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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 |
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.
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
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