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Event Date | Thu Mar 15 EDT - Fri Mar 16 EDT (over 6 years ago) |
Location |
Hyatt Regency Washington on Capitol Hill
400 New Jersey Ave NW, Washington, DC 20001, USA |
Region | Americas |
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. Speakers and their bios are listed on the conference speakers roster.
2018 Speakers
Benjamin T. Alden
General Counsel, Betterment
Marina C. Ashiotou
Vice President, Advanced Data Analytics, Jackson National Life Insurance Company (Jackson®)
Karen L. Barr
President & CEO, Investment Adviser Association
David P. Bergers
Partner-Securities Litigation & SEC Enforcement, Jones Day
Gail C. Bernstein
General Counsel, Investment Adviser Association
Dalia Blass
Director of the Division of Investment Management, Securities and Exchange Commission
Jonathan A. Boersma, CFA
CEO, Basis Point Solutions
Monique S. Botkin
Associate General Counsel, Investment Adviser Association
Garrett Broadrup
Vice President, Senior Counsel of Affiliated Managers Group, Inc.
Jason E. Brown
Partner, Ropes & Gray, LLP
Sharon Buccafusco
Associate Chief Compliance Officer, Tradition Capital Management LLC
Sarah Buesche
Associate General Counsel, Investment Adviser Association
Michael Caccese
Chairman of the Management Committee , K&L Gates/Co-Practice Area Leader-Financial Services, K&L Gates
Maria Chambers, IACCP
Chief Compliance Officer and Vice President, Klingenstein Fields Wealth Advisors (KFWA)
Sara Cortes
Assistant Director, Division of Investment Management, SEC
Michael DeMayo, CFA
Vice President, Heritage Investors Management
Scot E. Draeger, J.D.
Vice President, Director of Wealth Management, General Counsel, Chief Compliance Officer, R.M. Davis
Pete Driscoll
Director of the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE)
Laura Drynan, CFA, CFP, CIC
Partner, Bourgeon Capital Management, LLC
Jennifer A. Duggins, IACCP
Assistant Director and Co-Head of the Private Funds Unit, Office of Compliance Inspections and Examinations, SEC
David Edwards
President and Founder, Heron Wealth
Kevin Ehrlich
Chief Compliance Officer and Manager of Regulatory Affairs, Western Asset Management Company
Richard A. Fleming
Investor Advocate, SEC
Wendy D. Fox
Senior Vice President and Chief Compliance Officer, Ariel Investments, LLC
Askari J. Foy, MBA, CPA, CFE
Managing Director, ACA Aponix’s Global Regulatory Cybersecurity
Matthew S. Garcia, IACCP
Partner, Champlain Investment Partners LLC
Susan Gault-Brown
Partner and Practice Group Leader, Wilson Sonsini Goodrich & Rosati
Christopher Gilkerson
Senior Vice President, Chief Legal Officer, and General Counsel, Charles Schwab & Co
Paul D. Glenn
Special Counsel, Investment Adviser Association
Lindsay Gold
Chief Compliance Officer, Baillie Gifford Overseas Ltd
Lawrence J. Griffin
General Counsel and Chief Compliance Officer, Legal & General Investment Management America, Inc.
Laura L. Grossman
Associate General Counsel, Investment Adviser Association
Shahriar Hafizi
Chief Compliance Officer, FutureAdvisor, BlackRock
Deborah Hammalian
Chief Compliance Officer, Voya Investment Management
Melissa Roverts Harke
Senior Special Counsel-Investment Adviser Regulation Office, Division of Investment Management, SEC
Emily Irving
Assistant Vice President and Third Party Risk Management Manager, Wellington Management
Michelle L. Jacko
Managing Partner and CEO, Jacko Law Group, PC.
J. Christopher Jackson
Senior Vice President and General Counsel, Calamos Investments
Daniel S. Kahl
Chief Counsel for the Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Robert B. Kaplan
Litigation Partner, Debevoise & Plimpton LLC
Mary A. Keefe
Managing Director and Director of Regulatory Affairs, Nuveen Investments, Inc.
Tanya A. Kerrigan
Member of the Executive Committee / General Counsel and Chief Compliance Officer, Boston Advisors, LLC
Frank Kinsella
IT Director, Cooke & Bieler, L.P.
Sanjay Lamba
Assistant General Counsel, Investment Adviser Association
Grace Man
Senior Manager, Franklin Templeton Investments
Vincente L. Martinez
Partner, K&L Gates LLP, Washington, DC
Christopher J. Michailoff
Director in the Incident and Investigations Management Group, Deutsche Bank
Christine Morgan
Vice President, T. Rowe Price Group, Inc., T. Rowe Price Associates, Inc., T. Rowe Price International Ltd, T. Rowe Price Hong Kong Limited, T. Rowe Price Singapore Private Ltd.
Nancy M. Morris
Managing Director and Chief Compliance Officer, Wellington Management LLP
Tram N. Nguyen
Partner, Investment Management Practice, Paul Hastings
Catherine (Kay) M. O'Driscoll, IACCP
Compliance Officer, Thompson, Siegel & Walmsley LLC
Alpa Patel
Partner, Investment Funds Group, Kirkland & Ellis LLP
Commissioner Hester M. Peirce
Senior Research Fellow and Director of the Financial Markets Working Group, SEC
Mark D. Perlow
Partner, Dechert LLP, San Francisco
Mari-Anne Pisarri
Partner, Pickard Djinis & Pisarri
Robert E. Plaze
Partner, Proskauer/Member, Registered Funds Group
Jennifer R. Porter
Branch Chief, Investment Adviser Regulation Office, Division of Investment Management, SEC
James R. Reese, CFE
Acting Chief Risk and Strategy Officer, Office of Compliance Inspections and Examinations, SEC
Brian L. Rubin
Partner, Eversheds Sutherland (US) LLP / Head, SEC, FINRA and State Securities Enforcement Team
Mara I. Shreck
Head of Regulatory Affairs, Office of Regulatory Affairs, J.P. Morgan Asset & Wealth Management
Timothy F. Silva
Partner, WilmerHale
Brian Simon
General Counsel and Partner, Harding Loevner LP
Neil A. Simon
Vice President for Government Relations, Investment Adviser Association
Elizabeth K. Sipes
Partner, and Co-Leader, Private Funds Practice, Bryan Cave
Lisa Snow
Associate General Counsel and Senior Vice President, Focus Financial Partners
Kristin A. Snyder
Co-National Associate Director, Investment Adviser/Investment Company Program, Office of Compliance Inspections and Examinations, SEC
Steven W. Stone
Partner, Morgan Lewis
Jeffrey Taft
Partner & Member, Cybersecurity & Data Privacy, Mayer Brown’s Financial Services Regulatory & Enforcement
Sarah G. ten Siethoff
Deputy Associate Director, Rulemaking Office, Division of Investment Management, SEC
Tim Villano, CISA, CISM, CGEIT, CRISC
Chief Information Officer, Artemis Global Security, LLC
Karyn D. Vincent, CFA, CPA, CIPM
Chair, GIPS Technical Committee & Member, GIPS Executive Committee
Carla Vogel
Senior Vice President and Chief Compliance Officer, EIG Global Energy Partners
Steven K. Wilkes, CFA
CEO and CCO, Hutchinson Capital Management
Steven A. Yadegari
Chief Operating Officer and General Counsel, Cramer Rosenthal McGlynn, LLC
E. J. Yerzak, CISA, CISM, CRISC
Partner, VP of Technology and Compliance Services Consultant, Ascendant
2018 Spomsors
CONFERENCE:
• Fidelity Clearing & Custody SolutionsSM
CONFERENCE SUPPORTER:
• Advent SS&C
LUNCH:
• Ropes & Gray
LANDYARD:
• Treliant
BAG INSERT SPONSOR:
• Charles River IMS