Houston Workshop Speakers
Michael Gunst is Assistant Director at the SEC’s Dallas/Fort Worth Regional Office, where he focuses on Investment Adviser/Investment Company examinations. Mr. Gunst joined the Commission in 2003 in the Enforcement Division, working primarily on regulatory matters including market timing, performance fees, business development companies, and other investment adviser and investment company cases. Earlier, he spent 15 years at the Texas State Securities Board, primarily involved in examination and enforcement matters relating to regulated entities. Mr. Gunst received his BBA in Finance from St. Mary University and JD from St. Mary’s Law School in San Antonio, Texas.
Steve Johnson is Vice President and Associate General Counsel for Charles Schwab & Co., Inc., and has represented the financial services industry for more than 25 years. He is currently Enterprise Counsel for Schwab Advisor Services™ and Schwab’s Digital Services organization. Prior to his current role, Mr. Johnson served as the General Counsel for CyberTrader, Inc. and counsel to Schwab Investor Services. Before joining Schwab, Mr. Johnson was an Assistant General Counsel at Prudential Securities and a partner in private law practice focused on the financial services industry. He received his Bachelor’s Degree in economics from Spring Hill College and a Juris Doctor from the University of North Carolina, Chapel Hill.
Mari-Anne Pisarri is a Partner with Pickard Djinis & Pisarri. She specializes in regulatory issues pertaining to investment advisers, NRSROs (registered credit rating agencies) and service providers to the securities industry. In this regard, she advises clients on federal and state securities laws and rules, and related ERISA matters; processes registrations for financial market participants; designs compliance programs and assists with both internal compliance reviews and SEC compliance examinations; advances clients’ interests before regulatory and policy making bodies; and represents regulated entities in disciplinary proceedings. In addition, Ms. Pisarri speaks and writes extensively on securities regulatory issues. Before joining Pickard Djinis and Pisarri in 1985, Ms. Pisarri was an associate at Cladouhos & Brashares in Washington, D.C., where she worked on a range of regulatory and international business matters. She also was involved in litigation in federal and state courts, including major customs litigation before the Court of International Trade.
Brett Niehaus joined ACA in June 2012 and currently serves as a Principal Consultant in the Investment Adviser Services Division, as well as a Diversified Financial Practice Specialist for clients and prospects. In these roles, he serves as a relationship manager and provides comprehensive regulatory advice to a wide range of leading registered investment advisers, private fund managers and global asset managers. He works closely with senior management, compliance departments, and internal risk and audit personnel to perform mock SEC inspections, compliance program reviews, and risk based testing. In addition, he assists clients with regulatory filings, provides training on various regulatory and industry topics, and helps firms design and implement policies and procedures tailored to their businesses. Mr. Niehaus graduated from the Kania School of Management at the University of Scranton in the Business Leadership Honors Program, earning his Bachelor of Science degree in Finance.
Marc Lotti is a Partner at ACA Aponix, the cybersecurity and IT risk division of ACA Compliance Group. He was the Chief Operating Officer of Aponix Financial Technologists prior to its acquisition by ACA. Marc is a senior business and IT strategist, IT alignment and governance specialist, and thought leader. He has over 15 years experience in the financial services sector, 5 years in hospitality, and 5 years in the start-up space. Before co-founding Aponix, he founded and funded UFlexData, a turn-key Cloud technology platform for small and medium-sized businesses. In addition to Marc’s leadership role at Mandragore, a boutique consultancy firm he founded in 1996, he was the acting Chief Technology Officer of Trilogy Global Advisors between 2004 and 2009. In 2003, he developed a notable strategic computing roadmap for the Corporate Travel division of American Express. From 1996 to 2002, Marc was a technology consultant for Goldman Sachs Asset Management, followed by the Investment Management Division. Earlier, Marc was the Infrastructure Manager for International Emerging Markets Worldwide at Merrill Lynch and an Assistant Vice President at Fuji Securities, where he led firm-wide technology infrastructure. Marc earned a BA in Economics from Stony Brook University, holds an MBA from Thunderbird School of Global Management, is a Project Management Professional (PMP)®, and is Certified in the Governance of Enterprise IT (CGEIT).
Paul Glenn joined IAA in February 2006. Paul grew up in Cleveland, OH, and has spent his professional career in the Washington, DC area. Paul has worked at the US Securities and Exchange Commission as a trial attorney and special counsel in the Division of Enforcement and the Office of General Counsel, respectively. Paul has also worked at the Office of the Comptroller of the Currency (then OTS), US Treasury, as Deputy Chief Counsel and special counsel. He served as Vice President and Director of Compliance for PNC Bank N.A. in Washington, DC, (formerly Riggs) and Washington First Bank N.A. in Reston, VA (formerly Millennium Bank N.A.). Paul has his masters of law degree (LLM) from Georgetown University Law Center and his Juris Doctor and Bachelor of Arts (Political Science) from Case Western Reserve University. In 2010, Paul received an honorary doctor of laws degree from Nyack College, Nyack, NY. Paul is a member of the Bar of the Supreme Court of Ohio, the Supreme Court of the United States, and other federal courts.
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