2020 IAA Investment Adviser Compliance Conference | Investment Adviser Association | 4 March 2020 | JW Marriott Washington, DC, 1331 Pennsylvania Ave NW, Washington, DC 20004, USA

The IAA’s annual Investment Adviser Compliance Conference is a comprehensive two-day program that provides investment advisers with the most current information available on the changing regulatory landscape. Participants will return to their firms with practical insights and knowledge of best practices to help them maintain a successful compliance program. In addition to meeting and interacting with peers, attendees will hear from a distinguished roster of speakers that includes SEC staff, investment adviser industry professionals, and legal experts.

2020 Speakers

Joseph Allessie
Deputy General Counsel of Harris Associates L.P.

Elaine Banar
Global Head of Anti-Money Laundering and Anti-Corruption Compliance for Guggenheim Partners

Karen L. Barr
President & CEO of the Investment Adviser Association

David Bartels
Deputy Chief Counsel of the Securities and Exchange Commission’s Division of Investment Management

Marita Bartolini
Assistant Director for OCIE’s Home Office Investment Adviser and Investment Company (IA/IC) Examination Program

Gail C. Bernstein
General Counsel, Investment Adviser Association

Dalia Osman Blass
Director of the Securities and Exchange Commission’s Division of Investment Management

Paula A. Bosco
CEO and co-founder of Activus Risk Management, LLC

Monique S. Botkin
Associate General Counsel of the Investment Adviser Association

Julien Bourgeois
Partner at Dechert based in Washington, DC

Matthew Bromberg
Partner at Dorsey & Whitney LLP

Colleen Theresa Brown
Partner, Sidley Austin LLP

Theresa Brunsman
Vice President and Associate General Counsel at Nuveen

Sarah Buescher
Associate General Counsel, Investment Adviser Association

Claire Burke
Chief Compliance Officer (CCO) for Vanguard Advisers, Inc

Robert E. Burks, Jr
Chief Compliance Officer, Brown Capital Management

Christine Carsman
Senior Policy Advisor, Affiliated Managers Group

Maria Chambers
Chief Compliance Officer and Vice President of Klingenstein Fields Wealth Advisors

Scot Draeger
Director of Wealth Management, General Counsel and Chief Compliance Officer of R. M. Davis

Peter Driscoll, CPA
Director of the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations

Ivy Wafford Duke
Chief Compliance Officer for National Real Estate Advisors, LLC

David Edwards
President and Founder of Heron Wealth

Mark A. Egert
Executive Director and Head of Global Investment Management U.S. Compliance for JPMorgan Asset Management

Kevin Ehrlich
Chief Compliance Officer and Manager of Regulatory Affairs for Western Asset Management Company

Jeffrey A. Engelsman
Managing Director and Global Chief Compliance Officer of the TCW Group, Inc.

Lee Faria
Vice President of Asset Management Compliance and the Chief Compliance Officer for Columbia Management Investment Advisers, LLC

Richard A. Fleming
Deputy General Counsel for the North American Securities Administrators Association

Wendy D. Fox
Senior Vice President and Chief Compliance Officer at Ariel Investments, LLC

Paul D. Glenn
Special Counsel for the Investment Adviser Association

Alan P. Goldberg
Partner-in-Charge at Stradley Ronon Stevens & Young, LLP

Laura L. Grossman
Associate General Counsel of the Investment Adviser Association

Glen Guymon
Vice President and Senior Counsel of Dodge & Cox

Alexis Hall
Senior Special Counsel in the Technology Controls Program of the Office of Compliance Inspections and Examinations

Joann Harris
Chief Compliance Officer of TPG

Christopher Hayes
Chief Compliance Officer and Principal at 1919 Investment Counsel

John Hoeppner
Head of US Stewardship and Sustainable Investments at Legal & General Investment Management

Vanessa L. Horton
Assistant Regional Director in OCIE’s IA/IC

Jaqueline M. Hummel, IACCP
Partner and Managing Director at Hardin Compliance Consulting LLC

Michelle L. Jacko
Managing Partner and CEO of Jacko Law Group

Jennifer L. Klass
Co-chair of Baker McKenzie's Financial Regulation and Enforcement Practice

Michael Koffler
Partner at Eversheds Sutherland

Sanjay Lamba
Associate General Counsel at the Investment Adviser Association

Robert ("Bob") Lavigne
Managing Director of Bates Group’s Compliance Solutions

Peggy E. Lebert
Managing Director and Chief Compliance Officer at Avalon Investment & Advisory

Allison Herren Lee
President Donald Trump to the U.S. Securities and Exchange Commission

Kathleen ("Kathy") Lewis
Chief Compliance Officer for First Affirmative Financial Network

Rose Licea-Mailloux
Vice President and Director of Corporate Compliance at MFS Investment Management

Christine Lombardo
Partner at Morgan

James G. Lundy
Partner at Drinker Biddle

Andrea Ottomanelli Magovern
Branch Chief in the Chief Counsel’s Office of the SEC’s Division of Investment Management

Grace Man
Senior Manager at Franklin Templeton Investments

Richard Marshall
Partner at Katten Muchin Rosenman LLP

Katherine M. ("Katie") McGinley
Shareholder of Mitchell, McLeod, Pugh & William

Michael W. McGrath
Partner in the Boston office of K&L Gates LLP

Ian J. McPheron
Head of Legal—Americas for Aviva Investors

Justin Meagher
Managing Director and one of the leaders of SS&C’s Regulatory Solutions, Analytics, and Data Management platforms

Paul M. Miller
Partner in Seward & Kissel’s Investment Management Group

Nick Morgan
Partner in the Investigations and White Collar Defense

Steven Peikin
Co-Director of the SEC’s Division of Enforcement

Pamela F. Pendrell
Partner and the Chief Compliance Officer of GlobeFlex Capital

Kim Peretti
Co-chair of Alston & Bird’s Cybersecurity Preparedness & Response Team

Robert E. Plaze
Partner with Proskauer and a member of the Registered Funds Group

George B. Raine
Partner in the asset management group at Ropes & Gray LLP

Gwen Reinke
Chief Compliance Officer, Vista

Julie M. Riewe
Debevoise & Plimpton LLP

Thomas J. Ritter, Sr
Director of Compliance of Journey Advisory Group, LLC

Jeremi Roux
General Counsel and Chief Compliance Officer of Hamlin Capital Management

Igor Rozenblit
Co-Head of the SEC’s Private Funds Unit

Paul Schappell
Senior Principal Consultant at ACA Aponix

Jed Schneider
Compliance and Performance Reporting at Lazard Asset Management

Brian Simon
General Counsel and a partner with Harding Loevner LP

Neil A. Simon
Vice President for Government Relations for the Investment Adviser Association

Danielle Nicholson Smith
Senior Legal Counsel and Vice President of the T. Rowe Price

Jacob D. Smith
Principal, General Counsel and Chief Compliance Officer of Luther King Capital Management

Ryan Spelman
Senior Manager in Duff and Phelps’s Legal Management Consulting

Marshall S. Sprung
Senior Managing Director and Global Head of Compliance at Blackstone Alternative Asset Management LP

Benjamin Tecmire
Senior Counsel in the Private Funds Branch of the Investment Adviser Regulation Office

Bob Toner
Chief Legal Counsel of William Blair’s Investment Management

Karyn D. Vincent
Senior Head, Global Industry Standards at CFA Institute and the GIPS®Standards Executive Director

Kurt Wachholz
Director of Education and an Executive Consultant at National Regulatory Services

Josh Westerholm
Partner in the Investment Funds and Corporate Groups of Kirkland & Ellis LLP

Lori Weston
Managing Director of Foreside

Steven A. Yadegari
Chief Operating Officer and General Counsel of Cramer Rosenthal McGlynn

E. J. Yerzak
Director of Cyber IT Services of Shield

Jessica Zerges
Chief Compliance Officer of Capital Bank and Trust and Capital International, Inc.

2020 Sponsors and Exhibitors

CONFERENCE SPONSOR:
• Fidelity Clearing & Custody Solutions

CONFERENCE SUPPORTER:
• Advent

WELCOME RECEPTION SPONSOR:
• Baker McKenzie

THURSDAY BREAKFAST SPONSOR:
• OneTrust

THURSDAY LUNCH SPONSOR:
• McDermott Will & Emery

FRIDAY LUNCH SPONSOR:
• Ropes & Gray

BAG INSERT SPONSOR:
• Morrison & Foerster

EXHIBITORS:
• ACA Compliance Group
• BasisCode Compliance
• Bates Compliance Solutions
• Broadridge
• Cipperman Compliance Services
• ComplySci
• Foreside
• Hardin Compliance Consulting LLC
• Millennium Trust
• NRS
• Quest CE
• Red Oak
• RIA in a Box
• RIA Registrar, LLC
• Six Lambda
• Ameritrade
• Vigilant