New York Workshop Speakers
Maurya Keating is an Associate Regional Director in the New York Regional Office of the U.S. Securities and Exchange Commission. She joined the Investment Adviser/ Investment Company unit of the SEC’s Office of Compliance, Inspections and Examinations in 2018. Before joining the SEC, she was a Lead Director and Associate General Counsel in the National Compliance Office of AXA Equitable Life Insurance Company. Her work for AXA Equitable included advising on a wide range of securities, insurance and investment advisory compliance, product and distribution issues, including international legal and compliance issues associated with AXA Equitable’s affiliation with AXA Group, a global financial services organization. Maurya was also Vice President, Chief Broker-Dealer Counsel & Investment Advisor Chief Compliance Officer of AXA Advisors, LLC, a full-service broker-dealer and investment adviser. Prior to AXA Equitable, she was an Associate General Counsel at New York Life Insurance Company and Royal Alliance Associates, Inc. Maurya received her J.D. from St. John’s University School of Law, and her B.A. and M.A. from The Catholic University of America. She is admitted to practice as an attorney in New York state, and is on the Roll of Solicitors of the Law Society of England & Wales.
Kristina Allen is a Securities Compliance Examiner in the U.S. Securities and Exchange Commission’s New York Regional Office. She joined the Investment Adviser/Investment Company examination program of the SEC’s Office of Compliance Inspections and Examinations in 2015.
Prior to joining the SEC, Kristina worked in the compliance departments of Trian Fund Management, L.P. and Evercore Wealth Management, LLC, where she developed and performed forensic compliance testing, conducted compliance training, and advised employees on investment adviser regulatory and compliance matters. Kristina is a graduate of Rutgers, the State University of New Jersey.
Sara Crovitz is a partner with Stradley Ronon where she provides counsel on all aspects of investment company and investment adviser regulation. Prior to joining the firm, Ms. Crovitz was Deputy Chief Counsel and Associate Director of the U.S. Securities and Exchange Commission’s Division of Investment Management, and worked at the SEC for 21 years, including 17 years in the Division of Investment Management. While in the Division, Sara supervised the provision of significant legal guidance to the investment management industry through no-action and interpretive letters, exemptive applications, IM guidance updates and other written and oral means. She received her B.A. from the University of Chicago and her J.D. from the University of Chicago Law School.
Jennifer Klass is a partner at Morgan, Lewis and Bockius LLP. A regulatory counseling lawyer with a broad background in investment management regulation, she advises clients on a wide range of investment advisory matters, including investment adviser registration and interpretive guidance, disclosure and internal controls, regulatory examinations and enforcement actions. Her clients include major investment banks, investment advisers, broker-dealers and the sponsors of private investment funds and mutual funds. Previously Vice President and Associate General Counsel at Goldman, Sachs & Co., Ms. Klass’s practice focuses on the convergence of investment advisory and brokerage services.
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