations. Ms. Banar is a co-author of “Combating Serious Crimes in Post-Conflict Societies” (U.S. Institute of Peace, 2006) and “Strategies and Tactics for Conflict-Affected Societies” (U.S. Institute of Peace, 2017).
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.
David Bartels is Deputy Chief Counsel of the Securities and Exchange Commission’s Division of Investment Management. Mr. Bartels has served in a number of other capacities since joining the Division in 2010, most recently as Senior Policy Advisor to Director Dalia Blass. He started in the Investment Adviser Regulation Office, where he worked on rulemaking, and was subsequently Branch Chief in the Exemptive Applications and Chief Counsel’s Offices from 2011-2016, focusing on exchange-traded funds, business development companies, funds of funds and affiliated transactions. Mr. Bartels also served as counsel to Commissioner Kara M. Stein, advising on a wide range of matters under the federal securities laws. Prior to joining the Division, Mr. Bartels worked in the corporate practice at Sullivan & Cromwell LLP. Mr. Bartels received his law degree from Yale Law School and his bachelor’s degree from SUNY Buffalo.
Marita Bartolini has over 20 years of examination experience and serves as an Assistant Director for OCIE’s Home Office Investment Adviser and Investment Company (IA/IC) Examination Program. In this capacity, she partners with other assistant directors to lead and manage the group’s 30 examiners. In her various roles in the IA/IC group she has led examination teams of both retail and institutional investment advisers; private funds; alternative mutual funds; money market funds and pricing services. Ms. Bartolini serves on specialized working groups and various committees that support the development and improvement of the examination program. Ms. Bartolini has a B.S. degree in finance, summa cum laude, from the University of Maryland at College Park, Smith College of Business and Management.
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 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.
Julien Bourgeois, a Partner at Dechert based in Washington, DC, focuses on the asset management industry, advising U.S. registered investment companies and their directors, as well as their investment advisers and other service providers, on regulatory, compliance, governance and enforcement matters. Mr. Bourgeois has experience with all aspects of investment company representations, including: board matters; exemptive applications; initial and ongoing registrations; complex fund reorganization transactions; affiliation considerations; and structuring funds of funds, manager of managers funds and registered funds using alternative investment strategies and fee arrangements. As a general matter, Mr. Bourgeois enjoys working on complex projects involving multidisciplinary advice. A native of France, he is uniquely positioned to represent global (notably French and European) asset management groups on U.S. matters that apply to them – under U.S. federal and state securities laws or otherwise. He assists them with forming and integrating their U.S. business, using U.S. subsidiaries or their domestic locations, in order to manage U.S. assets or offer investment products in the United States. He has extensive experience in dual-hatting and participating affiliate arrangements, and in working on global compliance approaches.
Matthew Bromberg, a Partner at Dorsey & Whitney LLP, represents financial institutions in transactional and regulatory matters with a focus on investment advisers, registered public funds, private investment funds, banks, and broker-dealers, implementing a variety of investment strategies and offering diverse financial products and services. In various in-house roles, and in private practice at prior firms, Mr. Bromberg has been responsible for providing legal counsel relating to registration and the day-to-day operation of investment advisers, as well as interpretive and “no-action” letter requests, SEC exemptive orders, and related matters. Mr. Bromberg has expertise in ETFs and mutual funds, as well as separately managed account, robo-advisory and wrap fee programs. Mr. Bromberg also provides advice with respect to broker-dealer activities under the Federal securities laws, SRO rules and other relevant laws, including ERISA. In addition, he has provided strategic counsel to executive managers relating to corporate governance, human resources, operational and accounting matters, intellectual property and disputes.
Colleen Theresa Brown focuses on privacy, cybersecurity, data protection and emerging technology issues for a diverse group of companies, including those in the financial, life sciences, telecommunications, media, retail and manufacturing sectors. Over the past decade, she has focused her practice on global data protection compliance, litigation and regulatory enforcement actions, and data breach response, crisis management and internal investigations. Her counseling experience includes cyber risk and data breach management, corporate data protection and privacy compliance programs, international data protection and cross-border transfer, Big Data, Internet of Things, electronic surveillance, trade secrets, social media, cloud computing and online brand protection. She also has significant experience in counseling and strategy under CAN-SPAM, CCPA, CFAA, COPPA, ECPA, ESIGN, FCRA, FOIA, GDPR, GLBA, HIPAA, the Privacy Act, TCPA, Unfair and Deceptive Trade Practices, state privacy and common law claims including defamation and privacy torts, privacy regulations and enforcement in federal agencies including the Federal Trade Commission and the Federal Communications Commission, and industry self-regulation on privacy matters, including those related to online advertising and PCI DSS compliance. Colleen is a Certified Information Privacy Professional/United States through the International Association of Privacy Professionals (IAPP).
Theresa Brunsman serves as Vice President and Associate General Counsel at Nuveen, spending most of her time on legal issues related to ERISA, derivatives, collective investment trusts and regulatory changes related to those areas. Prior to her current role, she worked at Aegon Asset Management providing similar services, and prior to that at Invesco, where she provided compliance support and, subsequently, legal support focused primarily on the stable value program and Invesco’s collective trust business, as well as CFTC and other regulatory issues. Prior to Invesco, she served as internal counsel to various life insurance companies in Cincinnati, Ohio, working on affiliated adviser issues, commercial real estate transactions and variable annuity and variable life products. She has over 20 years of experience providing in-house legal counsel to firms in the financial services sector. She received her B.A. in foreign affairs from the University of Cincinnati and her J.D. from George Washington University.
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 Chief Compliance Officer (CCO) for Vanguard Advisers, Inc. (VAI). In addition to her role as VAI CCO, Claire oversees a team of compliance professionals who support Vanguard’s Institutional Investor Group (IIG) and Financial Advisor Services (FAS) divisions as well as Vanguard’s Personal Advisor Services business. Previously, Claire 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. Claire joined Vanguard in 2008 after completing a clerkship in the United States District Court for the Eastern District of Pennsylvania. Prior to clerking, Claire 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.
Robert E. Burks, Jr. joined Brown Capital Management in 2019 as Chief Compliance Officer. Prior to joining the firm, Mr. Burks was a Compliance Officer in the Global Compliance Examinations department at Legg Mason Asset Management in Baltimore, where he conducted mock regulatory exams of Legg Mason’s Investment Adviser affiliates. Before that, Mr. Burks spent more than a decade with Merrill Lynch, starting out as a Financial Advisor and then taking on a series of increasingly senior branch office management roles. He last served as Vice President, Administrative Manager of branch offices in Cincinnati, OH. Mr. Burks received a B.S. in Industrial Management from the University of Cincinnati.
Christine Carsman joined Affiliated Managers Group, Inc. (AMG) in May 2004 and currently serves as Senior Policy Advisor. In this role, she advises the CEO and the Executive team while actively engaging in industry-related policy matters around the world, including regulatory advocacy. Previously, Ms. Carsman served as Executive Vice President, Chief Regulatory Counsel and Deputy General Counsel, responsible for overseeing the AMG’s regulatory affairs and legal and compliance support of the Company’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 Funds and the Harding Loevner Funds, Inc. Ms. Carsman is 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.
Maria Chambers, IACCP®, is Chief Compliance Officer and Vice President of Klingenstein Fields Wealth Advisors (KFWA). Ms. Chambers began her career in the Corporate Legal Department at Cravath, Swaine & Moore where she supported the Corporate Finance, Mergers and Acquisitions and International Groups. She then joined Morgan Stanley Investment Management Inc., where her responsibilities included overseeing the compliance program for the firm’s ultra high-net-worth custom separately managed account and wrap account platforms. Most recently, Ms. Chambers was a Vice President and Senior Compliance Officer at Guggenheim Partners Investment Management Inc. She graduated cum laude from Fordham University with a B.A. in Economics, a minor in Philosophy and a Certificate in Business Administration.
Scot Draeger serves as the President and General Counsel of R. M. Davis, an independent investment advisory firm with approximately $4 billion in AUM. He joined R. M. Davis in 2017 after a career serving in senior legal, business, and management roles at the SEC in Washington, D.C., Citigroup’s Corporate & Investment Bank in New York (including as General Counsel of Citi Fund Services), and as Chairman of the Financial Services, Securities, and Asset Management Industry Groups at Bernstein Shur, where he represented asset management firms, family offices, and institutional investors around the world in the full range of their corporate needs. His perspective and counsel incorporates a scope and gravity of experiences that is unique. Mr. Draeger is an equity owner in the firm and is a member of the Executive, Trust Oversight, Compliance, Trading Practices, Proxy, Technology, and Disaster Recovery Committees.
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.
Ivy Wafford Duke serves as the Chief Compliance Officer for National Real Estate Advisors, LLC, an SEC-registered investment adviser located in Washington, DC that specializes in build-to-core, developing and owning large-scale, urban commercial and multifamily real estate projects for its institutional client accounts. Ms. Duke began her investment management career at Drinker Biddle & Reath LLP. She then joined Calvert Investments, Inc. where she last served as Vice President and Acting General Counsel. More recently, Ms. Duke was Counsel in the Investment Management Group at Seward & Kissel LLP in Washington, DC. She holds an LL.M. in Securities and Financial Regulation from Georgetown University Law Center, and a J.D. and B.A. from the University of Virginia.
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. Prior to founding Heron Wealth, Mr. Edwards was associated with Morgan Stanley, JP Morgan and Nomura Securities developing investment products and quantitative trading models. Mr. Edwards is quoted frequently in Bloomberg, Wall Street Journal, Reuters, InvestmentNews, Money, Financial Planning and many other financial news sources. Mr. Edwards is a member of the Carson Coaching Advisory Board, the eMoney Advisory Board and the Investment Adviser Association, serving on the Cybersecurity/Data Privacy, Government Relations, Membership, Smaller Advisers and Social Media committees. Mr. Edwards is recognized as an industry expert and presents often at conferences on the subjects of marketing and social media compliance, and on the implementation of technology and cybersecurity for registered investment advisors. Mr. Edwards 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. Mr. Edwards is an avid sailor who competes in regattas annually from New England to the Caribbean and coaches a home town team in New York Harbor.
Mark A. Egert is the Executive Director and Head of Global Investment Management U.S. Compliance for JPMorgan Asset Management, and Chief Compliance Officer of J.P. Morgan Investment Management Inc. He joined JPMorgan in February 2016. Prior to JPMorgan, Mr. Egert served as Director of Compliance for Brown Brothers Harriman & Co. and was designated as Chief Compliance Officer for BBH’s mutual funds, registered investment adviser and broker-dealer. Prior to his affiliation with BBH, he was a Partner at Crowell & Moring, where he chaired the Financial Institutions Regulatory Practice Area. Previous positions include was Chief Compliance Officer of Cowen and Company, Legal & Compliance Director for RBC Capital Markets, and Chief Legal Officer for the North American Wholesale Region at ABN AMRO. Mr. Egert earned a B.A. from the University of Delaware in Newark, DE, where he graduated magna cum laude and was invited into Phi Beta Kappa, and a law degree from George Washington University in Washington, D.C., where he graduated cum laude and served as Notes Editor of the George Washington University Law Review.
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. Western Asset has nine offices around the globe and experience across the range of fixed-income sectors. Mr. Ehrlich has been with Western Asset since 2004. 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.
Jeffrey A. Engelsman is Managing Director and Global Chief Compliance Officer of the TCW Group, Inc. (TCW). Since joining TCW in 2014, Mr. Engelsman has served as the Global Chief Compliance Officer of TCW, and the Chief Compliance Officer for TCW’s sponsored registered investment companies (TCW’s Funds). Prior to his affiliation with TCW, he was a Managing Director of New York Life Investments and the Chief Compliance Officer of the MainStay Funds from 2009 to 2014. Prior to serving as Chief Compliance Officer Mr. Engelsman served as Director and Associate General Counsel for New York Life Investments and was responsible for the Retail Investment Management group within the Office of General Counsel, with oversight of mutual fund, separately managed account, 529 Plan, transfer agency and broker-dealer related matters. From 1999 to 2005 Mr. Engelsman was Director and Senior Counsel with Deutsche Asset Management. From 1995 to 1999, Mr. Engelsman served as an attorney at Great West Life & Annuity Insurance Company. Mr. Engelsman received his B.S. in Economics from The Wharton School of the University of Pennsylvania. He received a J.D. from Boston University, and an LL.M. in Taxation from the University of Denver School of Law. He is admitted to practice law in Colorado and Missouri. Mr. Engelsman holds series 7, 24, and 63 FINRA licenses.
Lee Faria is vice president of asset management compliance and the chief compliance officer for Columbia Management Investment Advisers, LLC (CMIA). Ms. Faria manages a group of employees who are responsible for investment guideline monitoring and trading surveillance as well as a group of employees responsible for compliance with the code of ethics/personal trading, and administering certain other fiduciary-related policies. She has significant expertise in investment adviser regulatory matters. Ms. Faria has over 30 years of industry experience, of which 25 are in a legal or compliance capacity. Ms. Faria joined one of the legacy firms of Ameriprise in 2005. Previously, she worked for Deutsche Asset Management (formerly Scudder Kemper). She also worked as an in-house counsel at both Fidelity Investments and Mellon Bank. Ms. Faria received her B.A. from Wellesley College and J.D., cum laude, from Suffolk University Law School. She is a member of the Massachusetts Bar Association.
Rick A. Fleming was named the SEC’s first Investor Advocate in February 2014. Prior to joining the Commission, Mr. Fleming spent 15 years as a state securities regulator, including more than a decade as General Counsel for the Office of the Kansas Securities Commissioner. He moved to Washington, DC in 2011 to serve as the Deputy General Counsel for the North American Securities Administrators Association (NASAA), where he advocated for investors and represented the organization of state securities regulators before Congress and federal agencies, including the SEC. Mr. Fleming received his B.B.A. with a dual major in finance and economics from Washburn University and holds a J.D. from Wake Forest University.
Wendy D. Fox is Senior Vice President and Chief Compliance Officer at Ariel Investments, LLC and its affiliated broker-dealer, Ariel Distributors, LLC. In 2014, she was appointed chief compliance officer for Ariel Investment Trust. She is responsible for regulatory risk oversight and administration of compliance programs covering the investment adviser, broker-dealer and mutual funds. Prior to Ariel, Wendy spent 16 years working for the U.S. Securities and Exchange Commission, where she was attorney-adviser for the Branch of Investment Management Examinations, ethics liaison officer and senior attorney for the Division of Enforcement. Ms. Fox earned a B.A. in English literature from the University of Michigan and a J.D. from Washington University in St. Louis.
Brian Gallagher is the Chief Administrative Officer and a Managing Director at 1919 Investment Counsel, LLC. He oversees the implementation of all facets of the firm’s strategic plan. Prior to this, Mr. Gallagher served as the firm’s Director of Investment Systems and Operations. In that role, he had oversight of the day-to-day investment operations, maintenance of client accounts as well as 1919 Investments Counsel’s technology infrastructure. He served in that role since joining the firm in 2008. Previously, he was Vice President with Legg Mason, Inc. where he oversaw investment systems for Legg Mason Capital Management. Prior to this, Mr. Gallagher served on a number of portfolio management, portfolio accounting and trading system implementations for a variety of Legg Mason affiliates. Before joining Legg Mason, Mr. Gallagher worked at Olsen Research Associates where he implemented asset/liability management software for regional banks and credit unions. Mr. Gallagher holds a B.S. degree in Finance and Information Systems from Elizabethtown College.
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.
Alan P. Goldberg is Partner-in-Charge at Stradley Ronon Stevens & Young, LLP. His practice focuses on representing registered investment companies and their independent board members, registered investment advisers, sponsors to unregistered investment pools and family offices. Mr. Goldberg handles all aspects of creating registered investment companies and registering new investment advisers, including the establishment of compliance policies and procedures. He regularly prepares regulatory filings and applications on behalf of investment companies, including mutual funds, exchange-traded funds, closed-end funds and investment advisers. He received his B.A. from the University of Pennsylvania and his J.D. from Temple University Beasley School of Law.
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.
Glen Guymon is Vice President and Senior Counsel of Dodge & Cox, supporting the Dodge & Cox Funds, the Irish-domiciled Dodge & Cox Worldwide Funds, and the firm’s separate account business. Mr. Guymon also serves as the firm’s Privacy Officer. Prior to joining Dodge & Cox in 2007, he served as associate counsel for international affairs at the Investment Company Institute, as an associate at WilmerHale, and as law clerk to Judge T.S. Ellis, III in the Eastern District of Virginia. Mr. Guymon received his J.D. from the University of Virginia School of Law, B.A. from Stanford University, and MSFS from Georgetown University.
Alexis Hall serves as Senior Special Counsel in the Technology Controls Program of the Office of Compliance Inspections and Examinations at the U.S. Securities and Exchange Commission. In this capacity she provides regulatory guidance in connection to the Commission’s oversight of the use of technology in the U.S. securities markets. Prior to joining the Commission, she served as Special Counsel in the Division of Market Oversight at the U.S. Commodity Futures Trading Commission. In that role, Ms. Hall focused on the regulation of futures exchanges and swap execution facilities. Ms. Hall received her J.D. from Howard University School of Law and her B.A. from the University of Maryland.
Joann Harris is a Firm Partner and Chief Compliance Officer of TPG, a leading global alternative asset firm founded in 1992. Prior to joining TPG in 2015, Ms. Harris was an Assistant Director with the SEC where she supervised investigations involving all key enforcement program areas. During her 12 years at the SEC, in addition to serving as an Assistant Director, Ms. Harris was a member of the SEC’s Asset Management Unit, a national specialized unit focused on investment advisers, investment companies and private funds. While an Enforcement attorney, she conducted a wide array of investigations covering financial fraud, insider trading, market manipulation, and other conduct that violated the federal securities laws. She received numerous Enforcement Director’s Awards for her outstanding contributions to the SEC’s enforcement program. Prior to joining the SEC, she was a corporate attorney in private practice and a certified public accountant and auditor before attending law school. Ms. Harris received her J.D. from the SMU Dedman School of Law and her B.S. in accounting from the University of Arkansas.
Christopher Hayes is the Chief Compliance Officer and Principal at 1919 Investment Counsel and a member of the firm’s operating committee. As Chief Compliance Officer, his primary responsibility is to oversee the firm’s compliance with the federal securities law and coordinate all interactions with regulators, most commonly the Securities and Exchange Commission. Previously, Mr. Hayes was an attorney at The Boston Company Asset Management (an equity focused boutique that was an affiliate of Mellon Bank); Associate General Counsel of T. Rowe Price Associates as part of the global advisory group; and held a dual position as Assistant General Counsel of Interactive Brokers and Managing Director of Greenwich Advisor Services. Mr. Hayes holds a B.S. from Salem State University and a J.D. from New England Law. He is a member of the Massachusetts Bar.
John Hoeppner is Head of US Stewardship and Sustainable Investments at Legal & General Investment Management America. He is the U.S. representative of the Corporate Governance team. Mr. Hoeppner is charged with shaping the firm’s corporate engagements and driving demand for sustainable investing strategies in the U.S. market. He joined from Mission Measurement where he led the Impact Investing practice, and launched an ESG data and consulting business. Prior, Mr. Hoeppner held multiple senior product positions in the asset management divisions of UBS and Northern Trust. Mr. Hoeppner championed a range of corporate and product related sustainable investment efforts. He started his investment career at Cambridge Associates on the capital markets research team. Mr. Hoeppner earned a Bachelor of Commerce from McGill University in Montreal, Canada.
Vanessa L. Horton is an Assistant Regional Director in OCIE’s IA/IC examination program in the Chicago Regional Office where she participates and manages teams that examine investment advisers, investment companies, and private funds. She has been with the SEC for just over 15 years. Prior to joining the SEC, Ms. Horton spent over 10 years in the private sector where she most recently served as the Chief Compliance Officer to a dually-registered broker-dealer and investment adviser. Ms. Horton’s background is specifically in trading, operations, and compliance. Ms. Horton has held several FINRA securities licenses including the Series 7, 24, 55, 65, and 63 and is also a Certified Fraud Examiner. She graduated from the University of Illinois at Urbana- Champaign for undergraduate studies and DePaul University for graduate studies. In addition to her specialized industry experience and examination skills, Ms. Horton participates in multiple OCIE National Examination Program (“NEP”) and Commission-wide initiatives including acting as a subject matter expert in the NEP’s National Exam Training program, the Chicago Regional Office’s Professional Development Chair, Diversity and Outreach Co-Chair, OCIE’s People Committee, the National Exam Program Training Sub-Committee, and initiated the National Exam Program’s IAR Supervision Initiative.
Jaqueline M. Hummel, IACCP®, is a Partner and Managing Director at Hardin Compliance Consulting LLC. She is a securities attorney and regulatory compliance consultant with extensive experience as an in-house attorney working in the areas of investment adviser, broker-dealer, and investment company regulation and compliance. Ms. Hummel counsels clients on a wide variety of investment management issues, including risk management, compliance with SEC regulations, and evaluation of compliance programs. She also provides advice to registered investment advisers regarding SEC examinations. Ms. Hummel performs due diligence, compliance reviews, and mock SEC examinations for registered investment advisers, private funds and registered investment companies. Previously, Ms. Hummel was Chief Compliance Officer for PNC Capital Advisors and PNC Realty Investors; in-house counsel for National City Corporation’s investment adviser and broker-dealer affiliates, including CCO for Allegiant Asset Management Company; and in-house counsel for MassMutual Financial Group. Ms. Hummel is licensed to practice law in Ohio and Massachusetts. She received a B.A. from the University of Wisconsin-Madison and a J.D. from Emory University School of Law.
Michelle L. Jacko, CSCP, is the Managing Partner and CEO of Jacko Law Group, PC, which offers corporate and securities legal services to broker-dealers, investment advisers, investment companies, hedge/private funds and financial professionals. In addition, Ms. Jacko is the Founder and CEO of Core Compliance & Legal Services, Inc., a compliance consultation firm. Ms. Jacko specializes in investment adviser, broker-dealer and fund regulatory compliance matters, internal control development, regulatory examinations, transition services and operational risk management. Her consultation practice is focused on the areas of regulatory exams and formal inquiries, mergers and acquisitions, annual reviews, policies and procedures development, testing of compliance programs (including evaluation of internal controls and supervision), mock exams, senior client issues, 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.
Jennifer L. Klass serves as the Co-chair of Baker McKenzie's Financial Regulation and Enforcement Practice in North America. Ms. Klass is an experienced investment management lawyer with particular focus on investment adviser regulation and the convergence of investment advisory and brokerage services. She regularly represents clients before the Securities and Exchange Commission, both in seeking interpretative guidance and in managing examination and enforcement matters. Ms. Klass is a leading practitioner in digital investment advice and the use of FinTech in the asset management industry. Ms. Klass provides practical advice that is informed by her experience as Vice President and Associate Counsel at Goldman, Sachs & Co., where she represented the asset management and private wealth management businesses. Ms. Klass’s practice tends to focus on the retail and wealth management businesses of investment advisers and dual registrants. Her clients include the full range of asset managers, broker-dealers, and sponsors of private investment funds, mutual funds, and exchange-traded funds.
Michael Koffler, a partner at Eversheds Sutherland (US) LLP, guides investment advisers, private funds, and broker-dealers in their compliance with federal and state securities laws and SRO rules. Mr. Koffler advises clients on the full spectrum of business operations, including portfolio management, trading, advertising, disclosures, regulatory and client reporting, internal controls, compliance programs, managing conflicts of interest, use of algorithms and automated tools, custody, books and records, mergers and acquisitions, and other structuring issues. He also helps guide firms through SEC and SRO examinations and inspections and respond to deficiencies cited by securities regulators. In addition, he counsels financial institutions—including banks and insurance companies—on securities issues associated with the management and distribution of investment products. Mr. Koffler served two years on the staff of SEC in the Division of Investment Management, where he reviewed registration statements, no-action requests, exemptive applications and proxy statements and answered interpretive questions from financial institutions.
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.
Robert ("Bob") Lavigne is Managing Director of Bates Group’s Compliance Solutions, where he draws on nearly 20 years of experience with investment adviser, broker/dealer firms, and, trust companies in compliance, risk management, financial regulations, ethics and operations. He has experience supporting investment advisers and registering new affiliated broker-dealers. He has developed testing programs, surveillance systems/processes and back office procedures for registered broker-dealers and has helped develop first-, second- and third-line functions designed to achieve compliance with regulatory and client expectations. Previously, Mr. Lavigne was the Chief Compliance Officer of a registered investment adviser and broker-dealer where he was in charge of all aspects of compliance, risk management, forensic and annual testing and anti-money laundering. Prior to this, he was a senior examiner at the Boston district office of FINRA. In this role, Mr. Lavigne worked on investigations and examinations of registered broker-dealers and fund distributors.
Peggy E. Lebert is Managing Director and Chief Compliance Officer at Avalon Investment & Advisory in Houston, Texas. She also is the CCO of Avalon’s affiliated broker-dealer, Avalon Wealth Management LLC. Prior to joining Avalon in 2012, she held various leadership roles in Private Wealth Management and Compliance at Goldman, Sachs & Co. including positions as Regional Compliance Manager in Miami and Investment Advisory Compliance Manager for U.S. Private Wealth Management. She began her career as a credit analyst with Chemical Bank in New York City. Ms. Lebert grew up in Fairbanks, Alaska and earned her M.B.A. from the Kellogg School of Management, Northwestern University where she was an F.C. Austin Scholar. Her undergraduate B.A. in English Literature, Durant Scholar, was awarded from Wellesley College where she was elected to Phi Beta Kappa.
Allison Herren Lee was appointed by President Donald Trump to the U.S. Securities and Exchange Commission, unanimously confirmed by the U.S. Senate, and sworn into office on July 8, 2019. Commissioner Lee brings to the SEC over two decades of experience as a securities law practitioner. Most recently, she has written, lectured, and taught courses internationally in Spain and Italy on financial regulation and corporate law. Commissioner Lee served for over a decade in various roles at the SEC, including as counsel to Commissioner Kara Stein, and as Senior Counsel in the Division of Enforcement’s Complex Financial Instruments Unit. In addition, she has served as a Special Assistant U.S. Attorney, was a member of the American Bar Association’s former Committee on Public Company Disclosure, and participated on a USAID project in Armenia, assisting in the drafting of periodic reporting and disclosure provisions for a comprehensive law of the Republic of Armenia on Securities Market Regulation. Prior to government service, Commissioner Lee was a partner at Sherman & Howard LLC, focusing on securities, antitrust, and commercial litigation. A member of the Colorado bar, she holds a bachelor’s degree in Business from the University of Colorado and a J.D. from the University of Denver College of Law, where she was salutatorian, a Chancellor’s Scholar, and served on the Law Review.
Kathleen ("Kathy") Lewis is the Chief Compliance Officer for First Affirmative Financial Network. She has compliance supervision responsibilities for the First Affirmative field force, and for marketing and sales communications. She was named Chief Compliance Officer in 2004 after successful tenures in a number of administrative and operations roles within the firm. Ms. Lewis is passionate about social justice issues such as civil rights, gender equality, and non-discrimination. She is also a dedicated animal advocate and votes for cruelty-free initiatives. Ms. Lewis holds her bachelor’s degree in English from the University of Colorado. She has held Series 7 (Registered Representative) and 24 (Registered Principal) licenses.
Rosa Licea-Mailloux is a Vice President and Director of Corporate Compliance at MFS Investment Management (MFS). In this role, she oversees conduct policies, privacy and records management, compliance education and compliance monitoring. Ms. Licea‐Mailloux joined MFS in 2018. Previously, she worked at Natixis Investment Managers for over 14 years, holding several roles in the firm’s legal and compliance groups, including chief compliance officer for the Loomis Sayles Funds, Natixis Funds and Natixis ETFs and senior vice president and deputy general counsel for Natixis Investment Managers – US Distribution. She began her career in financial services in 2001 as a compliance specialist with Putnam Investments. Ms. Licea‐Mailloux earned B.A. degrees in biology and economics from Boston University, and a J.D. degree from the Northeastern University School of Law. She is an adjunct professor of financial sector compliance at New England Law in Boston.
Christine Lombardo is a partner at Morgan, Lewis & Bockius LLP. Ms. Lombardo advises investment managers and broker-dealers on financial regulatory matters. She concentrates her practice on securities regulation for a broad range of financial firms including retail asset managers, private fund managers, family offices, broker-dealers, other professional traders, and high-net-worth individuals. Ms. Lombardo also counsels legal, compliance, and business personnel on the structure, operation, and distribution of advisory programs, including digital advisory offerings, and investment products, including hedge funds, private equity funds, venture capital funds, real estate funds, and other alternative investment products. Ms. Lombardo also counsels financial firms through examinations by industry regulators, as well as on enforcement related matters. Before joining Morgan Lewis, she was an associate at an international law firm in New York and worked for the Division of Enforcement at FINRA. Ms. Lombardo earned a B.M., cum laude, from New York University and a J.D. from Brooklyn Law School.
James G. Lundy, a Partner at Faegre Drinker Biddle & Reath LLP, offers clients a rare combination of senior experience both at the Securities and Exchange Commission (SEC) – in the Division of Enforcement and the Office of Compliance Inspections and Examinations (OCIE) – and in-house at a financial services firm. Mr. Lundy draws from this background to empower clients to overcome enforcement investigations, examinations and litigation brought by the SEC, the Commodity Futures Trading Commission (CFTC), self-regulatory organizations and other financial regulatory agencies. Mr. Lundy also leads internal investigations, serves as an independent monitor, provides counsel on governance, compliance and policy issues, defends complex financial services litigation, handles cybersecurity regulatory investigations, and defends parallel criminal investigations by the Department of Justice.
Andrea Ottomanelli Magovern is a Branch Chief in the Chief Counsel’s Office of the SEC’s Division of Investment Management. Ms. Magovern’s work focuses on exemptive applications, no-action letters and counseling other divisions and offices at the SEC on investment management issues. Ms. Magovern joined the SEC in 2011 and, in addition to the Division’s Chief Counsel’s Office, has worked in the Division’s Rulemaking and Disclosure and Accounting Offices. Ms. Magovern received a B.A. from the University of Dayton, cum laude, and a J.D. from the Catholic University of America School of Law, magna cum laude. Prior to joining the SEC, Ms. Magovern worked for a number of years in the investment management practice group at K&L Gates LLP.
Grace Man is Senior Manager at Franklin Templeton Investments, where she leads a team responsible for GIPS compliance and composite maintenance. Previously, she was a Product Manager and Marketing Manager for institutional products at Franklin and worked at Callan Associates as a Database Supervisor. She also served as a volunteer of the United States Investment Performance Committee (USIPC) and the Pooled Fund Advisory Team for the CFA Institute. Ms. Man serves as the Forum Chair for the IAA GIPS Compliance Forum. Ms. Man holds an M.B.A. in Finance from Golden Gate University.
Richard Marshall, a Partner at Katten Muchin Rosenman LLP, represents financial institutions and executives subject to investigations by the Securities and Exchange Commission (SEC), Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA) and state securities regulators. A former senior attorney at the SEC, he also advises financial services clients on regulatory issues. Mr. Marshall served for several years as a branch chief in the SEC’s Division of Enforcement in Washington, DC, and as a senior associate regional administrator in the SEC’s New York office, where his staff conducted inspections of investment companies and investment advisers, and instituted enforcement actions against those entities. As a former senior supervisor of the SEC’s inspection program, Mr. Marshall regularly assists clients in building and implementing compliance systems, defending against regulatory inspections and addressing novel regulatory issues. He also assists clients with internal investigations, self-reports to regulators and applications for interpretive and exemptive relief. He is the founding editor of the Investment Lawyer, a member of the board of editors of iMoneyNet, a former board member of the National Society of Compliance Professionals and the current chair of that organization’s investment adviser committee.
Katherine M. ("Katie") McGinley is a shareholder of Mitchell, McLeod, Pugh & Williams and serves as the firm’s chief compliance officer. Ms. McGinley has been engaged in the investment management industry since 2004. She earned a B.A. from the Williams School of Commerce at Washington and Lee University and a J.D. from The University of Alabama School of Law. She also provides management and consulting services to qualified retirement plans. She previously practiced law in the area of commercial real estate development and lending. Ms. McGinley is admitted to the State Bar of Georgia and the Alabama State Bar.
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.
Ian J. McPheron is Head of Legal—Americas for Aviva Investors. In this role, he oversees the team responsible for all legal and corporate governance matters in the Americas. Prior to joining Aviva Investors, he spent 14 years at Harris Associates (adviser to the Oakmark Funds) serving in several senior capacities, including Interim General Counsel and Deputy General Counsel. There he focused on mutual fund, global investment advisory and governance issues. Before that he held various senior legal and compliance positions with Calamos Advisors and Morgan Stanley/Van Kampen Investments focusing on open-end and closed-end funds and institutional and high net worth accounts. Mr. McPheron also contributed to the treatise Regulation of Investment Companies by Lemke, Lins and Smith.
Justin Meagher is Managing Director and one of the leaders of SS&C’s Regulatory Solutions, Analytics, and Data Management platforms. Mr. Meagher focuses on business and product development as well as identifying and targeting possible strategic acquisitions for these platforms in concert with other units across the organization to anticipate new industry trends and meet the complex challenges of the Financial Services Industry. Prior to joining SS&C, Mr. Meagher served from 2013 to 2014 as Legal Counsel and Compliance Officer for TPG Special Situations Partners and in 2014 was appointed the Chief Compliance Officer for TPG’s publicly listed BDC, TPG Specialty Lending, Inc. From 2009 to 2013, Mr. Meagher was a Managing Director at Lehman Brothers Holdings, Inc. following its bankruptcy filing. Before joining Lehman Brothers, he held multiple legal and compliance positions in the alternative investments industry. Mr. Meagher earned a Juris Doctor from the New York Law School, a Master in Administration from New York University, and a Bachelor of Arts in Political Science from Iona College.
Paul M. Miller is a partner in Seward & Kissel’s Investment Management Group in Washington, D.C. Paul’s practice focuses primarily on registered investment advisers, registered investment companies and broker-dealers. He has worked extensively on the full range of matters affecting registered investment advisers, including their formation, their registration with the Securities and Exchange Commission under the Investment Advisers Act of 1940, their participation in managed account and wrap programs and their ongoing regulatory reporting and compliance obligations. He regularly advises registered investment companies and registered investment advisers on issues relating to their periodic examination by the staff of the Securities and Exchange Commission. He received his B.S. from University of North Carolina at Chapel Hill, Kenan - Flagler Business School and his J.D. from Syracuse University College of Law.
Nick Morgan is a partner in the Investigations and White Collar Defense practice at the law firm Paul Hastings where he serves as the Office Chair of the firm's Los Angeles litigation practice. He focuses his practice on representations involving government investigations and white-collar crime allegations levied against individuals and businesses. In the course of his practice, he routinely represents investment advisers, analysts, brokers, auditors, and public company officers and directors in connection with SEC and Financial Industry Regulatory Authority (FINRA) investigations, litigation, and arbitration. Mr. Morgan also counsels clients on securities compliance and corporate governance; conducts internal investigations; and assists in regulatory examinations initiated by the SEC’s Division of Corporate Finance and Office of Compliance Inspections and Examinations. Mr. Morgan also previously served as Senior Trial Counsel in the SEC’s Enforcement Division. During his time there, he served as lead counsel on a wide variety of litigated matters including prosecution of insider trading, investment adviser fraud and breach of fiduciary duty, trade allocation violations, mutual fund market timing, and market manipulation allegations. Mr. Morgan also served as a Special Assistant U.S. Attorney for the Southern District of California.
Karen Nash-Goetz is a Vice President and Senior Legal Counsel of T. Rowe Price Associates, Inc., in Baltimore, Maryland. Ms. Nash-Goetz’s responsibilities include advising on privacy and data security matters for the firm globally, as well as consumer banking and payments systems issues for the U.S. Prior to joining T. Rowe Price in 2000, she spent 12 years as an attorney in private practice representing banks and corporations on similar matters. A graduate of Georgetown University, Ms. Nash-Goetz went on to earn her J.D. degree from the University of North Carolina. Ms. Nash-Goetz is a member of the International Association of Privacy Professionals and holds certifications as a privacy professional regarding privacy laws and regulations in the U.S., Canada, and the EU.
Steven Peikin was named Co-Director of the SEC’s Division of Enforcement in June 2017. Before serving at the Commission, Mr. Peikin was Managing Partner of Sullivan & Cromwell LLP’s Criminal Defense and Investigations Group. His practice focused on white-collar criminal defense, regulatory enforcement, and internal investigations. From 1996 to 2004, Mr. Peikin served as an Assistant U.S. Attorney in the Southern District of New York. He was Chief of the Office’s Securities and Commodities Fraud Task Force, where he supervised some of the nation’s highest profile prosecutions of accounting fraud, insider trading, market manipulation, and abuses in the foreign exchange market. As a prosecutor, Mr. Peikin also personally investigated and tried a wide variety of cases involving securities and commodities fraud, as well as other crimes. Mr. Peikin received his bachelor’s degree from Yale University and a law degree from Harvard Law School, both magna cum laude. Following law school, he served as a law clerk to the Honorable J. Edward Lumbard, United States Circuit Judge, Second Circuit, and the Honorable Robert P. Patterson, Jr., United States District Judge, Southern District of New York. Mr. Peikin is Adjunct Professor of Law at NYU Law School.
Pamela F. Pendrell is a partner and the Chief Compliance Officer of GlobeFlex Capital. She joined GlobeFlex in 2004 and became the Chief Compliance Officer in 2013, leading the firm’s compliance effort. Prior to her role as CCO, Ms. Pendrell performed marketing and client service roles at GlobeFlex, including the oversight of performance and compliance reporting. Prior to GlobeFlex, Ms. Pendrell worked at Pacific Corporate Group in a marketing capacity. Her industry experience began with AllianceBernstein in New York supporting their client service and marketing efforts. Ms. Pendrell earned her B.A. at Colgate University, where she graduated magna cum laude with high honors in History. She obtained the IACCP® designation in 2015.
Kim Peretti is co-chair of Alston & Bird’s Cybersecurity Preparedness & Response Team and National Security & Digital Crimes Team. Ms. Peretti is the former director of PwC’s cyber forensic services group and a former senior litigator for the Department of Justice’s Computer Crime and Intellectual Property Section. At the DOJ, Ms. Peretti led benchmark cybercrime cases, including the prosecution of the TJX hacker Albert Gonzalez. Ms. Peretti’s nearly 20-year background as an information security professional and lawyer enhances her practice in managing technical cyber investigations, assisting clients in responding to data security-related regulator inquiries, and advising boards and senior executives in matters of cybersecurity and cyber risk. She also services clients in matters regarding privacy, national security process and requests, and payment systems compliance and risk mitigation. Ms. Peretti is a Certified Information Systems Security Professional (CISSP). Ms. Peretti was included on Washingtonian’s Top Lawyers list for cybersecurity in 2017 and 2018. She has been named to Cybersecurity Docket’s “Incident Response 30” since its inception in 2017, a list of the top data breach attorneys in the industry. Ms. Peretti is recognized as an information security “industry pioneer” by SC Magazine and a leading professional in Privacy & Data Security by Chambers USA and Chambers Global. Ms. Peretti is a faculty member of the Sedona Conference on Cyber Liability and co-chair of the Georgetown University Law Center Cybersecurity Law Institute.
Lillian Peros is a regional vice president of Relationship Management in the Eastern Division of Fidelity Clearing and Custody Solutions, a business that offers a comprehensive clearing and custody platform and solutions to registered investment advisers, banks, broker-dealers, asset managers, strategic acquirers and retirement advisors and recordkeepers. Ms. Peros leads a team of Relationship Managers that is responsible for bringing solutions and strategic thought leadership to registered investment advisory firms in the New York & Mid-Atlantic region. Before assuming her current role, Ms. Peros spent six years working with key advisors in the region as a Senior Relationship Manager. Prior to joining Fidelity Investments in 2009, Ms. Peros held various sales, relationship management, product and operations management roles for financial services firms such as JP Morgan Chase Bank, Wells Fargo Bank, NA and Deutsche Bank where she worked extensively with corporations, asset management firms, banks, and trust institutions. Ms. Peros earned her B.A. degrees in Economics and International Politics from New York University. She holds FINRA series 7, 63 and 24 licenses. Ms. Peros serves on the Investment Subcommittee of Girls Inc., a non-profit organization that focuses on giving confidence to girls in their communities.
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.
Robyn Forman Pollack, Esq. is a Managing Director at AchieveNEXT. A business strategist with an expertise in diversity and inclusion, Ms. Pollack increases top-line, bottom-line and shareholder value by teaching enterprises to leverage their D&I Initiatives for growth and success. Through their specialized diversity and inclusion services and solutions, Ms. Pollack and the AchieveNEXT team help forward-focused enterprises measure the impact of their culture on performance and maximize their advantage in the markets they are competing in for talent and customers. Ms. Pollack has been actively involved in diversity issues for twenty years. She has lectured and written extensively on issues of diversity and inclusion, best practices, communication, team collaboration, networking, negotiation, and effective leadership, and serves on the Envestnet Institute on Campus (EIOC) Women in Wealth Management leadership team. Ms. Pollack is also a member of the Forum of Executive Women, the Philadelphia Society of People & Strategy (PSPS) and is an adjunct professor at Temple University’s Beasley School of Law. Ms. Pollack brings years of experience working with enterprises as a restructuring attorney and believes that aligning business and human capital is the catalyst for change.
George B. Raine is a Partner in the asset management group at Ropes & Gray LLP. Mr. Raine is well-versed on the complex regulatory and transactional issues faced by participants in the investment management industry. His practice includes the representation of U.S. and non-U.S. investment advisers; open- and closed-end investment companies and their trustees; hedge funds and other private investment pools, including real estate investment trusts; and broker-dealers.
Gwen Reinke joined Vista Equity Partners in 2014 and is Vista’s Chief Compliance Officer. Ms. Reinke oversees Vista’s Global regulatory and compliance functions, along with legal oversight for all internal Firm matters including fund formation and fundraising. Prior to joining Vista, Ms. Reinke worked at Blum Capital Partners from 1993. While at Blum Capital, she initially served as the Director of Finance and most recently served as Partner, General Counsel, and Chief Compliance Officer overseeing all the legal, regulatory and compliance functions. Prior to joining Blum, Ms. Reinke worked for Senator Dianne Feinstein during her initial U.S. Senate campaign and Senate term. She also served as Corporate Controller for USL Capital Corp., the Manager of Financial Reporting for Schwab, and started her career in the Audit Department at Deloitte & Touche, LLP. Ms. Reinke received a B.A. in Business Economics from the University of California at Los Angeles and a J.D., cum laude, from University of San Francisco School of Law. Ms. Reinke is a member of the State Bar of California and is also a C.P.A. (inactive). Ms. Reinke is currently a member of the Board of Governors of the Investment Adviser Association.
Julie M. Riewe is a litigation partner based in Debevoise & Plimpton LLP’s Washington, DC office and is a member of the firm’s White Collar & Regulatory Defense Group. Her practice focuses on securities-related enforcement and compliance issues and internal investigations, and she has significant experience with matters involving private equity funds, hedge funds, mutual funds, business development companies, separately managed accounts and other asset managers. Prior to joining the firm, Ms. Riewe was Co-Chief of the Asset Management Unit of the U.S. Securities and Exchange Commission’s Division of Enforcement. In this capacity, Ms. Riewe 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. She co-led a team of nearly 80 attorneys, industry experts and other professionals in all 12 SEC offices, and was responsible for directing the SEC’s asset management-related enforcement efforts. Before her appointment to Co-Chief, Ms. Riewe was Deputy Chief and Assistant Director of the Asset Management Unit in 2012 and 2010, respectively. From 2008 to 2010, she was Branch Chief in the Enforcement Division in Washington, D.C. She began her tenure at the SEC as a staff attorney in the Enforcement Division in 2005. Ms. Riewe earned her J.D. and M.P.P. from Duke University School of Law. She received her A.B. from Duke University.
Thomas J. Ritter, Sr. is Director of Compliance of Journey Advisory Group, LLC and Lang Advisors, LLC. Mr. Ritter is a 30-year veteran of the financial services industry. His experience includes multiple years as a Compliance Director for a major mutual fund complex and as a compliance examiner for various dually-registered firms, as well as financial advisor, mutual fund analyst, and financial planning analyst. Mr. Ritter joined Journey and Lang in February 2019 after relocating back from the Kansas City area to his home town of Cincinnati, Ohio. As Director of Compliance, Mr. Ritter is responsible for most all compliance-related functions including serving as the primary liaison to the firm’s regulatory counsel as well as various regulatory entities. The National Society of Compliance Professionals has awarded Mr. Ritter the Certified Securities Compliance Professional (CSCP®) designation.
Jeremi Roux, CFA, is General Counsel and Chief Compliance Officer of Hamlin Capital Management. His responsibilities include all legal and compliance matters for the firm. Prior to joining Hamlin, he served as the Chief Compliance Officer of a mid-sized registered investment adviser. Mr. Roux previously worked in FINRA’s Market Regulation department, and the SEC’s Division of Enforcement, Asset Management Unit. Mr. Roux graduated cum laude from Brooklyn Law School where he was an International Business Law Fellow and an associate editor of the Brooklyn Journal of International Law. Mr. Roux holds a Chartered Financial Analyst designation from the CFA Institute.
Igor Rozenblit is the Co-Head of the SEC’s Private Funds Unit. The Private Funds Unit is part of the Office of Compliance Inspections and Examinations and is responsible for developing expertise in and conducting examinations of advisers to private funds. Before joining the Private Funds Unit, Mr. Rozenblit was a private funds expert in the Division of Enforcement’s Asset Management Unit. Prior to joining the SEC, Mr. Rozenblit managed the North American funds portfolio for a large European asset manager and worked at several private equity advisers. Mr. Rozenblit received his M.B.A. from the University of Chicago’s Booth School of Business and a Bachelor of Science degree from the University of Michigan.
Paul Schappell, CIPT, CISA, CISSP, is a Senior Principal Consultant at ACA Aponix, the cybersecurity and IT risk division of ACA Compliance Group. In this role, he leads personal data processing discovery and data privacy program assessment reviews. Prior to ACA, Mr. Schappell served as a Privacy Manager in EY’s cyber practice. While at EY, Mr. Schappell oversaw multinational privacy gap assessments and program implementations for Fortune 100 and Fortune 500 companies against regulatory and industry frameworks including GDPR, HIPAA, and Binding Corporate Rules (BCRs). Mr. Schappell earned a B.S. in Accounting from the Pennsylvania State University. He is an IAPP Certified Privacy Technologist (CIPT), an ISACA Certified Information Systems Auditor (CISA), and an ISC2 Certified Information Systems Security Professional (CISSP).
Jed Schneider, CIPM, FRM is responsible for GIPS® compliance and performance reporting at Lazard Asset Management. He has over 25 years of experience in the performance measurement industry and investment operations. Before joining Lazard, Mr. Schneider was head of performance reporting for J.P. Morgan’s U.S. Private Bank division. Prior to that, he was a senior verifier at The Spaulding Group where he conducted verifications and performance attestations. He also spent time at Morgan Stanley and U.S. Trust managing performance measurement teams and was a statistician for Consumer Reports magazine, responsible for data analysis on all product testing. Mr. Schneider currently chairs the Performance and Risk Committee at CFA Society New York and is an active volunteer supporting the GIPS Standards and CIPM program. Mr. Schneider is a member of the CFA’s United States Investment Performance Committee. Mr. Schneider holds both a CIPM® (Certificate in Investment Performance Measurement) and an FRM® (Financial Risk Manager) designation. He has a B.S. in Applied Mathematics from Stony Brook University and an M.S. in Statistics from Baruch College.
Mark Schoeff Jr., a Senior Reporter, writes about legislation and regulations affecting retail investment advisers and brokers for InvestmentNews, a business magazine published by Bonhill Group plc. He also is a member of the board of governors of the National Press Club. Through extensive reporting of the Labor Department’s fiduciary duty rule and the Securities and Exchange Commission’s Regulation Best Interest and other investment-advice reforms, he has provided authoritative coverage of the most profound regulatory changes that have been seen in a generation. In addition to the SEC, he covers FINRA, the House Financial Services Committee, the Senate Banking Committee and other Capitol Hill committees and regulators.
Brian Simon is General Counsel and a partner with Harding Loevner LP. He joined the firm in 2014. Previously, he was CCO and Director of Legal Affairs for Lazard Asset Management LLC. Before that, he was Vice President of Law & Regulation at J. & W. Seligman & Co. Incorporated. Mr. Simon received a B.A. in Finance from the University of Massachusetts and his J.D. from Rutgers School of Law.
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.
Danielle Nicholson Smith is Senior Legal Counsel and Vice President of the T. Rowe Price broker/dealer, T. Rowe Price Investment Services, Inc., and the T. Rowe Price retail advisor, T. Rowe Price Advisory Services, Inc. Ms. Smith leads the entire firm’s efforts related to the Form CRS, assisting the business units in determining the impact of the new rule and advising on composition, implementation, and delivery of Form CRS. Ms. Smith has been with T. Rowe Price since 1992. The majority of her 25+ years in the industry have been spent leading a team responsible for the application of FINRA, MSRB and SEC rules related to the review, filing and approval of communications with the public. Most recently, Ms. Smith has counseled the firm on its expansion of retail advisory services including a robo advisor, financial planning services and online advice tools. She serves on FINRA’s Public Communications Committee and the Advertising Rules Committee of the Investment Company Institute and has spoken at FINRA and industry conferences on various topics related to investment company communications, including social media. Ms. Smith holds a bachelor’s degree from Smith College and a law degree from the University of Maryland Francis King Carey School of Law.
Jacob D. Smith is Principal, General Counsel and Chief Compliance Officer of Luther King Capital Management, a Texas-based firm that provides investment advisory services to high net worth individuals, institutions, registered investment companies, and private investment funds. Prior to joining Luther King Capital Management in 2006, he served as an enforcement attorney with the U.S. Securities and Exchange Commission and corporate/securities attorney with Haynes and Boone, LLP. Mr. Smith graduated summa cum laude with a B.B.A. in Finance from the University of Central Arkansas and received his J.D. magna cum laude from the Southern Methodist University School of Law.
Ryan Spelman is a Senior Manager in Duff and Phelps’s Legal Management Consulting practice and focuses on CyberClarity360™, which helps organizations understand and manage their exposure to supply chain cyber risk through a fully transparent scoring system. Mr. Spelman has over a decade of senior management experience in homeland security and cybersecurity. He has lead initiatives that contributed to the reduction of cyber and physical risk at all levels of government. Mr. Spelman joined the firm from the Center for Internet Security (CIS), where he was a Senior Director and established the CyberMarket program. Previously, Mr. Spelman was the Director of the New York State Senate Committee on Veterans’, Homeland Security and Military Affairs. Prior to that, he worked at the New York State Office of Homeland Security on the Weapons of Mass Destruction Task Force, the United States House of Representatives and the Suffolk County Office of Emergency Management. Mr. Spelman holds a Masters of Public Administration (M.P.A.) from the University at Albany’s Nelson A. Rockefeller College of Public Affairs & Policy, with a concentration in Public Safety, and holds certifications in GIAC Critical Controls and GIAC Certified Enterprise Defender.
Marshall S. Sprung is a Senior 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.
Benjamin Tecmire serves as Senior Counsel in the Private Funds Branch of the Investment Adviser Regulation Office, a unit of 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, Mr. Tecmire was a public finance and securities regulation associate in private practice. Mr. Tecmire also served as counsel at the Municipal Securities Rulemaking Board in their Market Regulation department where he advised the Board on rulemakings for the regulation of municipal securities and broker-dealers. Mr. Tecmire received a B.A. from Columbia University, a J.D. from George Mason University School of Law and an LL.M. in Securities and Financial Regulation from the Georgetown University Law Center.
Bob Toner is Chief Legal Counsel of William Blair’s Investment Management division. He has over 20 years of legal experience in the investment management industry. Prior to joining the firm in 2015, Mr. Toner was a Managing Director and Counsel at Wellington Management & Company LLP for nearly eleven years. At Wellington, he provided legal and regulatory guidance on investment adviser, investment company and broker-dealer matters. Before his time with Wellington, Mr. Toner spent five years at Eaton Vance Management where he provided legal and regulatory guidance on investment adviser, investment company and broker-dealer matters. He also served as sole counsel for the firm’s international funds, collateralized debt and charitable giving products. Earlier in his career, Mr. Toner worked at Putnam Investments and the law firm of Goodwin Procter each for two years. At those firms, he advised clients on a broad range of mutual fund and other legal and regulatory matters.
Karyn D. Vincent, CFA, CIPM, CPA, is Senior Head, Global Industry Standards at CFA Institute and the GIPS®Standards 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 served on the GIPS Executive Committee, chaired the GIPS Technical Committee, GIPS Interpretations Subcommittee, and the Verification 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.
Kurt Wachholz, IACCP® is Director of Education and an Executive Consultant at National Regulatory Services. As Director of Education, Mr. Wachholz oversees the development and administration of two compliance professional programs: the Investment Adviser Core Compliance certificate program and the Investment Adviser Certified Compliance Professional® (IACCP) designation. Both professional development programs are co-sponsored with the Investment Adviser Association. Mr. Wachholz is a frequent industry speaker at conferences, topical symposiums, and online seminars. He has developed and taught “Ethics in Leadership”, an M.B.A. program module for the Goizueta Business School at Emory University and “Regulatory Jeopardy”, an elective course for the Securities Industry Institute® in partnership with SIFMA and the Wharton School at the University of Pennsylvania. He is a contributing author and member of the editorial board for Modern Compliance: Best Practices in Securities and Finance and an editorial board member for the Journal of Financial Compliance. Prior to joining NRS, Mr. Wachholz founded his own compliance consulting firm. Mr. Wachholz has also been a former partner and Chief Compliance Officer in various financial services firms, a registered principal, and a licensed insurance agent.
Josh Westerholm is a Partner in the Investment Funds and Corporate Groups of Kirkland & Ellis LLP, where he is a key member of its financial regulatory and hedge fund practices, oversees the firm’s global commodities practice, and has significant responsibility in the firm’s transactional and derivatives practices. Mr. Westerholm focuses his practice on the representation and defense of investment advisers, commodity pool operators, commodity trading advisors, broker-dealers, private funds and family offices.
Lori Weston is Managing Director of Foreside. Ms. Weston oversees all investment adviser product offerings at Foreside, serves as a subject matter expert for industry conferences and webinars, and provides compliance consulting services to Foreside advisory clients. Prior to joining Foreside, she was a manager in corporate compliance and consulted with advisory firms affiliated a national broker dealer and registered investment adviser. Ms. Weston has over 20 years of experience within the financial services industry, and has held Series 6, 7, 24, and 66 licenses, as well as the Investment Adviser Certified Compliance Professional designation. Ms. Weston’s past speaking engagements include national conferences for various custodial platforms, as well as providing interviews for media outlets.
Steven A. Yadegari is Chief Operating Officer and General Counsel of Cramer Rosenthal McGlynn, LLC. Mr. Yadegari also serves as Chief Legal Officer and Chief Compliance Officer for the CRM Mutual Fund Trust and is a Director of the CRM UCITS PLC. Prior to joining CRM, Mr. Yadegari was a member of the Regulatory Practice Group at K&L Gates and, before that, an associate at Proskauer. Mr. Yadegari also has served as Senior Counsel in the Office of the Chief Counsel, Division of Enforcement at the U.S. Securities and Exchange Commission and as an Attorney-Adviser in the Division of Market Regulation. Mr. Yadegari is an adjunct professor at Benjamin N. Cardozo School of Law and teaches in the areas of dispute resolution and negotiation. Mr. Yadegari has a B.A. from Brandeis University and earned his J.D. from the Benjamin N. Cardozo School of Law. Mr. Yadegari has been awarded an honorary Master’s Degree from the CCO University, a division of the Regulatory Compliance Association for which he serves as an advisor and senior fellow.
E. J. Yerzak, CISA, CISM, CRISC, is Director of Cyber IT Services of Shield, the cybersecurity consulting services division of Compliance Solutions Strategies (CSS). In this capacity, Mr. Yerzak assists advisers to hedge funds, private equity funds, funds of funds, pension advisers, and retail investment advisers in bridging the gap between compliance and cybersecurity risk management. In addition to assisting with compliance program annual reviews, risk assessments, and mock exams, he assists firms in assessing and managing their cybersecurity risk – from network vulnerability scanning, penetration testing, and social engineering testing to onsite cybersecurity assessments of financial firms and private equity portfolio companies. Mr. Yerzak holds B.A.s in both English and Computer Science, magna cum laude, from Colgate University, a M.S. in Computer Information Technology from Central Connecticut State University, and a J.D., magna cum laude, from Quinnipiac University School of Law. He is licensed to practice at the State Bar of Connecticut and in federal court before the U.S. District Court for the District of Connecticut.
Jessica Zerges is Chief Compliance Officer of Capital Bank and Trust and Capital International, Inc., all part of Capital Group. She has 15 years of investment industry experience, all with Capital Group. She is also a Senior Compliance Manager focused on issues affecting institutional and separately managed account (SMA) clients as well as regulatory compliance issues, including oversight of registered investment adviser filings and related disclosures. Earlier in her career at Capital, she worked in other compliance and operational roles. She holds a bachelor’s degree in history from Mount Holyoke College.