Discover recent trends and different approaches to enterprise risk management, as well as COVID-19-related hot topics and best practices, including:
- Defining and measuring risk appetites
- Methodologies to evaluate, measure, monitor and test risks
- Honing likelihood and impact analyses
- Regulatory and other third-party focus areas
- Use of third-party consultants and software/application tools
- How a business continuity plan fits into an enterprise risk management program
- Special COVID-19 issues
- New risks to consider adding as a result of the current pandemic
- Improving a risk matrix given the work from home environment
- Role of compliance in monitoring how an adviser is managing the broader risks associated with a pandemic
Barry P. Barbash is senior counsel in Willkie’s Asset Management Group and has been a practitioner in the asset management area for over 35 years. He combines deep private practice experience with extensive knowledge of the regulation of the asset management business, having, among other things, served from September 1993 until October 1998 as the Director of the SEC’s Division of Investment Management. He also has held staff attorney positions with the Division of Investment Management and the Plan Benefits Security Division of the Office of the Solicitor of the U.S. Department of Labor. His practice has been focused on investment advisers, fiduciaries and securities regulation since 1978.
Joseph M. Burschinger is a Senior Managing Director and Chief Risk Officer, Portfolio Management of Guggenheim Partners, LLC. Joe works with portfolio managers to advance Guggenheim’s ability to identify, measure, monitor, and actively manage all types of potential portfolio-risk attributes. He proactively manages and advises on potential risks across Guggenheim’s diverse portfolio strategies to best ensure investment objectives are achieved in a disciplined and consistent fashion. Earlier in his career, he worked as a supervisor with the Federal Reserve Bank of San Francisco, Los Angeles Branch, and an economic analyst with the U.S. Securities and Exchange Commission.
Anne C. Choe is a partner in Willkie’s Asset Management Group. She advises a wide range of pooled investment vehicles, including mutual funds, ETFs, private funds and their sponsors and investment managers. She has in-depth knowledge of the various securities and other laws applicable to pooled vehicles and regularly counsels investment advisers and family offices on a variety of SEC regulatory filings and compliance matters. Anne regularly represents investment advisers and funds in SEC examination and enforcement matters. She also assists clients in connection with internal compliance reviews and investigations, and the development and testing of compliance programs. Anne has significant experience advising on the creation and operation of registered open-end investment companies and ETFs and provides counsel to fund independent boards.
Robert Saperstein is a Senior Managing Director, the Global Head of Compliance and Senior Counsel for Guggenheim Partners, LLC. He has 30 years’ experience as a legal and compliance professional in the industry. As Global Head of Compliance, Rob has oversight over the compliance programs for all registered investment advisers, registered investment companies, broker-dealers, commodity trading advisors and business development companies firmwide. Previously, he served as a Branch Chief in the Enforcement Division of the New York office of the U.S. Securities and Exchange Commission.
Laura L. Grossman (moderator) is Associate General Counsel of the Investment Adviser Association. Laura’s areas of focus include cybersecurity, privacy, and custody. Prior to joining the IAA, Laura was in private practice for over 10 years in New York, 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.
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