Investment Adviser Compliance Conference 2020 | Investment Adviser Association | 4 March 2020 | JW Marriott Washington, DC, 1331 Pennsylvania Ave NW, Washington, DC 20004, USA

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.

The conference covers a wide range of compliance issues, both in plenary sessions and in numerous breakout sessions. Video recordings of all breakout sessions are available after the conference exclusively to conference attendees. The conference is approved for NRS Investment Adviser Certified Compliance Professional® (IACCP®) continuing education credit. It is also approved for CLE credit and for NASBA CPE credit.

2020 Speakers

Joseph Allessie
Deputy General Counsel, Harris Associates L.P

Elaine Banar
Global Head of Anti-Money Laundering and Anti-Corruption Compliance, Guggenheim Partners, LLC

Karen L. Barr
President & CEO, Investment Adviser Association

David Bartels
Associate Director, Chief Counsel’s Office, Securities and Exchange Commission

Marita Bartolini
Assistant Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission

Gail Bernstein
General Counsel, Investment Adviser Association

Dalia Osman Blass
Director of the Securities and Exchange Commission’s Division of Investment Management

Paula Bosco
Co-Founder & CEO, Activus Risk Management

Monique Botkin
Associate General Counsel, Investment Adviser Association

Julien Bourgeois
Partner, Dechert LLP

Matthew Bromberg
Partner, Dorsey & Whitney LLP

Colleen Brown
Partner, Sidley Austin LLP

Theresa Brunsman
Vice President, Associate General Counsel, Nuveen Asset Management

Sarah A. Buescher
Associate General Counsel, Investment Adviser Association

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

Robert E. Burks, Jr.
Chief Compliance Officer, Brown Capital Management

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

Maria Chambers
Chief Compliance Officer, Klingenstein Fields Wealth Advisors

Scot Draeger
President-Elect, General Counsel, and Director of Wealth Management, R. M. Davis, Inc.

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

Ivy Wafford Duke
Chief Compliance Officer, National Real Estate Advisors, LLC

David Edwards
President & Wealth Advisor, Heron Wealth

Mark A. Egert
Head of U.S. Compliance, Global Investment Management, Chief Compliance Officer, J.P. Morgan Investment Management

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

Jeff Engelsman
Managing Director and Chief Compliance Officer, TCW Group, Inc.

Lee A. Faria
Vice President and Chief Compliance Officer, Columbia Management Investment Advisers, LLC

Rick A. Fleming
Investor Advocate, Office of the Investor Advocate, Securities and Exchange Commission

Wendy Fox
Senior Vice President, Chief Compliance Officer, Ariel Investments

Paul Glenn
Special Counsel, Investment Adviser Association

Alan P. Goldberg
Partner, Stradley Ronon Stevens & Young, LLP

Laura Grossman
Associate General Counsel, Investment Adviser Association

Glen Guymon
Vice President and Senior Counsel, Dodge & Cox

Alexis Hall
Senior Special Counsel, Office of Compliance Inspections and Examinations, Securities and Exchange Commission

Joann Harris
Chief Compliance Officer and Deputy General Counsel, TPG Global, LLC

Christopher Hayes
Chief Compliance Officer, Principal, 1919 Investment Counsel, LLC

John Hoeppner
Head of US Stewardship and Sustainable Investments, Legal & General Investment Management America, Inc.

Vanessa L. Horton
Assistant Regional Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission

Jaqueline M. Hummel, IACCP®
Managing Director and Partner, Hardin Compliance Consulting LLC

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

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

Michael B. Koffler
Partner, Eversheds Sutherland (US) LLP

Sanjay Lamba
Associate General Counsel, Investment Adviser Association

Robert Lavigne
Managing Director, Bates Compliance

Peggy E. Lebert
Managing Director and Chief Compliance Officer, Avalon Investment & Advisory

Allison Herren Lee
Commissioner, Securities and Exchange Commission

Kathy Lewis
Chief Compliance Officer, First Affirmative Financial Network, LLC

Rosa Licea-Mailloux
Vice President, Director of Corporate Compliance, MFS Investment Management

Christine Lombardo
Partner, Morgan, Lewis & Bockius LLP

James G. Lundy
Partner, Drinker Biddle

Andrea Ottomanelli Magovern
Branch Chief, Chief Counsel’s Office, Securities and Exchange Commission

Grace Man
Senior Manager, Franklin Templeton Investments

Richard D. Marshall
Partner, Katten Muchin Rosenman LLP

Katie McGinley
Chief Compliance Officer, Mitchell, McLeod, Pugh & Williams, Inc.

Michael McGrath
Partner, K&L Gates LLP

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

Justin Meagher
Managing Director, SS&C

Paul M. Miller
Partner, Seward & Kissel

Nick Morgan
Partner, Paul Hastings LLP

Steven Peikin
Co-Director, Division of Enforcement, Securities and Exchange Commission

Pamela F. Pendrell, IACCP®
Chief Compliance Officer/Partner, GlobeFlex Capital, L.P.

Kimberly Peretti, CISSP
Partner, Alston & Bird LLP

Robert E. Plaze
Partner, Proskauer Rose LLP

George B. Raine
Partner, Ropes & Gray LLP

Gwen Reinke
Chief Compliance Officer, Vista Equity Partners

Thomas J. Ritter, Sr. CSCP®
Director of Compliance, Journey Advisory Group, LLC and Lang Advisors, LLC

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

Igor Rozenblit
Co-Head, Private Funds Unit, Securities and Exchange Commission

Paul Schappell
Senior Principal Consultant, ACA Aponix

Jed Schneider, CIPM, FRM
Senior Vice President, GIPS Compliance and Performance Reporting, Lazard Asset Management

Brian Simon
General Counsel, Harding Loevner LP

Neil Simon
Vice President for Government Relations, Investment Adviser Association

Danielle Nicholson Smith
Vice President and Senior Legal Counsel, T. Rowe Price Investment Services, Inc. and T. Rowe Price Advisory Services, Inc.

Jacob D. Smith
Principal, General Counsel and Chief Compliance Officer, Luther King Capital Management

Ryan Spelman
Senior Manager, Duff & Phelps

Marshall Sprung
Senior Managing Director and Global Head of Compliance, The Blackstone Group

Ben Tecmire
Senior Counsel, Investment Adviser Regulation Office, Securities and Exchange Commission

Robert Toner
Chief Legal Counsel Investment Management, William Blair & Company, LLC

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

Kurt Wachholz, IACCP®
Director of Education and Executive Consultant, NRS

Joshua Westerholm
Partner, Kirkland & Ellis

Lori Weston
Managing Director, Foreside

Steven A. Yadegari
Chief Operating Officer and General Counsel, Cramer Rosenthal McGlynn, LLC

E.J. Yerzak, CISA, CISM, CRISC
Director of Cyber IT Services, Compliance Solutions Strategies (CSS)

Jessica Zerges
Legal and Compliance, Capital Research & Management Company

2020 Sponsors and Exhibitors

SPONSOR:
• Fidelity Investments

SUPPORTER:
• SS&C Advent

WELCOME RECEPTION SPONSOR:
• Baker McKenzie

THURSDAY BREAKFAST SPONSOR:
• OneTrust

THURSDAY LUNCH SPONSOR:
• McDermott Will & Emery

FRIDAY LUNCH SPONSOR:
• Ropes & Gray

BAG INSERT SPONSOR:
• Morrison & Foerster

EXHIBITORS:
• ACA Compliance Group
• BasisCode Compliance
• Bates Compliance Solutions
• Broadridge
• Cipperman Compliance Services
• ComplySci
• Core Compliance & Legal Services, Inc.
• Foreside
• Hardin Compliance Consulting LLC
• Millennium Trust
• NRS
• Quest CE
• Red Oak
• RIA in a Box
• RIA Registrar, LLC
• Six Lambda
• Ameritrade
• Vigilant