2018 New York

New York Workshop Speakers

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Thomas J. Butler serves as the Associate Regional Director of the SEC’s New York Regional Office with responsibility for the Investment Adviser / Investment Company Examination Program of the Office of Compliance Inspections and Examinations (OCIE). He leads a staff of examiners, attorneys and accountants charged with assisting the Commission in executing its responsibility of oversight in the New York region over more than 2,900 registered investment advisers with in excess of $22 trillion in assets under management and more than 200 investment company complexes.

Prior to joining OCIE in 2017, Mr. Butler served as the first Director of the SEC’s Office of Credit Ratings, a post he held for five years. Before joining the SEC, Mr. Butler was a Managing Director at Morgan Stanley Smith Barney. He has held senior financial advisory and structuring roles at UBS and Babcock and Brown, and worked at two major law firms (Milibank Tweed Hadley & McCoy and Fulbright & Jaworski). Mr. Butler received his BA in Economics from Rutgers College and his law degree from Rutgers School.

Jennifer L. Klass is a partner at Morgan, Lewis and Bockius LLP. . A regulatory counseling lawyer with a broad background in investment management regulation, she advises clients on a wide range of investment advisory matters, including investment adviser registration and interpretive guidance, disclosure and internal controls, regulatory examinations and enforcement actions. Her clients include major investment banks, investment advisers, broker-dealers and the sponsors of private investment funds and mutual funds. Previously Vice President and Associate General Counsel at Goldman, Sachs & Co., Ms. Klass’s practice focuses on the convergence of investment advisory and brokerage services.

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Craig Moreshead serves as Vice President of Investment Advisory Compliance Services for NCS Regulatory Compliance LLC. As an attorney with in-depth knowledge of federal securities regulations, Mr. Moreshead specializes in complex regulatory issues impacting registered investment advisers with a focus on private fund compliance. Mr. Moreshead has over 20 years of experience in the financial services industry working with investment advisers, registered investment companies, private funds and broker-dealers.

Prior to joining NCS Regulatory Compliance, Mr. Moreshead served as Senior Counsel and Assistant Vice President to Lincoln Financial Group. His principal responsibilities included providing legal advice under the Investment Advisers Act and Investment Company Act to Lincoln’s registered investment advisers and multi-billion fund family. Mr. Moreshead worked with senior executives to launch more than thirty new funds, negotiated advisory agreements and assisted Lincoln’s due diligence team with the oversight of sub-advisers and other third-party service providers. He was responsible with the chief compliance officer for development of policies and procedures under 206(4)-7 and 38a-1, testing of the compliance program, and for quarterly reporting to the Board of Directors.

During his career Mr. Moreshead has provided leadership on new regulatory requirements and represented corporate interests on numerous industry work groups. He has written and spoken at conferences on a variety of subjects including custody, cybersecurity, advertising, private fund compliance, and conflicts of interest.

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Amy Ward Pershkow is a Shareholder at Vedder Price and a member of the firm’s Investment Services team in the Washington, DC office. Ms. Pershkow advises investment companies and their independent directors, investment advisers and other financial services companies on SEC regulatory matters. She provides legal counsel on an extensive variety of legal, business and operational issues, including issues related to open-end and closed-end funds; multi-class funds; funds of funds; funds utilizing a manager of managers structure; registered and private fund advisers; and real estate and private equity managers. Ms. Pershkow’s experience includes counseling clients on a wide variety of investment management matters, including the formation, registration, reorganization, merger, acquisition and liquidation of investment companies and investment advisers. She assists clients with respect to SEC examinations and inquiries, targeted compliance and business practice reviews, internal investigations and due diligence reviews.

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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.

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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