Virtual Event

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Event Date Mon Oct 26 PDT - Thu Oct 29 PDT (about 1 year ago)
In your timezone (EST): Mon Oct 26 8:00pm - Thu Oct 29 8:00pm
Location Virtual Event
Region Americas

Join NRS at our Fall 2020 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs.


2020 Speakers

Amber Tatman
Consultant, NRS

Anne Buckley
President, Saro Partners Co.

Cherie Jolly
CCO, Dynamic Wealth Advisors

Chris Arthur
Chief Compliance Officer and Chief Information Security Officer, RDA Financial Network

David H. Lui
Co-Editor, Modern Compliance

Drew Ahrens
Senior Consultant, NRS

Elizabeth Knoblock
Managing Member & Owner, Elizabeth M. Knoblock, PLLC

Eric R. Vercauteren
Senior Counsel, Citi Private Bank Legal Department

Genna Garver
Of Counsel, Chair Investment Management Group, Troutman Sanders LLP

Gretchen E. Lee
Chief Compliance Officer, Clifford Swan Investment Counselors

Ish Manzanares
Senior Director, Consulting, NRS

Jahan Raissi
Partner, Shartsis Friese LLP

John Walsh
Partner, Eversheds Sutherland LLP and Member, Securities Enforcement and Litigation Team

Karen Aavik
Chief Compliance Officer, Stratos Wealth Partners

Kelley Howes
Of Counsel / Vice Chair of Investment Management Practice, Morrison & Foerster LLP

Kevin Turton
Consultant, NRS

Kurt Wachholz
Director Education, NRS

Marilyn Miles
Vice President, Consulting & Education, NRS

Mark D. Perlow
Partner, Dechert LLP

Matthew Fitzgerald
Vice President, Chief Compliance Officer, PGIM Fixed Income

Max Mejiborsky
Senior Director, Private Fund Services, NRS

Mederic Daigneault
Senior Director, Consulting Operations, NRS

Nick Losurdo
Partner, Goodwin Procter LLP

Nicole Kalajian
Counsel, Stradley Ronon Stevens & Young

Richard Kerr
Partner, K&L Gates LLP

Robert L. Sichel
Partner, K&L Gates LLP

Robert Stirling
Executive Consultant, NRS

Sean Kreiger
Chief Compliance Officer, Jackson Square Partners, LLC

Steven D. Trigili, MBA, CAMS
Chief Compliance Officer and AMLCO, Garden State Securities, Inc.

Tanya Cooper
Forensic Accountant, Federal Bureau of Investigation (FBI)

Tara Stevenson
Consultant, NRS

Tim Villano
President and CIO, Artemis Global Security, LLC

Tom Coonan
Consultant, NRS

Tonja Morgan
AVP/Compliance Manager, Nuveen Investments, Inc

William Alan Nelson, J.D., LL.M
Chief Compliance Officer and Deputy General Counsel, Mercer Advisors

Sponsors & Partners

2020 Sponsors

• Broadridge
• Pratum
• Stark Weather & Shepley
• TD Ameritade
• Basis Code Compliance