Washington, DC Workshop Speakers
Dan Kahl is the Co-Deputy Director and Chief Counsel for the Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission. Formerly, Mr. Kahl was Assistant Director in charge of the Investment Adviser Regulation Office in the Division of Investment Management at the SEC. Prior to joining the Commission in 2001, Dan worked for the Investment Adviser Association, FINRA, and the North American Securities Administrators Association. He received his B.S. from Penn State University, J.D. from Southern Methodist University, and LL.M. (Securities) from Georgetown University.
Chris Mulligan is a Senior Special Counsel in the Chief Counsel’s Office of OCIE and Co-Coordinator of the Private Funds Specialized Working Group. In his current role, Chris conducts exams, works on rulemakings and guidance, drafts risk alerts and advises SEC staff on legal issues related to exams of investment advisers. Prior to joining OCIE, Chris was in the Private Funds Branch in the Division of Investment Management where he worked on guidance updates, no-action letters, FAQs and rulemakings impacting private fund advisers. Before working at the Commission, Chris worked in private practice counseling private fund advisers in all aspects of their activities, including fund formation, purchasing and selling portfolio companies and regulatory issues. Chris received his J.D. from Georgetown University Law Center.
James Diercksen joined ACA Compliance Group in August 2013 and currently serves as a Managing Director in the Investment Adviser Services Division as well as a Diversified Financial Practice Specialist for clients and prospects. Jim’s primary responsibilities include conducting mock SEC examinations, 206(4)-7 annual reviews, and focused compliance reviews and providing compliance consulting services to registered investment advisers. Prior to ACA, Jim was at the New York Regional Office of the U.S. Securities and Exchange Commission. In particular, he served as a Securities Compliance Examiner and later as a Staff Accountant in the Office of Compliance Inspections and Examinations. While at the SEC, he led or participated in numerous examinations of registered investment advisers, investment companies, hedge funds, and private equity funds. His examinations resulted in numerous deficiency letter filings, referrals to the Division of Enforcement, and investor asset recoveries. In February 2013, OCIE awarded Jim its Director’s Award for Excellence. Previous to the SEC, Jim provided trade and compliance support to Deutsche Bank AG’s Integrated Credit Trading Department. Jim earned his BS in Business and BA in Government & Politics from the University of Maryland and his MBA from Iona College. He is a Certified Fraud Examiner as well as a Certified Anti-Money Laundering Specialist.
Dilia Caballero is responsible for providing legal advice and guidance to support E*TRADE’s investment advisory business and retirement product initiatives for both the broker-dealer and the investment adviser. Prior to joining E*TRADE, she was a senior associate in private practice specializing in matters involving the Investment Advisers and Investment Company Acts of 1940. Dilia received her law degree from Georgetown University Law Center and her undergraduate degree from Harvard University and Radcliffe College.
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.
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.
Monique S. Botkin joined the IAA in February 2004. Previously, she was an associate attorney in the financial services groups of Dechert LLP in Orange County, California and Alston & Bird LLP in Washington, DC. While in private practice, Monique represented investment advisers, registered investment companies, private funds, and broker-dealers in corporate, securities, and investment management matters. Monique also served as an attorney in the SEC’s Division of Investment Management disclosure review office from 2013 to 2014. She earned her B.A. in government and politics from the University of Maryland at College Park and her J.D., cum laude, from Southwestern School of Law in Los Angeles, where she was an editor of the Law Review. Monique is a member of the State Bar of California.
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