Venue
Hyatt Regency Washington on Capitol Hill
Hyatt Regency Washington on Capitol Hill, 400 New Jersey Ave NW, Washington, DC 20001, USA

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Event Date Thu Mar 14 EDT - Fri Mar 15 EDT (over 5 years ago)
Location Hyatt Regency Washington on Capitol Hill
400 New Jersey Ave NW, Washington, DC 20001, USA
Region Americas
Details

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 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

2019 Speakers

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

Karen L. Barr
President/CEO, IAA

Peter Driscoll
Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission

Stephanie Avakian
Co-Director, Division of Enforcement, Securities and Exchange Commission

Gail Bernstein
General Counsel IAA, Moderator

Claire G. Burke
Chief Compliance Officer, Vanguard Advisers, Inc.

James R. Prescott
Vice President, Compliance, Ariel Investments, LLC

Robert E. Plaze
Partner, Proskauer Rose LLP

Laura L. Grossman
Associate General Counsel, IAA, Moderator

Pamela Pendrell
Partner, Chief Compliance Officer, GlobeFlex Capital

Chris Stanley
Founding Principal, Beach Street Legal

Michael W. McGrath
Partner, K&L Gates LLP

Elizabeth Halterman
Legal Counsel, Legislative and Regulatory Affairs, T. Rowe Price Associates, Inc.

Paula Bosco,
Co-Founder/CEO, Activus Risk Management

Gwendolyn A. Williamson
Partner, Perkins Coie LLP

Sarah A. Buescher
Associate General Counsel, IAA, Moderator

Karyn Vincent
CFA, CIPM, Head, Global Industry Standards and GIPS Executive Director, CFA Institute

James O’Leary
GIPS Compliance Analyst, BNY Mellon Asset Management North America

Justin S. Guthrie
CFA, Partner, ACA Performance Services

Paul D. Glenn
Special Counsel, IAA

Mitchell Thompson
Supervisory Special Agent, Cyber Division, Federal Bureau of Investigation

Ronald Long
Director, Regulatory Affairs and Elder Client Initiatives, Wells Fargo Advisors

Mavis Kelly
Assistant Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission

Kerry A. Zinn
Principal, Bressler, Amery & Ross, P.C.

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

Catherine (Katy) Courtney Gordon
Vice President and Corporate Counsel, Prudential Financial, Inc.

James Ferrarelli
Vice President of Technology, Charles Schwab Investment Management, Inc. and Charles Schwab Investment Advisory, Inc.

Thomas P. Vartanian
Executive Director/Professor of Law, Program on Financial Regulation & Technology, Antonin Scalia Law School, George Mason University

Alexander Gavis
SVP/Deputy General Counsel, Fidelity Investments

Lewis Collins
General Counsel, GW&K Investment Management

Staff member
Office of Compliance Inspections and Examinations, Securities and Exchange Commission

Jennifer L. Klass
Partner, Morgan, Lewis & Bockius LLP

Ari Burstein
President, Capital Markets Strategies

Monique S. Botkin
Associate General Counsel, IAA

Garrett C. Broadrup
Vice President/Senior Counsel, Affiliated Managers Group, Inc.

Holly Hunter-Ceci
Assistant Chief Counsel, Division of Investment Management, Securities and Exchange Commission

Keith Marks
General Counsel and Executive Director, Compliance Solutions Strategies

Ki P. Hong
Partner, Skadden, Arps, Slate, Meagher & Flom LLP

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

Sarah G. ten Siethoff
Associate Director, Rulemaking Office, Division of Investment Management, Securities and Exchange Commission

Michael L. Sherman
Partner, Dechert LLP

Sanjay Lamba
Associate General Counsel, IAA

Sharanya Mitchell
Vice President, Senior Global Regulatory Counsel and Chief Privacy Officer, Cohen & Steers Capital Management, Inc.

Robert A. Cohen
Chief, Cyber Unit, Division of Enforcement, Securities and Exchange Commission

Ash Khan
Managing Director, Treliant, LLC

Jonathan G. Cedarbaum
Partner, WilmerHale

Mary E. Keefe
Director of Regulatory Affairs, Nuveen Asset Management

Mark Dowdell
Assistant Regional Director, Philadelphia Regional Office, Office of Compliance Inspections and Examinations, Securities and Exchange Commission

Kenneth W. Clowers
Managing Director, ACA Compliance Group

Mark Perlow
Partner, Dechert LLP

Jisha Dymond
Chief of Staff/Compliance Counsel, Oz Management

John Pollard
Director, Compliance, EJF Capital LLC

Daniel Kahl
Co-Deputy Director/Chief Counsel, Office of Compliance Inspections and Examinations, Securities and Exchange Commission

Patricia A. Poglinco
Partner, Seward & Kissel LLP

Lindsay Antoniello
Deputy Chief Compliance Officer, TPG Global, LLC

Marshall Sprung
Managing Director/Global Head of Compliance, Blackstone Alternative Asset Management LP

Jennifer Songer
Branch Chief, Private Funds Branch, Investment Adviser Regulation Office, Division of Investment Management, Securities and Exchange Commission

Aaron J. Schlaphoff
Partner, Kirkland & Ellis LLP

Rana J. Wright
General Counsel, Harris Associates L.P.

Joanna Catalucci
Senior Managing Director and CCO, Guggenheim Funds

Thoreau A. Bartmann
Senior Special Counsel, Division of Investment Management, Securities and Exchange Commission

Roberta Ufford
Senior Special Counsel, Division of Investment Management, Securities and Exchange Commission

Kenneth J. Berman
Partner, Debevoise & Plimpton LLP

Sharon C. Buccafusco
Vice President, Tradition Capital Management LLC

David Edwards
President & Wealth Advisor, Heron Wealth

Linda Shirkey
President, The Advisor's Resource, Inc.

Mari-Anne Pisarri
Partner, Pickard Djinis & Pisarri LLP

Christine Carsman
Senior Policy Advisor, Affiliated Managers Group, Inc.

Christopher Gilkerson
Senior Vice President, General Counsel, Charles Schwab & Co., Inc.

Neil Simon
Vice President for Government Relations, IAA

Karen L. Barr
President/CEO, IAA

Tanya Kerrigan
Vice President and Assistant General Counsel, MFS Investment Management

Robert Saperstein
Senior Managing Director, Guggenheim Partners, LLC

Vivi Mazarakis
Branch Chief, Office of Chief Counsel, Office of Compliance Inspections and Examinations, Securities and Exchange Commission

Eva Ciko Carman
Partner, Ropes & Gray LLP

Sponsors & Partners

2019 Sponsors & Exhibitors

CONFERENCE SPONSOR:
• Fidelity Clearing & Custody Solutions

CONFERENCE SUPPORTER:
• Advent

THURSDAY LUNCH SPONSOR:
• McDermott Will & Emery

FRIDAY LUNCH SPONSOR:
• Ropes & Gray

LANYARD SPONSOR:
• Treliant

BAG INSERT SPONSOR:
• Morrison & Foerster

EXHIBITORS:
• ACA Compliance Group (ACA)
• Atlantic Fund Services
• BasisCode Compliance
• Bates Compliance Solutions
• BBD
• Broadridge
• Cipperman Compliance Services
• Compliance Solutions Strategies
• Core Compliance & Legal Services, Inc.
• Hardin Compliance Consulting LLC
• Millennium Trust Company
• Nasdaq
• NCS Regulatory Compliance
• NRS
• Quest CE
• Red Oak’s
• Renaissance Regulatory Services
• RIA in a Box ®
• Six Lambda
• Vigilant