Chicago Workshop Speakers
Louis A. Gracia, is the Deputy Associate Regional Director in the Investment Adviser – Investment Company Examination Program in the SEC’s Chicago Regional Office. Mr. Gracia has investigated and referred findings for Commission enforcement action on several ‘40Act related issues including ponzi schemes, misuse of soft dollars, undisclosed principal transactions, false hedge fund valuation, false/misleading advertising, custody rule non-compliance, failure to supervise and inadequate compliance policies and procedures. Mr. Gracia has also represented the SEC at numerous examiner recruitment and investor outreach events. He holds a B.S. in Accounting from the University of Illinois at Chicago. He currently holds a CPA license in the state of Illinois and the CFE designation.
Alpa Patel is a partner in the Investment Funds Group of Kirkland & Ellis LLP. Prior to joining Kirkland, she served as Branch Chief of the Private Funds Branch of the Investment Adviser Regulation Office in the SEC’s Division of Investment Management. In this role, Ms. Patel was the key adviser on all private fund-related projects and priorities. For example, she was the lead counsel implementing private fund adviser reporting on Form PF and the rules related to private fund adviser registration. She also advised the Division of Corporation Finance on regulations related to the offering requirements of private funds, including general solicitation and bad actor rules. Ms. Patel also routinely advised the agency’s Office of Compliance Inspection and Examinations (OCIE) regarding the application of Advisers Act rules and other Federal securities regulations to investment advisers, particularly with respect to the nuances associated with private fund advisers. Prior to joining the SEC, Ms. Patel was in private practice where she advised clients on the structuring, formation, and private offering requirements of onshore and offshore private funds, as well as provided counsel to investment advisers in regulatory, compliance, and corporate matters.
Rana Wright serves as the General Counsel of Harris Associates, where she is responsible for managing the legal, compliance, risk and regulatory functions of Harris Associates globally. Prior to Harris, Ms. Wright served as associate general counsel and managing director at Bank of America, where she was the chief legal officer for BofA Global Capital Management, the asset management affiliate of Bank of America and chief counsel overseeing Merrill Lynch’s distribution of registered investment products. Ms. Wright led the team that was responsible for providing counsel, both strategic and legal, to business partners in the product, sales and marketing functions. She began her career at the global law firm Reed Smith LLP, where she represented mutual funds, broker-dealers and investment advisors, counseling them on a panoply of regulatory, strategic and transactional issues. While at Reed Smith, Ms. Wright was the vice-chair of the firm’s Global Diversity and Inclusion initiative. She earned a B.A. from the University of Pittsburgh and a J.D. from Duquesne University School of Law.
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.
Sarah Buescher joined the IAA in October 2017. She is responsible for core Investment Advisers Act issues as well as ERISA and pension issues. Before joining the IAA, Sarah 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. Sarah also has industry experience. Between 1999 and 2009, she 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. Sarah earned her B.S. in Communication Studies from Northwestern University in 1989, and her J.D. from the University of Notre Dame Law School in 1994. She is a member of the District of Columbia Bar.
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