Investment Adviser Compliance Conference 2018 | Investment Adviser Association | 15 March 2018 | Hyatt Regency Washington on Capitol Hill, 400 New Jersey Ave NW, Washington, DC 20001, 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. 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