Boston Workshop Speakers
Paul Levenson, Director of the SEC’s Boston Regional Office, where he oversees enforcement and examinations in the New England region. Mr. Levenson joined the SEC in 2013 after serving as Assistant U.S. Attorney and Chief of the Economic Crimes Unit in the U.S. Attorney’s Office for the District of Massachusetts. He helped lead the investigation and prosecution of white collar crimes including securities fraud, foreign bribery, tax fraud, insurance fraud, bank fraud, health care fraud, official corruption, and embezzlement. Mr. Levenson previously was a litigation associate at Kaye, Scholer, Fierman, Hays & Handler in Washington D.C. and worked at Gibson, Dunn & Crutcher in New York. He began his legal career as a law clerk to the Honorable Stanley A. Weigel of the U.S. District Court for the Northern District of California. Mr. Levenson earned his bachelor’s degree from Harvard College and his law degree from Harvard Law School. Mr. Levenson will be joined by SEC colleagues: Kevin Kelcourse, Associate Regional Director (Examinations), Mayeti Gametchu (Assistant Director), and Michael Garrity (Chief Regulatory Counsel).
Amy Doberman is a partner with the law firm of WilmerHale in New York, has more than 25 years of experience providing legal advice to asset management and wealth management clients. She counsels investment advisers on regulatory requirements relating to mutual funds and ETFs, wrap programs, retirement products and separate accounts with respect to a wide variety of issues, including registration requirements, trading issues, affiliated transactions, advertising, and product development. She advises retail broker-dealers and fund complexes on share class and distribution issues, as well as sales practices and due diligence efforts. Ms. Doberman also assists in managing SEC examinations and representing clients in enforcement matters involving investment advisers, mutual funds and ETFs.
Gretchen Passe Roin is a partner at WilmerHale, where she works with a wide range of registered fund structures, including open- and closed-end mutual funds, ETFs, money market funds, target date funds, variable annuity and life insurance funds. Her representation of unregistered funds focuses on hedge funds and stable value funds, though she also works with venture capital and private equity fund managers to determine eligibility for and compliance with exemptions from registration of their advisory business and/or funds with the SEC. Ms. Roin also has substantial experience helping hedge funds and proprietary trading desks address regulators' evolving concerns with algorithmic and high-frequency trading strategies. She was recognized in the 2020 edition of Best Lawyers in America for her work on mutual funds.
Scot Draeger serves as the Director of Wealth Management, General Counsel and Chief Compliance Officer of R. M. Davis, an independent investment advisory firm with approximately $4 billion in AUM. He joined R. M. Davis in 2017 after a career serving in senior legal, business, and management roles at the SEC in Washington, D.C., Citigroup’s Corporate & Investment Bank in New York (including as General Counsel of Citi Fund Services), and as Chairman of the Financial Services, Securities, and Asset Management Industry Groups at Bernstein Shur, where he represented asset management firms, family offices, and institutional investors around the world in the full range of their corporate needs. His perspective and counsel incorporates a scope and gravity of experiences that is unique. Mr. Draeger is an equity owner in the firm and is a member of the Executive, Trust Oversight, Compliance, Trading Practices, Proxy, Technology, and Disaster Recovery Committees.
Jack Rader joined ACA in June 2005. He now serves as a Partner in the Morristown, New Jersey office and a Practice Leader for ACA’s diversified financial clients and prospects. In the latter role, he scopes, manages, and delivers products and solutions for multi-line financial services firms such as banks, insurance companies, asset management firms, and registered fund complexes. His primary responsibilities also include managing client relationships and projects and providing customized advice on compliance issues based on client-specific risks and conflicts. Jack coordinates and conducts mock SEC inspections and annual compliance reviews, assists clients during actual SEC inspections, and develops customized policies, procedures, and forensic testing programs. In addition, he participates in webcasts and speaks at industry conferences on current compliance issues. He also writes articles on these topics for publication in widely read industry periodicals. Jack earned his Bachelor of Science degree (cum laude) in Finance with a concentration in Financial Accounting from the Virginia Polytechnic Institute and State University.
Henry Lindemann is a Managing Director at ACA Aponix, the Cybersecurity, Privacy and Technology risk division of ACA Compliance Group. Prior to ACA, Henry served as the Director of North America at KELA Group. Before that, he was an Associate Director at Eze Software Group. Henry earned his Bachelor of Arts degree from the University of California in Global and International Studies.
Gail Bernstein is General Counsel at the Investment Adviser Association. She joined the IAA from the law firm of WilmerHale in Washington, DC, where she had been a Special Counsel in the Securities Department from 2008 until June 2017. Prior to that, Gail was first an associate and then a partner at Wilmer, Cutler & Pickering (now WilmerHale) in Washington, DC. While in private practice, Gail counseled clients on all aspects of financial and securities regulation, with a specific focus on the Dodd-Frank Act and securities and derivatives law and compliance. Gail grew up in South Africa and earned her B.A. from the Hebrew University of Jerusalem in 1982 and her law degree from Harvard Law School in 1988. After law school, Gail clerked for the Honorable Douglas P. Woodlock of the U.S. District Court for the District of Massachusetts and was an associate at the Boston law firm of Mintz Levin from 1989-1990, when she moved to Washington. She is a member of the District of Columbia and Massachusetts bars.
Thanks to Our 2019 Workshops Sponsor
ACA Compliance Group (ACA)
is a leading provider of regulatory compliance products and solutions, cybersecurity and risk assessments, performance services, and technology solutions to regional, national, and global firms in the financial services industry. With offices worldwide, ACA clients include leading investment advisers, private fund managers, commodity trading advisors, investment companies, and broker-dealers. ACA services and develops its products with a team comprised of former SEC, FINRA, FSA, NYSE, NFA, and state regulators, as well as former senior managers and technologists from prominent financial institutions and consulting firms. www.acacompliancegroup.com