2018 Austin

Austin Workshop Speakers

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Shamoil T. Shipchandler is Regional Director of the Forth Worth Regional Office of the U.S. Securities and Exchange Commission. He oversees examination and enforcement activities in Texas, Oklahoma and Arkansas as well as the office’s enforcement activities in Kansas. Prior to joining the SEC in 2015, Mr. Shipchandler was a Partner in the law offices of Bracewell & Guiliani LLP in Dallas, where he focused on white collar criminal defense, internal investigations and compliance, and related civil litigation in matters involving cybersecurity, public corruption, insider trading and other statutory and regulatory matters. Before joining Bracewell, he spent almost 10 years in the U.S. Attorney’s Office for the Eastern District of Texas, where he held positions of increasing authority ending as Deputy Criminal Chief. Mr. Shipchandler is the recipient of the Justice Director’s Award and the Department of Homeland Security’s Silver Medal. He earned his law degree from Cornell Law School.

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Joe Mannon is Chair of Vedder Price's Private Fund Formation group and a member of the firm's Investment Services group. Mr. Mannon focuses his practice on legal and compliance matters for investment advisers, mutual funds, closed-end funds and unregistered vehicles such as hedge funds, hedge fund of funds and other investment entities. He also counsels clients on issues relating to commodity trading advisers and commodity pool operators.

Mr. Mannon has substantial experience in regulatory and compliance matters affecting investment advisers, including registration and marketing, such as compliance with Global Investment Performance Standards (GIPS), as well as in drafting compliance policies and procedures. He counsels advisers on trading agreements, including brokerage and derivatives agreements. He also conducts mock Securities and Exchange Commission (SEC) examinations and represents clients before the SEC and other regulators in examinations and investigations.

Prior to rejoining Vedder Price, Mr. Mannon was the Associate General Counsel for one of the world’s largest hedge fund of funds advisers, where he was responsible for legal matters pertaining to various registered and unregistered products, including offering materials and international registration requirements, as well as overseeing the firm’s day-to-day compliance program. From 2001 to 2004, Mr. Mannon served as a staff attorney for the Division of Enforcement of the Securities and Exchange Commission. At the Commission, he litigated federal district court actions and conducted numerous investigations, including complex financial fraud investigations. In addition, Mr. Mannon investigated mutual funds, investment advisers and broker-dealers for violations of the pricing, valuation and books and records requirements of the federal securities laws. Mr. Mannon was awarded the Securities and Exchange Commission Chairman’s Award for Excellence in 2002.

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Mari-Anne Pisarri is a Partner with Pickard Djinis & Pisarri LLP. She specializes in regulatory issues pertaining to investment advisers, NRSROs (registered credit rating agencies) and service providers to the securities industry. In this regard, she advises clients on federal and state securities laws and rules, and related ERISA matters; processes registrations for financial market participants; designs compliance programs and assists with both internal compliance reviews and SEC compliance examinations; advances clients’ interests before regulatory and policy making bodies; and represents regulated entities in disciplinary proceedings. In addition, Ms. Pisarri speaks and writes extensively on securities regulatory issues. Before joining Pickard Djinis and Pisarri in 1985, Ms. Pisarri was an associate at Cladouhos & Brashares in Washington, D.C., where she worked on a range of regulatory and international business matters. She also was involved in litigation in federal and state courts, including major customs litigation before the Court of International Trade.

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Erika A. Subieta is currently a vice president at NCS Regulatory Compliance. She provides strategic and regulatory advice pursuant to the Securities Exchange Act of 1934, Investment Advisers Act of 1940, FINRA/NASD Rules, and other relevant regulations. Ms. Subieta has significant experience in investment adviser and broker-dealer formation and registration matters, business transitions and expansions, FINRA membership proceedings, as well as financial analysis and reporting for securities firms. Ms. Subieta has served as a guest lecturer both in the collegiate academic environment and at private sector compliance events. Ms. Subieta received her bachelor’s degree in Finance from the University of Florida and her law degree from South Texas College of Law.

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Sanjay Lamba is Assistant 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 BS degree in Finance from George Mason University in 1994 and his law degree from Boston University in 1997. He is a member of the bar in the Commonwealth of Virginia and the District of Columbia.

Workshop Sponsor

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NCS Regulatory Compliance is the nation’s premier regulatory compliance consulting firm and offers the deep investment adviser and broker-dealer expertise that makes the critical difference to our clients. The have garnered industry respect from both clients and regulators by providing over 25 years of high quality and knowledgeable compliance consulting to thousands of firms throughout the country. Their knowledgeable consultants work closely with you providing dedicated support to assess your compliance needs and develop a proactive strategy that is effective and easy to implement, while anticipating and planning for regulatory changes. NCS Regulatory Compliance will help you avoid compliance issues, giving you peace of mind and the opportunity to focus on your core competencies. Their services include Registration Solutions, Mock Examinations and Testing, Regulatory Exam Assurance, Ongoing Compliance Programs, CCO Assistance and Training Programs, Regulatory Accounting and FINOP Support, Customized Compliance Manuals, Technology Solutions, Advertising and Website Review, and Cybersecurity Assessments. For more information, visit https://www.ncsregcomp.com.

Contact

Lisa Gillette
(202) 293-4222
lisa.gillette@investmentadviser.org
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