Investment Adviser Compliance Conference 2021 | Investment Adviser Association | 3 March 2021 | Virtual Conference

This year, the IAA’s annual Investment Adviser Compliance Conference will take place virtually. Over three half-days, the conference will provide investment advisers with the most current information available on the changing regulatory landscape. In addition to virtual interaction with peers, attendees will hear from a distinguished roster of speakers that includes SEC staff, investment adviser industry professionals, and legal experts. Gain practical insights and knowledge of best practices that will help you maintain a successful compliance program -- from the location of your choice!

Our 2021 conference will cover a wide range of topics, including risk management; Department of Labor rules and guidance impacting investment advisory firms; international developments; ESG investing and implementation; ethics; and much more.

2021 Speakers

Anil Abraham
Associate General Counsel, Managing Director – Legal, Focus Financial Partners, LLC.

Adam S. Aderton
Co-Chief, SEC Enforcement Division’s Asset Management Unit

Karen Aspinall
Partner, Practus LLP

Karen L. Barr
President & CEO, Investment Adviser Association

Gail C. Bernstein
General Counsel, Investment Adviser Association

Monique S. Botkin
Associate General Counsel, Investment Adviser Association

Nathan Briggs
Partner, Ropes & Gray LLP

Sarah Buescher
Associate General Counsel, Investment Adviser Association

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

Ari Burstein
President, Capital Markets Strategies

Bradford Campbell
Partner, Faegre Drinker Biddle & Reath LLP

Keith E. Cassidy
Associate Director, Technology Controls Program

Sara Crovitz
Partner, Stradley Ronon

Letti de Little
Chief Compliance Officer, Grain Management, LLC

Michael S. Didiuk
Partner, Perkins Coie’s Investment Management

Carlo di Florio
Global Chief Services Officer of ACA Compliance Group

Peter Driscoll, CPA
Director of the U.S. Securities and Exchange Commission’s Division of Examinations

Anthony Eames
Vice President and Director of Responsible Investment Strategy, Calvert Research and Management

Geoffrey I. Edelstein
Co-Founder, Principal and Portfolio Manager, Granite Investment Partners, LLC

Kevin Ehrlich
Chief Compliance Officer and Manager, Regulatory Affairs for Western Asset Management Company

Langston Emerson
Partner, Mindset DC

Lee Faria
Vice President of Asset Management Compliance and the Chief Compliance Officer, Columbia Management Investment Advisers, LLC (CMIA)

Genna Garver
Partner, Troutman Pepper Hamilton Sanders LLP

Alexander C. Gavis
Senior Vice President and Deputy General Counsel, Corporate Legal Department of FMR LLC

Paul D. Glenn
Special Counsel, Investment Adviser Association

Daniel Goelzer
Member, Sustainability Accounting Standards Board

Laura L. Grossman
Associate General Counsel, Investment Adviser Association

Jon K. Hadfield
Chief Compliance Officer, Vanguard Global Advisers, LLC; Head of Fund and Adviser Compliance, Vanguard

Melissa Harke
Senior Special Counsel, Investment Adviser Regulation Office

Christopher Hayes
Chief Compliance Officer and Principal, 1919 Investment Counsel

Kathy D. Ireland
Consultant Specializing, ERISA

Michelle L. Jacko
Managing Partner and CEO, Jacko Law Group, PC

J. Christopher Jackson
Senior Vice President and General Counsel, Calamos Investments

Carlotta King
General Counsel and Corporate Secretary, Diamond Hill Capital Management Inc.

Keith Marks
Executive Director, Compliance Solutions Strategies (CSS)

Jennifer B. McHugh
Senior Special Counsel, Disclosure Review

Brian McLaughlin Johnson
Assistant Director in the Rulemaking Office in the SEC’s Division of Investment Management

Michelle Kirschner
English law partner, London office of Gibson, Dunn & Crutcher.

Jennifer L. Klass
Co-chair, Baker McKenzie's Financial Regulation and Enforcement Practice

Sanjay Lamba
Associate General Counsel, Investment Adviser Association

Gretchen Lee
Chief Compliance Officer, Clifford Swan Investment Counselors

Julius Leiman-Carbia
Chief Legal Officer & Chief Compliance Officer, Wealthfront Inc.

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

Michael W. McGrath
Partner, Boston office of K&L Gates LLP

Sean Murphy
Vice President in the Legal and Compliance Department, EIG Global Energy Partners

Kirk Nahra
Partner, WilmerHale

Hope Newsome
Co-Founder and Managing Partner at Virtus LLP

Naseem Nixon
Vice President and Associate Counsel, Capital Group,

Kimberly H. Novotny
Senior Associate General Counsel, Franklin Templeton

Eric C. Oppenheim
General Counsel and Chief Compliance Officer, Telemus Capital, LLC

C. Dabney O'Riordan
Co-Chief, SEC Enforcement Division’s Asset Management Unit

Alpa Patel
Partner in the Investment Funds Group, Kirkland & Ellis LLP

Linda Paullin-Hebden
Executive partner, Warner Norcross & Judd LLP

Hester M. Peirce
Appointed by President Donald J. Trump, U.S. Securities and Exchange Commission

Pamela F. Pendrell
Partner and the Chief Compliance Officer, GlobeFlex Capital.

Steve Perazzoli
Partner, PwC’s Asset & Wealth Management Group

Mark D. Perlow
Partner in the San Francisco office, Dechert LLP

Mari-Anne Pisarri
Partner, Pickard Djinis & Pisarri

Lori Renzulli
Chief Compliance Officer, Counsel, and a Partner, Harding Loevner LP,

Sarah Ronnenberg
Compliance Director, Horizon Investments, LLC

Igor Rozenblit
Co-Head, SEC’s Private Funds Unit

Alexander Schiller
Assistant Director, Office of Asset Management, Division of Economic and Risk Analysis, Securities and Exchange Commission (SEC)

Joelle A. Simms
Principal at Bressler, Amery & Ross, is located in the firm’s Dallas

Neil A. Simon
Vice President for Government Relations, Investment Adviser Association

Kristin A. Snyder
Deputy Director and Co-National Associate Director, Investment Adviser/Investment Company

Tracy Soehle
Joined Affiliated Managers Group, Inc

Steven W. Stone
Partner at Morgan Lewis

Alexandria Stuart
Vice President, Head of Compliance & Senior Counsel, Private Equity, Vista Equity Partners

Sarah G. ten Siethoff
Acting Director, SEC’s Division of Investment Management; Associate Director, Rulemaking Office.

John E. (“Jack”) Thomas, Jr.
Senior Vice President and Internal Audit Director, PNC Bank

Neshie Tiwari
Chief Compliance Officer & Compliance Counsel, Ellevest, Inc.

Bob Toner
Chief Legal Counsel, William Blair’s Investment Management division.

Tim Villano, CISA, CISM, CGEIT, CRISC,
Chief Information Officer at Artemis Global Security, LLC

Kurt Wachholz
Executive Consultant, Investment Adviser Core Compliance

Gwendolyn A. Williamson
Partner, Perkins Coie LLP,

David Wong
Chief Financial Officer and Chief Compliance Officer, Private Wealth Partners

Rana J. Wright
General Counsel of Harris Associates

2021 Sponsors

CORE SPONSORS:
• ACA Compliance Group
• Compliance Solutions Strategies

SUPPORTING SPONSORS:
• Bates Compliance
• Broadrige
• CCLS
• Foreside

EXHIBITING SPONSORS:
• NRS
• RRS