Speakers

Compliance Workshops

2020 Compliance Workshops Speakers

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Gail C. Bernstein is General Counsel of the Investment Adviser Association. She joined the IAA from the law firm of WilmerHale in Washington, DC, where she had been a Special Counsel in the Securities Department from 2008 until June 2017. Prior to that, Ms. Bernstein was first an associate and then a partner at Wilmer, Cutler & Pickering (now WilmerHale) in Washington, DC. While in private practice, Ms. Bernstein counseled clients on all aspects of financial and securities regulation, with a specific focus on the Dodd-Frank Act and securities and derivatives law and compliance. Ms. Bernstein grew up in South Africa and earned her B.A. from the Hebrew University of Jerusalem in 1982 and her law degree from Harvard Law School in 1988. After law school, Ms. Bernstein clerked for the Honorable Douglas P. Woodlock of the U.S. District Court for the District of Massachusetts and was an associate at the Boston law firm of Mintz Levin from 1989-1990.

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Richard R. Best is the Regional Director of the New York Regional Office, U.S. Securities and Exchange Commission. Mr. Best was named to the position in September 2020.  He was previously the Regional Director of the Salt Lake Regional Office, serving from July 2015 to February 2018, and Regional Director of the Atlanta Regional Office, serving from February 2018 to September 2020. Before coming to the Commission, Mr. Best was a Chief Counsel in the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA). Mr. Best was also a Director, Senior Trial Attorney, and Trial Attorney at FINRA. Mr. Best previously worked as an Assistant District Attorney in the Office of the Bronx County District Attorney.  He was a supervisor in the Office’s Rackets Bureau, where he managed high-profile public integrity and organized crime prosecutions, among other matters. Mr. Best received his bachelor’s degree from the State University of New York, College at Old Westbury, and a law degree from the Howard University School of Law.

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Bryan M. Bennett is the Associate Regional Director supervising the examination program in the Los Angeles Regional Office of the Securities and Exchange Commission. Mr. Bennett joined the SEC as an examiner and later was named an Exam Manager and Assistant Regional Director, leading numerous teams in the investment adviser and investment company examination program. During his tenure, exam findings by the teams led to significant enforcement actions. Mr. Bennett is a graduate of the University of California, Los Angeles and the University of Iowa College of Law. He also has four years of litigation experience in the private sector.

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Sarah Buescher joined the Investment Adviser Association in 2017 as Associate General Counsel. She is responsible for ERISA and pension issues as well as core Investment Advisers Act issues. Before joining the IAA, Ms. Buescher 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. Between 1999 and 2009, Ms. Buescher 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. She earned her B.S. in Communication Studies from Northwestern University and her J.D. from the University of Notre Dame Law School.

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Monique S. Botkin is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA in 2004, Ms. Botkin was an associate in the financial services groups at Dechert LLP in Newport Beach, CA and Alston & Bird LLP in Washington, DC. While in private practice, Ms. Botkin represented investment advisers, registered investment companies, private funds, and broker dealers in corporate, securities, and investment management matters. Ms. Botkin 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 University School of Law in Los Angeles, where she was an editor of the Law Review.

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Ivy Wafford Duke serves as the Chief Compliance Officer for National Real Estate Advisors, LLC, an SEC-registered investment adviser located in Washington, DC that specializes in build-to-core, developing and owning large-scale, urban commercial and multifamily real estate projects for its institutional client accounts. Ms. Duke began her investment management career at Drinker Biddle & Reath LLP. She then joined Calvert Investments, Inc., where she last served as Vice President and Acting General Counsel. More recently, Ms. Duke was Counsel in the Investment Management Group at Seward & Kissel LLP in Washington, DC. She holds an LL.M. in Securities and Financial Regulation from Georgetown University Law Center, and a J.D. and B.A. from the University of Virginia.

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Kevin Ehrlich is the Chief Compliance Officer and Manager of Regulatory Affairs for Western Asset Management Company, an investment adviser primarily focused on managing fixed-income strategies. Western Asset has nine offices around the globe and experience across the range of fixed-income sectors. Mr. Ehrlich has been with Western Asset since 2004. Prior to Western Asset, Mr. Ehrlich worked with Legg Mason, Inc. (Western Asset’s parent company) and the Division of Trading and Markets (formerly Market Regulation) at the US Securities and Exchange Commission.

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Kelly L. Gibson is the Director of the SEC’s Philadelphia Regional Office, where she leads a staff of approximately 160 enforcement attorneys, accountants, and investigators who investigate and enforce the federal securities laws nationwide, and examiners who perform compliance inspections in the Philadelphia region. The Philadelphia office has jurisdiction over nearly 1,200 investment advisers and investment companies with over $10 trillion in assets under management, over 65 mutual fund complexes, and over 240 broker-dealers with over 14,500 branch offices. Ms. Gibson joined the SEC in 2008 as a staff attorney in the Division of Enforcement. When the division was reorganized in 2010, she joined the Market Abuse Unit. In 2013, she was promoted to Assistant Regional Director and then to Associate Regional Director of the Philadelphia office in 2017. Ms. Gibson has investigated and supervised a number of significant investigations and litigation involving international cyber, trading, and market manipulation schemes; serial insider trading; broker-dealer and investment adviser regulation; offering frauds; and other securities law violations. Prior to joining the SEC, Ms. Gibson was a litigation attorney at Ballard Spahr LLP in Philadelphia.

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Paul D. Glenn is Special Counsel for the Investment Adviser Association.  Previously, he worked for 12 years at the U.S. Securities and Exchange Commission as a trial attorney and special counsel in the Division of Enforcement and the Office of General Counsel, respectively. He also worked at the Office of the Comptroller of the Currency (OTS), U.S. Treasury, as Deputy Chief Counsel and Special Counsel. Mr. Glenn also served as Vice President and Director of Compliance for PNC Bank N.A. in Washington, DC and WashingtonFirstBank N.A. in Reston, VA. He holds an LL.M from Georgetown University Law Center and his J.D. and B.A. from Case Western Reserve University. He holds an honorary doctor of laws degree from Nyack College.

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Mayeti Gametchu works in the Boston Regional Office of the U.S. Securities and Exchange Commission as an Assistant Regional Director for the SEC’s National Exam Program. The Boston-based exam staff is responsible for overseeing regulatory compliance of about 1,800 investment advisory firms, as well as investment companies, managing or advising approximately $10 trillion in assets.  Prior to her present role, Ms. Gametchu served as Senior Enforcement Counsel in the SEC’s Asset Management Unit. Prior to joining the SEC, Ms. Gametchu co-founded a trial boutique law firm and served as a litigation partner in several other business law firms. Ms. Gametchu began her legal career as an associate with Skadden Arps. She graduated from Harvard Law School and Williams College. 

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Kurt L. Gottschall is the Regional Director of the SEC’s Denver Regional Office, where he oversees all examinations, enforcement investigations, and litigation in a seven-state region. Mr. Gottschall began working as a staff attorney in the Division of Enforcement in 2000, before becoming a Branch Chief in 2003, and an Assistant Regional Director in 2010. From July 2016 through November 2018, he supervised the SEC’s enforcement program in Denver as the Associate Regional Director. Before joining the SEC staff, Mr. Gottschall worked as a litigation associate at Sherman & Howard L.L.C. in Denver and Sheppard, Mullin, Richter & Hampton L.L.P. in Los Angeles. Mr. Gottschall earned his law degree with honors from the University of California’s Hastings College of the Law, and his bachelor’s degree in economics and government with honors from Claremont McKenna College.

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Louis 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.

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Laura L. Grossman is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA, Ms. Grossman was in private practice for over 10 years in the New York office of Fulbright & Jaworski L.L.P. (now Norton Rose Fulbright), where she advised registered investment adviser, mutual fund, and private fund clients on matters arising under the Investment Advisers Act, the Investment Company Act, and other federal securities laws, the Commodity Exchange Act and associated regulations, and a wide range of compliance issues. Ms. Grossman received her B.A., summa cum laude, from Rutgers College, and she received her law degree from the University of Pennsylvania.

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Michelle L. Jacko, CSCP, is the Managing Partner and CEO of Jacko Law Group, PC, which offers corporate and securities legal services to broker dealers, investment advisers, investment companies, hedge/private funds and financial professionals. In addition, Ms. Jacko is the Founder and CEO of Core Compliance & Legal Services, Inc., a compliance consultation firm. Ms. Jacko specializes in investment adviser, broker-dealer, and fund regulatory compliance matters, internal control development, regulatory examinations, transition services, and operational risk management. Her consultation practice is focused on the areas of regulatory exams and formal inquiries, mergers and acquisitions, annual reviews, policies and procedures development, testing of compliance programs, mock exams, senior client issues, cybersecurity, and Regulation. Ms. Jacko received her J.D. from St. Mary’s University School of Law and B.A. from the University of San Diego.

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Kevin M. Kelcourse is the Associate Director for the Office of Compliance Inspections and Examinations (“OCIE”) at the U.S. Securities & Exchange Commission's Boston Regional Office, where he leads a staff of over 60 who conduct inspections and examinations of investment advisers, investment companies, hedge funds, private equity funds, broker-dealers, municipal advisers, transfer agents, and other securities firms in New England. Before becoming Associate Director, Mr. Kelcourse worked for the SEC’s Division of Enforcement for over 15 years, the last four and a half as an Assistant Director in the Division’s Asset Management Unit, where he investigated and litigated various matters involving violations or potential violations of federal securities laws. Prior to joining the SEC, he was a federal prosecutor with the Justice Department in Washington, DC. Prior to that, he was with O'Melveny & Myers as an associate. Mr. Kelcourse is a graduate of Georgetown University Law Center and Georgetown University.

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Sanjay Lamba is Associate General Counsel at the Investment Adviser Association. Prior to joining the IAA, Mr. Lamba worked at SEC headquarters 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, he was in private practice advising registered investment adviser and mutual fund clients on a wide range of matters arising under the federal securities laws. He received his B.S. degree in Finance from George Mason University and his law degree from Boston University.

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Paul G. Levenson is the Director of the Boston Regional Office of the Securities and Exchange Commission. There he oversees a staff of over 160 professionals whose duties include enforcement of the securities laws, market intelligence, and examination of registered entities such as investment advisers, broker-dealers, investment funds, and transfer agents. Prior to joining the SEC in 2013, Mr. Levenson served for many years as an Assistant United States Attorney in the District of Massachusetts. During the last seven years of his tenure, Mr. Levenson was Chief of the U.S. Attorney’s Economic Crimes Unit. Before joining the U.S. Attorney’s Office, Mr. Levenson was in private practice in Washington, D.C., and in New York. Mr. Levenson is a magna cum laude graduate of both Harvard College and Harvard Law School, where he served as an editor of the Harvard Law Review

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Michael W. McGrath, CFA, is partner in the Boston office of K&L Gates LLP. He is a member of the firm’s Investment Management, Hedge Funds, and Alternative Investments practice group. Mr. McGrath practices in the areas of investment management, securities, and commodities law. He focuses on counseling institutional investment firms, private fund managers, and broker-dealers in connection with regulatory aspects of their U.S. and global operations. Mr. McGrath also advises clients with respect to U.S. and global regulation of swaps and other derivatives, and assists with the development of various alternative investment strategies. Prior to joining K&L Gates, Mr. McGrath was a Vice President and Senior Counsel with Allianz Global Investors. He received a law degree from Duke University and an A.B. from Stanford University.

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A. Valerie Mirko is a Partner in Baker McKenzie’s North American Financial Regulation and Enforcement Practice. Ms. Mirko’s practice includes a wide range of regulatory, examinations and enforcement matters, with a focus on investment advisers and broker-dealers. Previously she served as General Counsel of the North American Securities Administrators Association (NASAA) where she advised the NASAA Board on developments in federal securities laws and their impact on state securities regulations, with a particular focus on federal investment adviser rules and NASAA model rules for state-registered advisers. She is a national expert on SEC Regulation Best Interest, the Massachusetts Fiduciary Rule, and intersections between the broker-dealer and investment adviser regimes and the DOL ERISA fiduciary rule and relevant prohibited transactions exemptions. In her time at NASAA, Ms. Mirko also actively contributed to regulatory coordination between federal and state regulators and regulatory initiatives relating to data privacy, Fintech, and Regtech.

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David Peavler is the Regional Director of the SEC’s Fort Worth Regional Office, which covers Texas, Oklahoma, Arkansas and Kansas. He rejoined the SEC in 2019 after serving as General Counsel for a registered broker-dealer and investment adviser. Previously, Mr. Peavler spent 15 years in the SEC’s Enforcement Division, most recently as head of Enforcement for the Fort Worth office. In addition to his tenure at the SEC, Mr. Peavler has been a partner in the trial section of Locke Liddell (now Locke Lord), where he primarily represented major accounting firms, and in-house with Phillips Petroleum Company and ConocoPhillips, handling general corporate and transactional matters. Mr. Peavler is a lifelong Texan who received his law degree from the University of Texas and his undergraduate degree in accounting and economics from Baylor University.

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Mark D. 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 also 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.

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Samara V. Ross is Assistant Regional Director of the SEC’s Office of Compliance, Inspections and Examinations in the SEC Atlanta Regional Office. She oversees examinations of investment advisers and investment companies located in the 5-state region of Georgia, Alabama, North and South Carolina, and Tennessee. Prior to joining the SEC, Ms. Ross was an Inspections Specialist with the Public Company Accounting Oversight Board. Her responsibilities included overseeing audits of public companies in order to protect the interests of investors and further the public interest in the preparation of informative, accurate, and independent audit reports. She has also worked as a Financial Services Assurance Manager with PricewaterhouseCoopers in Atlanta, GA, and Baltimore, MD. Ms. Ross earned her B.S. and her Master of Business Administration with a concentration in accounting from Florida A&M University.

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Robert Saperstein is a Senior Managing Director, the Global Head of Compliance, and Senior Counsel for Guggenheim Partners, LLC. He joined Guggenheim in June 2012 as Senior Regulatory Counsel and Head of Central Compliance. As Global Head of Compliance, he has oversight over the compliance programs for all registered investment advisors, registered investment companies, broker-dealers, commodity trading advisors, and business development companies firmwide. Prior to joining Guggenheim, Mr. Saperstein worked at Caxton Associates, LLC, Goldman, Sachs & Co., and Bear Stearns & Co. He served as a Branch Chief in the Enforcement Division of the New York office of the U.S. Securities and Exchange Commission after beginning his career as a litigation associate at the law firm of Rosenman & Colin. Mr. Saperstein passed his FINRA Series 7 (Registered Representative), Series 8 (Branch Manager), Series 14 (NYSE Chief Compliance Officer), and Series 24 (NASD Principal) exams. He received his B.A. from Tufts University and his J.D. from George Washington University Law School.

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Erin E. Schneider is the Regional Director of the U.S. Securities and Exchange Commission’s San Francisco Office. 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.

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Linda Shirkey is a Managing Director of the Bates Compliance team based in Houston, TX. As President and founder of The Advisor’s Resource, Inc., she has provided compliance expertise to Registered Investment Advisers for over 20 years. A former institutional stock broker covering money managers and major corporations, Ms. Shirkey was with Charles Schwab & Co., Inc., for ten years. Prior to her position with Charles Schwab, Ms. Shirkey worked in banking and legal services in product development, marketing and corporate finance. A magna cum laude graduate of Case Western Reserve University in Cleveland, Ms. Shirkey is a former member of the National Society of Compliance Professionals (“NSCP”) Board and continues to be an active member on a number of NSCP committees. She also holds a leadership role with the Houston Compliance Roundtable and is a member of the DFW Compliance Roundtable. She is often invited to speak as an expert in applying current compliance requirements effectively and efficiently, and she has led workshops and seminars for the NSCP Regional and National Meetings, IA Watch, and the Investment Adviser Association.

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Neil A. Simon is Vice President, Government Relations for the Investment Adviser Association. He has a leading role in the formulation and communication of IAA’s views on legislative and regulatory issues important to the investment advisory profession and is responsible for advocacy before the U.S. Congress. Before joining the IAA, he was Director of Government Relations for the Financial Planning Association. From 1998 to 2003, he served as executive director of the National Franchise Council, where he led an innovative public-private compliance partnership between national franchisors and U.S. Federal Trade Commission. Prior to that, he was counsel in the law firm of Hogan & Hartson LLP (now known as Hogan Lovells). Mr. Simon received his B.A. magna cum laude in government and international relations from Clark University. He received his J.D. from Georgetown University, and is a member of Phi Beta Kappa.

Kristin A. Snyder

Kristin A. Snyder is the Deputy Director and Co-National Associate Director of the Investment Adviser/Investment Company examination program in the SEC’s Office of Compliance Inspections and Examinations (OCIE). In addition, Ms. Snyder serves as the Associate Regional Director for Examinations in the SEC’s San Francisco Regional Office, where she leads a staff of approximately 50 accountants, examiners, attorneys, and support staff responsible for the examination of broker-dealers, investment companies, investment advisers, and transfer agents across Northern California and the Pacific Northwest. Ms. Snyder has worked at the SEC for more than thirteen years, and previously served as a Branch Chief and a Senior Counsel in the San Francisco office’s enforcement program. Prior to joining the SEC staff, Ms. Snyder practiced with Sidley Austin Brown & Wood LLP in San Francisco. She earned her law degree from the University of California Hastings College of the Law and received her bachelor’s degree from the University of California at Davis.

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Tracy Soehle joined Affiliated Managers Group, Inc. in 2007 and currently serves as Senior Vice President and Senior Counsel. She is responsible for overseeing AMG’s regulatory affairs and legal and compliance support of the company’s global operations and its Affiliates. Prior to joining AMG, Ms. Soehle was a senior compliance manager at State Street Global Advisors, and was previously regulatory compliance manager at Wellington Management Company, LLP, and an attorney at the law firm Dechert, LLP. Ms. Soehle received a B.S. from Boston College and a J.D. from Tulane University Law School.

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John P. Sweeney is the Strategic Risk Coordinator in the SEC’s Atlanta Regional Office. Prior to accepting this role, Mr. Sweeney was an Exam Manager in the SEC’s Washington, D.C., Office and focused on Investment Adviser/Investment Company examinations. Before joining the Commission, he served in the private sector in various capacities, including roles as a Controller and Compliance Manager for a Boston-based private fund adviser and Compliance Officer at global hedge fund administrator in New York. He also served in several roles at a large mutual fund complex. Mr. Sweeney received his B.A. in Economics from the University of Massachusetts.

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Elizabeth Ward has been Examinations Manager with the SEC’s Boston Regional Office since 2009 and previously spent over three years with the exam program in the Chicago Regional Office. Prior to joining the Commission staff, Ms. Ward worked for Ernst and Young LLP and FMC Technologies, Inc. Ms. Ward is a CPA and CFE and obtained her bachelor’s degree from DePaul University, where she majored in accounting.

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Cathy Vasilev is a Founding Member and Chief Operating Officer of Red Oak Compliance Solutions. Ms. Vasilev brings more than 25 years of compliance and supervisory expertise in independent broker-dealers, wire-house broker/dealers, and RIAs. Earlier, she served as the Assistant Vice President of Supervisory Systems and Controls at NFP Securities, an independent broker/dealer, and RIA. She was an Associate Manager for Prudential, where she supervised 75 representatives, performing all compliance functions for the branch. Ms. Vasilev began her career as a stockbroker for Salomon Smith Barney and later moved to compliance and operations. She has a Masters of Business Management degree, and is a member of the Association of Compliance Professionals; a member of National Society of Compliance Professionals; a member of Compliance and AML Professionals; and has FINRA Series 7, 24, 26, 63 and Life and Health licenses.