2018 San Francisco

San Francisco Workshop Speakers

Snyder-Kristen.jpg

Kristin A. Snyder is Deputy Director of the SEC’s Office of Compliance Inspections and Examinations, and serves as the Co-National Associate Director for the Investment Adviser/Investment Company Program. In this role, Ms. Snyder helps oversee more than 520 lawyers, accountants, and examiners responsible for inspections of SEC registered investment advisers and investment companies. Ms. Snyder also serves as Associate Regional Director for Examinations in the SEC’s San Francisco Regional Office where she leads of a program of approximately 60 accountants, examiners and attorneys who conduct examinations of broker-dealers, investment advisers, investment companies, municipal advisers and transfer agents in the Pacific Northwest. Prior to joining the SEC staff, Ms. Snyder practiced with Sidley Austin Brown & Wood LLP in San Francisco. She earned her law degree from the University of California Hastings College of the Law, and received her bachelor’s degree from the University of California at Davis.

Shirkey-Linda.jpg

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. .

Stanley-Chris.jpg

Chris Stanley is the Founding Principal of Beach Street Legal, a law practice and compliance consultancy for investment advisers and financial planners. In this role he provides legal advice and compliance counseling related to federal and state securities laws, SEC rules and regulations, investment management compliance, RIA registration, advisers in transition, and general corporate legal matters. Most recently he served as General Counsel for Loring Ward, a turnkey asset management provider headquartered in San Jose, California. He also previously served as Loring Ward's Chief Compliance Officer, as well as Chief Legal Officer and Chief Compliance Officer for the SA Funds – Investment Trust, a mutual fund family advised by Loring Ward. Chris received his J.D. and M.B.A. from Santa Clara University, and his B.A. from Boston College. He also has passed the FINRA Series 7 General Securities Representative and Series 24 General Securities Principal examinations, as well as the NASAA Series 66 examination. He is admitted to the State Bar of California and the District of Columbia.

McGrath-Michael.jpg

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.

Glenn-Paul.jpg

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
Download to Your Calendar