2018 Los Angeles

Los Angeles Workshop Speakers

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Ryan M. Hinson is the Regulatory Counsel for the examination program in the Los Angeles Regional Office of the Securities and Exchange Commission.  He joined the SEC’s Los Angeles office in 2008 as an attorney-examiner and later was named an attorney-adviser, conducting and leading numerous teams in the examination of investment advisers and investment companies.  As an examiner, he was an integral member of many successful exam teams, which led to significant enforcement referrals and actions, including a Santa Monica-based investment adviser that had breached its fiduciary duty by engaging in undisclosed conflicted transactions.  He graduated from UC Berkeley’s Haas School of Business and Whittier College School of Law, and has earned a certificate in Securities and Financial Regulation from Georgetown University.

Kelley Howes

Kelley A. Howes serves as Of Counsel within Morrison & Foerster’s Investment Management practice and is based in the firm’s Denver office. She has experience with a wide range of legal, regulatory, compliance, corporate governance, insurance, and other matters relating primarily to the representation of U.S. registered and unregistered investment companies, offshore funds, registered investment advisers, transfer agents, and broker-dealers. Ms. Howes has more than 20 years’ experience in investment management-related matters. Prior to joining Morrison & Foerster, she served in various roles within Janus Capital Group Inc., Janus Capital Management LLC, the Janus funds and Janus Distributors LLC. Ms. Howes earned her JD from Suffolk University, her MBA from Northwestern University and her BA from St. Lawrence University.

Pamela Pendrell

Pamela F. Pendrell, IACCP, is a partner and the Chief Compliance Officer of GlobeFlex Capital, a registered investment adviser serving institutional clients.  She has been with the firm since 2004 and held marketing and client service roles prior to focusing on compliance.  Prior to joining GlobeFlex, Pam worked for AllianceBernstein in New York and Pacific Corporate Group in San Diego. Pam earned her BA at Colgate University in 1999, graduating magna cum laude with high honors in History.

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Jamie Lynn Walter is Partner in the Investment Funds Group in the Washington, D.C. office of Kirkland & Ellis LLP. Prior to joining Kirkland, Jamie was Senior Counsel in the Private Funds Branch of the U.S. Securities and Exchange Commission’s Division of Investment Management. While at the SEC, she provided legal advice and guidance on a wide range of matters involving the regulation of investment advisers and investment funds, including private funds, mutual funds and exchange-traded funds. She worked closely with the SEC’s Division of Enforcement and Office of Compliance Inspections and Examinations (OCIE) on matters relating to private funds and investment advisers.

Prior to joining the SEC, Ms. Walter was in private practice, advising clients on a variety of legal matters related to the structure, management and operation of private funds. Before entering private practice, she served as law clerk to Judge Jacques L. Wiener, Jr. of the United States Court of Appeals for the Fifth Circuit.

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Paul D. Glenn is Special Counsel for the Investment Adviser Associa¬tion. 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, respec¬tively. 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, (formerly Riggs) and WashingtonFirstBank N.A. in Reston, VA. He holds an LL.M from Georgetown University Law Center and his JD and BA from Case Western Reserve University. He holds an honorary doctor of laws degree from Nyack College. Mr. Glenn is a member of the Bar of the Supreme Court of Ohio, the Supreme Court of the United States and other federal courts.

Contact

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