Venue
JW Marriott Washington, DC
JW Marriott Washington, DC, 1331 Pennsylvania Avenue NW, Washington, DC 20004, USA

What is Qwoted?

Qwoted is a free expert network: we help reporters connect with experts & we help those same experts build relationships with top reporters.

Event Date Wed Mar 2 EST - Fri Mar 4 EST (in about 1 month)
Location JW Marriott Washington, DC
1331 Pennsylvania Avenue NW, Washington, DC 20004, USA
Region Americas
Details

This is a two-day, in-person program that provides investment advisers with the most current information available on the changing regulatory landscape. The program features speakers who are experts in their fields, including SEC officials, in-house legal counsel and compliance officers, partners with leading law firms, and the IAA legal team. Most sessions will be recorded and available to all registered attendees after the conference.

Participants will return to their firms with practical insights and knowledge of best practices to help them maintain a successful compliance program.

Continuing education credit will be available.

General Sessions
• A Conversation with the SEC’s Investment Management Division Director
• A Conversation with the SEC’s Exams and Enforcement Senior Officials
• Building Confidence in Your Cybersecurity Program
• Diversity, Equity, and Inclusion in the Investment Management Industry
• Effective Supervision of Technology
• ESG Investing Practices, Compliance, and Disclosures
• Ethics for Advisers: Compliance with Fiduciary Standards
• Fireside Chat with SEC Commissioner
• Hot Topics from Inside the Beltway
• Preparing to Implement the New Marketing Rule
• SEC Examination Experiences

Speakers

2022 Speakers

Alyssa Albertelli
Chief Ethics Officer, Fidelity

Meghan Irmler
Associate General Counsel – Advisory, Raymond James

Gretchen Passe Roin
Partner, WilmerHale, MODERATOR

Jon K. Hadfield
Chief Compliance Officer, Vanguard Global Advisers, LLC, Conference Chair

Karen L. Barr
President & CEO, Investment Adviser Association

The Honorable Caroline A. Crenshaw
Commissioner, Securities and Exchange Commission

Karen L. Barr
President & CEO, Investment Adviser Association

Jennifer L. Klass
Co-Chair, North America Financial Regulation & Enforcement Practice, Baker & McKenzie LLP

Sanjay Lamba
Associate General Counsel, Investment Adviser Association, MODERATOR

Gordon Eng
General Counsel & Chief Compliance Officer, SKY Harbor Capital Management, LLC

Mark Perlow
Partner, Dechert LLP

Laura Grossman
Associate General Counsel, Investment Adviser Association, MODERATOR

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

Melanie Mayo West
General Counsel & Chief Compliance Officer, LSIA

Joseph M. Mannon
Shareholder, Vedder Price, MODERATOR

Mitch Gibbons
General Counsel and Chief Legal Officer, Fayez Sarofim & Co.

Robert E. Plaze
Partner, Proskauer Rose LLP

Jerry Sanchez
Senior Vice President & Chief Compliance Officer, EIG Global Energy Partners

Andrea Santoriello
Executive Director and Assistant General Counsel, J.P. Morgan Asset Management

Sheena Paul
Counsel, Debevoise & Plimpton LLP, MODERATOR

Karyn D. Vincent
CFA, CIPM, Senior Head, Global Industry Standards, CFA Institute

Julia Reyes
CIPM, Partner, ACA Group

Michael W. McGrath
Partner, K&L Gates LLP, MODERATOR

Steven W. Stone
Partner, Morgan, Lewis & Bockius LLP

Monique Botkin
Associate General Counsel, Investment Adviser Association, MODERATOR

Kevin Ehrlich
Manager, U.S. Regulatory Affairs & CCO, Western Asset Management Company

Gretchen E. Lee
Chief Compliance Officer, Clifford Swan Investment Counselors

Tito Pombra
Chief Compliance Officer, Main Street Research, LLC

Michelle L. Jacko
CSCP, Managing Partner and CEO, Jacko Law Group, PC, and Founder and CEO, Core Compliance & Legal
Services, Inc., MODERATOR

Aliya Robinson
Senior Legal Counsel, Legislative and Regulatory Affairs, T. Rowe Price Associates, Inc.

Jennifer E. Eller
Principal, Groom Law Group, Chartered

Mari-Anne Pisarri
Partner, Pickard Djinis & Pisarri LLP

William Nelson
Associate General Counsel, Investment Adviser Association, MODERATOR

Anil Abraham
Associate General Counsel, Managing Director – Legal, Focus Financial Partners, LLC

Jon K. Hadfield
Chief Compliance Officer, Vanguard Global Advisers, LLC

Tracy Soehle
Senior Vice President and Senior Counsel, Affiliated Managers Group, Inc.

Carlo di Florio
Partner and Global Chief Services Officer, ACA Group, MODERATOR

Maria Chambers
Chief Compliance Officer, Klingenstein Fields Wealth Advisors

Peter W. Baldwin
Partner, Faegre Drinker Biddle & Reath LLP, MODERATOR

Bob Toner
Chief Legal Counsel – Investment Management, William Blair Investment Management, LLC

Jeremiah Williams
Partner, Ropes & Gray LLP

Daniel Kahl
Acting Director, SEC Division of Examinations

Dabney O’Riordan
Co-Chief, Asset Management Unit, SEC Division of Enforcement

Adam Aderton
Co-Chief, Asset Management Unit, SEC Division of Enforcement

Brad Wilson
Associate Counsel, MFS Investment Management

Allen Xiao
Deputy Chief Risk Officer, Amundi Asset Management US, Inc.

Benjamin J. Haskin
Partner, Willkie Farr & Gallagher LLP, MODERATOR

Letti de Little
Chief Compliance Officer, Grain Management, LLC

Alpa Patel
Partner, Kirkland & Ellis LLP, MODERATOR

Ric Edelman
Founder, Digital Assets Council of Financial Professionals

Gena Lai
Director of Special Assets, Yale University Office of Development

Susan Gault-Brown
Partner and Fintech Practice Chair, Stradley Ronon Stevens & Young, LLP, MODERATOR

Jeremi Roux
General Counsel & Chief Compliance Officer, Hamlin Capital Management, LLC

Colleen Theresa Brown
Partner, Sidley Austin LLP, MODERATOR

Larry Nakamura
Vice President, Head of U.S. Wealth Compliance, CI Financial

Karen A. Aspinall
Partner, Practus, LLP, MODERATOR

Neil A. Simon
Vice President, Government Relations, Investment Adviser Association

Karen L. Barr
President & CEO, Investment Adviser Association, MODERATOR

Melissa M. Gilbertson
Assistant Vice President, Information Technology and Trading Operations Manager, Mairs & Power, Inc.

Richard C. Sarhaddi
Head of Retail Advice Compliance, Office of the General Counsel, Vanguard