2018 Chicago

Chicago Workshop Speakers

Louis A. Gracia is the Deputy Associate Regional Director in the Investment Adviser – Investment Company Examination Program in the SEC’s Chicago Regional Office. Mr. Gracia has been with the SEC for over 22 years, during which time he has led and supervised numerous examinations of investment advisory firms and mutual fund complexes. He has investigated several ’40 Act-related issues, including Ponzi schemes, misuse of soft dollars, undisclosed principal transactions, false hedge fund valuation, false/misleading advertising, custody rule non-compliance, failure to supervise. and inadequate compliance policies and procedures. Mr. Gracia has spoken at several SEC CCOutreach conferences, NASAA Conferences, NSCP conferences, and National Examination Program training courses. He holds a BS in Accounting from the University of Illinois at Chicago, a CPA license in the state of Illinois and the CFE designation.

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Michael Sherman is Partner at Dechert LLP. His practice focuses on counseling investment advisers (including advisers to hedge funds), investment companies and other financial institutions in regulatory, corporate and compliance matters. Much of Mr. Sherman's work involves helping clients with issues related to investment adviser registration, compliance policies and procedures, marketing and advertising (including Global Investment Performance Standards), investment company status questions, and regulatory issues and examinations. Mr. Sherman was “highly recommended” in the 2014 edition of the Legal 500 (US) in the area of mutual/registered funds. Mr. Sherman received his BA, cum laude, from American University, and his JD from Vanderbilt University Law School, where he was Associate authorities editor of the Vanderbilt Journal of Transnational Law. He is admitted to the Maryland and District of Columbia Bars.

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Pamela Krill is a shareholder with Godfrey & Kahn, S.C. and a member of the Investment Management Practice Group. She has been practicing law for more than 24 years, focusing on securities and general corporate law with particular emphasis on investment adviser/investment company regulation, SEC compliance and reporting, and representation before the SEC, various stock exchanges and the state securities commissions. Over the course of her career, Ms. Krill has gained substantial experience working both in-house and in private practice with investment advisers and investment companies, counseling these clients on a wide range of legal issues, including federal and state regulation, corporate governance, strategic business planning, mergers and acquisitions and general corporate matters. She also has experience working with investment company boards of directors (including independent directors), broker-dealers, and hedge fund managers. Ms. Krill has contributed to journals and other publications on investment management topics and issues. She earned a Bachelor of Business Administration in Finance from the University of Wisconsin-Madison, and her JD from the University of Wisconsin Law School.

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Linda Shirkey, President and founder of The Advisor’s Resource, has provided compliance expertise to registered investment advisers for over 20 years. The firm’s clients range from startups to multi-billion dollar entities; hedge, private equity and wealth managers. A former institutional stock broker covering money managers and major corporations, Ms. Shirkey provides a strategic perspective, collaborating with clients to create fully customized compliance practices. A magna cum laude graduate of Case Western Reserve University in Cleveland, Ohio, Ms. Shirkey is involved with Texas Wall Street Women, and also holds a leadership role with the Houston Compliance Roundtable.

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Sarah Buescher joined the Investment Adviser Association in October 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 BS. in Communication Studies from Northwestern University and her JD. from the University of Notre Dame Law School. She is a member of the District of Columbia Bar.

Contact

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