Investment Adviser Compliance Conference 2023 | Investment Adviser Association | 12 March 2023 | Marriott Marquis Washington, D.C, 901 Massachusetts Ave NW, Washington, DC 20001, USA

The program features a distinguished roster of speakers who are experts in their fields — including SEC officials, industry professionals, legal experts, and the IAA legal team.

In addition to meeting and interacting with peers, participants will return to their firms with practical insights and knowledge of best practices to help them maintain a successful compliance program.

While there is no hybrid option, most sessions will be recorded and all in-person registrants will receive links to the recordings.

2023 Speakers

Anil Abraham
Associate General Counsel, Managing Director, Focus Financial Partners

Adam Aderton
Partner at Willkie Farr & Gallagher LLP, Former Co-Chief, Asset Management Unit at Division of Enforcement US Securities and Exchange Commission

Dimple Anderson
Chief Compliance Officer, Vise

Karen Aspinall
Partner, Practice Area Chair - Financial Services

Karen Barr
President & CEO at Investment Adviser Association

David Bartels
Partner, Dechert LLP

Thoreau Bartmann
Co-Chief Counsel of the Division of Investment Management at the Securities and Exchange Commission

Gail Bernstein
General Counsel, Investment Adviser Association

Richard R. Best
Director of the SEC Division of Examinations

William Birdthistle
Director, Division of Investment Management at U.S. Securities and Exchange Commission

Jeff Blumberg
Partner, Faegre Drinker

Lori Bosi,
Senior Director, Investment Compliance MFS

Monique B.
Associate General Counsel, Investment Adviser Association

Sarah Buescher
Special Counsel, Investment Adviser Association

Maria Chambers
Chief Compliance Officer, Vice President of Klingenstein Fields Advisors

Charu Chandrasekhar
Counsel at Debevoise & Plimpton

James Creel
Associate General Counsel, The Vanguard Group, Inc.’s Office of General Counsel

Dianne M. Descoteaux
Associate General Counsel at the Investment Adviser Association

Lance C. Dial
Partner at Morgan, Lewis & Bockius LLP

Carlo di Florio
Global Advisory Leader at ACA Group

Scot Draeger
President, R. M. Davis, Inc.

Jennifer A. Duggins
Assistant Director, Co-Head, Private Funds Unit

Ivy Wafford Duke
Chief Compliance Officer, National Real Estate Advisors

Jennifer Eller
Principal, Groom Law Group’s Fiduciary and Retirement Services Practice

Langston Emerson
Partner at Mindset

Lee Faria
Chief Compliance Officer & Vice President at Columbia Management Investment Advisers, LLC

Steven Farmer
Chief Compliance Officer, Confluence Investment Management LLC

Shannon Geyer
Director of Compliance & Finance, Compton Wealth Advisory Group, LLC,

Steve Gilbert
Vice President, Advisory Compliance Division of Raymond James,

Alan P. Goldberg
Partner, Stradley Ronon in Chicago, IL,

Laura L. Grossman
Associate General Counsel, IAA.

Nancy Hancock
IAA’s Vice President, Business Practices

Patrick Hayes
Partner, Calfee, Halter & Griswold LLP

Kelley Howes
Co-Chair, Morrison Foerster’s Investment Management Group

Michelle L. Jacko
CSCP, Managing Partner, CEO, Jacko Law Group

David Joire
Senior Special Sounsel, Chief Counsel’s Office of the SEC’s Division of Investment Management

Ken C. Joseph
Managing Director, Head of the Financial Services Compliance

Tanya Kerrigan
General Counsel, Chief Compliance Officer of Eaglebrook Advisors

Laurin Blumenthal Kleiman
Partner in Sidley Austin LLP's Investment Funds Global Practice Group, Sidley Austin LLP

Pam Krill
Shareholder, Partner, Godfrey & Kahn, S.C.

Joe LaFemina
Senior Manager, Advent Managed Services Solutions Management

Sanjay Lamba
Associate General Counsel, IAA

Jim Lundy
Securities Enforcement & Litigation Partner

Joseph (Joe) Mannon
Shareholder at Vedder Price P.C.

Katherine (Katie) M. McGinley
Chief Compliance Officer, Mitchell McLeod Pugh & Williams

Michael W. McGrath
Partner, K&L Gates LLP

Marc Mehrespand
Chief, Chief Counsel’s Office of the SEC’s Division of Investment Management

Paul Miller
Partner, Seward & Kissel’s Investment Management Group

Larry Nakamura
VP, CCO and Head of U.S. Compliance at CI Private Wealth

William A. Nelson
Associate General Counsel, IAA

Kimberly H. Novotny
Senior Associate General Counsel with Franklin Templeton

Erik Olsen
Chief Compliance Officer, Vident Investment Advisory, LLC and Vident Advisory, LLC.

C. Dabney O'Riordan
Partner, Quinn Emanuel Urquhart & Sullivan LLP | Former Chief and Co-Chief, SEC's Asset Management Unit

Alpa Patel
Partner, Investment Funds Regulatory Solutions Group of Kirkland & Ellis LLP

Mari-Anne Pisarri
Partner with Pickard Djinis, Pisarri LLP

Mukya Porter
Principal, Chief Compliance Officer, CIM Group

Jacob (Jake) Prudhomme
Financial Services, Advisory, KPMG US,

Gwen Reinke
Managing Directo, Chief Compliance Officer, Vista Equity Partners

Aliya Robinson
Managing Legal Counsel, Legislative, Regulatory Affairs, T. Rowe Price

Sarah (Maxwell) Ronnenberg
Director of Compliance at Horizon Investments

Jyothi San Juan
Senior Manager, Compliance, CI Segall Bryant & Hamill

Michael Shoemaker
Chief Compliance Officer, Kayne Anderson Rudnick Investment Management

Victor Siclari
Senior Vice President, Wilmington Trust

Neil A. Simon
Vice President, Government Relations, IAA

Kevin Spence
Director of Compliance, TIAA

Marshall S. Sprung
Global Head of Compliance, Blackstone

Kurt Wachholz, IACCP®
Managing Director, Bates Group LLC

Steven A. Yadegari
Founder, CEO, FiSolve

E.J. Yerzak
Director, Cyber IT Services at Compliance Solutions Strategies

Zephram Yowell
Senior Vice President, Senior Counsel, PIMCO

Wei Zhao
Chief Compliance Officer at Fiera Capital