San Francisco Workshop Speakers
Erin Schneider is the Regional Director of the U.S. Securities and Exchange Commission’s San Francisco Office. The Regional Office has a staff of over 125 people and is responsible for the SEC’s enforcement and examination programs in Northern California, Washington, Oregon, Montana, Idaho and Alaska with over 1,000 investment advisers, almost 50 mutual fund complexes and over 250 broker-dealers located in the region. The public and pre-IPO companies located in the region are among the most dynamic and closely-followed issuers and companies in the country, including those in Silicon Valley, San Francisco, Seattle and Portland. Ms. Schneider began working in the San Francisco office in 2005 as a staff attorney and has conducted and supervised investigations into a wide variety of financial misconduct. In 2012, she became an Assistant Regional Director in Enforcement’s Asset Management Unit, and from 2015 to 2019 led the office’s enforcement efforts as its Associate Regional Director. Prior to joining the SEC staff, Ms. Schneider worked as a litigation associate in the Washington D.C. and San Francisco offices of Gibson, Dunn & Crutcher LLP, and as an auditor at PricewaterhouseCoopers LLP. Ms. Schneider earned her bachelor’s degree in business administration from the University of California at Berkeley in 1995, and her law degree cum laude from the University of California’s Hastings College of the Law in 2001.
Mark Perlow is a partner in the San Francisco office of Dechert LLP. He represents mutual funds, hedge fund managers, fund independent directors, investment advisers and broker-dealers on a broad range of regulatory and transactional matters. He is an adjunct lecturer at the University of California, Berkeley Law School where he teaches a course on capital markets and financial regulation. Having served as senior counsel in both the SEC’s Office of the General Counsel and the Division of Enforcement, Mr. Perlow has considerable experience with SEC rule-making, submissions, enforcement, examinations and compliance activity. Mr. Perlow received a J.D. from Yale Law School, an M.A. from Oxford University and an A.B. from the University of California, Berkeley. He is a member of the California and District of Columbia Bars.
Dee Anne Sjögren is co-leader of Bryan Cave Leighton Paisner's private funds practice. She represents investment advisers and fund sponsors with respect to fund formation, fund management and regulatory compliance. Her fund clients regularly include private equity, venture capital and real estate funds, hedge funds and funds of funds. She has substantial experience creating 3(c)(1) and 3(c)(7) private investment funds and 3(c)(5) private real estate funds and REITs. She also organizes mutual fund complexes and multi-series trusts, prepares and files SEC registration statements, and provides ongoing regulatory advice as trust counsel and as independent counsel to the independent trustees. Dee Anne represents institutional investors, including family offices, corporate and government pension plans, retirement systems and charitable foundations in negotiating investments in alternative assets, including private funds that invest in equity and fixed income securities, derivatives, real estate, commodities, leveraged buy-outs and distressed debt. On behalf of investment manager clients, she prepares and negotiates investment management agreements, provides advice on CFTC/NFA regulations and ISDA and FCM agreements and schedules, and also assists in preparing compliance policies and procedures and guiding chief compliance officers in conducting annual reviews of advisory compliance program as required under Rule 206(4)-7 of the Investment Advisers Act of 1940.
Kenny Clowers joined ACA Compliance Group in August 2014 and is currently a Managing Director in San Francisco. He works with investment advisers, hedge fund managers, and private equity firms on a variety of complex and nuanced regulatory compliance issues. Prior to joining ACA, Mr. Clowers worked at the U.S. Securities and Exchange Commission (SEC) in Washington, DC for nearly 10 years. During his time at the SEC, he served as an Examination Manager and Securities Compliance Examiner/Staff Accountant. He led and participated in investment adviser compliance examinations involving numerous asset classes, investment strategies, client types, and investment vehicles. Mr. Clowers also participated in thematic reviews and risk-targeted sweeps of private fund and retail investment advisers and of investment companies.
Chad Neale, GSLC, GFCE, CISA is a partner at ACA Aponix, the cybersecurity, privacy, and IT risk division of ACA Compliance Group. Chad oversees ACA Aponix’s Strategic Technology Advisory and Risk practice. Prior to joining ACA, Chad served as the cybersecurity and privacy director for PwC's Risk Assurance practice. In that role, he led various teams responsible for performing cybersecurity, privacy risk, maturity assessments, and attack and penetration testing for clients operating in a variety of industries including healthcare, financial services, technology, retail, aerospace, and energy.. Earlier, as the information security officer at First Allied Securities, he led the establishment of an ISO27001 compliant information security program, and devised a method of managing cybersecurity risks related to the independent advisor model. Chad earned his Bachelor of Science degree in electrical engineering from the University of California, San Diego. He holds several certifications including ISO27001:2013 Auditor, GSLC, GCCC, and GCFE.
Sanjay Lamba has over 15 years of experience regarding all aspects of investment management law and regulation. Prior to joining the IAA in 2013, Sanjay worked at the SEC for 10 years, beginning his service in the rulemaking office of the Division of Investment Management before transferring to the Office of Chief Counsel (Legal Branch) in the Office of Compliance Inspections and Examinations in 2010. Prior to the SEC, Sanjay was an associate in the investment management practice groups at Morrison & Foerster LLP and Dechert LLP. He received his B.S. degree in Finance from George Mason University in 1994 and his law degree from Boston University in 1997. He is a member of the bar in the Commonwealth of Virginia and the District of Columbia.
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