2018 Boston

Boston Workshop Speakers

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Paul Levenson is Director of the SEC’s Boston Regional Office, where he oversees enforcement and examinations in the New England region. Mr. Levenson joined the SEC in 2013 after serving as Assistant U.S. Attorney and Chief of the Economic Crimes Unit in the U.S. Attorney’s Office for the District of Massachusetts. He helped lead the investigation and prosecution of white collar crimes including securities fraud, foreign bribery, tax fraud, insurance fraud, bank fraud, health care fraud, official corruption, and embezzlement. Mr. Levenson previously was a litigation associate at Kaye, Scholer, Fierman, Hays & Handler in Washington D.C. and worked at Gibson, Dunn & Crutcher in New York. He began his legal career as a law clerk to the Honorable Stanley A. Weigel of the U.S. District Court for the Northern District of California.

Mr. Levenson earned his bachelor’s degree from Harvard College and his law degree from Harvard Law School.

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Jason E. Brown is Partner at Ropes & Gray LLP. He has extensive experience representing investment advisers to private equity funds, real estate funds, credit funds, venture capital funds, hedge funds and separate accounts. He has assisted more than 60 leading private equity firms in registering as investment advisers with the SEC and developing Advisers Act compliance programs, and has assisted numerous non-U.S. private equity firms in analyzing their regulatory obligations under U.S. law. Mr. Brown has also worked with private equity firms on more than 50 SEC examinations. He has also advised a wide variety of U.S. and non-U.S. investment advisers on Advisers Act matters as new funds or products are launched, compliance questions arise, new rules are adopted, or SEC inspections occur. Mr. Brown received is JD, cum laude, from Harvard Law School and his BA, summa cum laude, from the University of Pennsylvania, Wharton School.

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Kelli A. Haugh, J.D., AIF®, CSCP® serves as Vice President with NCS Regulatory Compliance. Ms. Haugh provides strategic and regulatory guidance to investment advisers pursuant to the Investment Advisers Act of 1940 and state securities laws, working with firms of diverse sizes and complexities. Ms. Haugh frequently participates in industry conferences and webinars, speaking on a variety of compliance topics related to investment advisers. She holds an Accredited Investment Fiduciary® (AIF®) designation, a Certified Securities Compliance Professional® (CSCP®) designation, and has held the FINRA Series 65 exam. Ms. Haugh is also an attorney with Dew, Foxman & Haugh, PLLC, a law firm in Delray Beach, Florida concentrating on corporate and securities law. 

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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.

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Laura L. Grossman is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA, Laura was in private practice for more than r 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 and other federal securities laws, the Commodity Exchange Act and associated regulations, and a wide range of compliance issues. Laura received her BA, summa cum laude, from Rutgers College, and she received her law degree from the University of Pennsylvania. She is a member of the bar in New York, New Jersey, 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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