Washington, DC Workshop Speakers
Mavis Kelly is an Assistant Director in the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE). She serves in OCIE’s National Exam Program Office and assists in the administration of the investment company and investment adviser examination program. Since joining the SEC in 1992, Ms. Kelly has conducted or overseen over 500 examinations of investment companies and investment advisers. She has been directly involved in many national risk-targeted examination initiatives that focused on topics such as: the types of registrants OCIE examines (i.e., dual registrants, variable insurance product sponsors, and advisers to private funds); registrants’ business lines or operational areas (i.e., due diligence, distribution, marketing, and trading and execution); investment products (i.e., hedge funds, private equity funds, BDCs, and ETFs); and industry practices (i.e., cybersecurity, business continuity, valuation, and custody).
Michael Koffler is a Partner with Eversheds Sutherland LLP, where he guides investment advisers, broker-dealers and investment funds in their compliance with federal and state securities laws and regulations and SRO rules. Mr. Kofflerl advises clients on the full spectrum of business operations, including advertising, portfolio management, trading, internal controls, compliance programs, mergers and acquisitions and other management issues. He also counsels other financial institutions—banks and insurance companies—on securities issues associated with the management and distribution of investment products. Mr. Koffler began his legal career with the SEC, where he served for two years in the Division of Investment Management.
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.
Kimberly Versace joined ACA Compliance Group as a Senior Principal Consultant in 2018. In this role, Kimberly provides comprehensive compliance consulting services to SEC-registered investment advisers, including private fund advisers. These services include developing and implementing customized compliance policies and procedures, preparing firms for SEC registration, and conducting mock SEC examinations and annual compliance reviews. In addition, Kimberly performs focused reviews and gap analyses and assists clients during SEC examinations. She also speaks regularly at industry events on regulatory and compliance topics.
Prior to ACA, Kimberly was a practicing attorney in the Regulation and Compliance group of Richards Kibbe & Orbe LLP, where she helped investment advisers, including hedge fund and private equity fund managers, navigate securities-related regulatory and compliance matters.
Kimberly earned her BA with a double major in Politics and Modern Language from Fairfield University and her law degree from the Fordham University School of Law.
Monique S. Botkin is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA in February 2004, Ms. Botkin was an associate in the financial services groups at Dechert LLP in Newport Beach, CA. and Alston & Bird LLP in Washington, D.C. 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 BA in government and politics from the University of Maryland at College Park and her JD, cum laude, from Southwestern University School of Law in Los Angeles, where she was an editor of the Law Review. Ms. Botkin is a member of the State Bar of California.