NRS Spring: Virtual Compliance Conference 2021 | NRS | 17 May 2021 | Virtual

Join NRS at our Spring 2021 Compliance Conference for Investment Advisers and Broker Dealers, where industry experts will address how firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs.

Conference attendees have included:
• Chief Compliance Officers / Investment Advisers / General Counsels / Broker-Dealers
• Managing Directors / Chief Financial Officers / Regulatory Analysts / Wealth Advisors / Attorneys
• Portfolio Managers / Securities Examiners / Executive Vice President’s / Compliance Managers
• Financial Planners / Operations Managers / Traders / Financial Service Professionals

2021 Speakers

Amber L. Tatman
Senior Consultant, Investment Adviser and Broker-Dealer Services, NRS

Anne Buckley, CRCP, IACCP®
President, Saro Partners Co.

Carmine Angone
Consultant, NRS

Cherie J. Jolly, IACCP®
CCO, Dynamic Wealth Advisors

Christopher Gerold
Bureau Chief, New Jersey Bureau of Securities, NASAA

David H. Lui
Co-Editor, Volume I and II, Modern Compliance

Drew A. Ahrens
Senior Consultant, NRS

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

Emily Zerbato
Compliance Administrator, Dowling & Yahnke, LLC

Genna Garver
Partner, Troutman Pepper Hamilton Sanders LLP

Ismael (Ish) Manzanares
Senior Director, Consulting, NRS

Jahan P. Raissi
Partner, Shartsis Friese LLP

John M. Van Der Wal
Senior Consultant, NRS

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

Karen Aavik
Chief Compliance Officer, Stratos Wealth Partners

Karyn D. Vincent, CFA, CIPM, CPA
Senior Head, Global Industry Standards, CFA Institute

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

Kevin Turton
Consultant, NRS

Kristin A. Snyder
Deputy Director and Co-National Associate Director, U.S. Securities & Exchange Commission

Kurt Wachholz
Director of Education, Executive Consultant, NRS

Larry Nakamura
Director of Compliance, Dowling & Yahnke Wealth Advisors

Marilyn Miles
Vice President, Consulting & Education, NRS

Mark D. Perlow
Partner, Dechert LLP, Financial Services and Investment Management

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

Max Mejiborsky
Director, Private Fund Services, NRS

Mederic Daigneault
Senior Director, Consulting, NRS

Michael McGrath
Partner, K&L Gates

Nicholas J. Losurdo
Partner, Goodwin Procter LLP

Nicole Del Rosario
Consultant, NRS

Richard Kerr
Partner, K&L Gates LLP

Richard Marshall
Partner, KattenMuchinRosenman LLP

Rob Stirling
Executive Consultant, NRS

Robert L. Sichel
Partner, K&L Gates

Shirley Abraham
Examination Director — Member Supervision, Financial Industry Regulatory Authority (FINRA)

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

Tara Stevenson, CAMS, IACCP®
Consultant, NRS

Tim Villano
President and CIO, Artemis Global Security, LLC

Tom Coonan
Associate Consultant, NRS

William Brannan
Counsel, Lowenstein Sandler LLP

William A. Haddad
Partner, Pasquarello Fink Haddad, LLC

William Nelson, J.D., LL.M
Assistant General Counsel, Certified Financial Planner Board of Standards, Inc.

2021 Sponsors

EXHIBITORS AND SPONSORS:
• BasisCode Compliance
• Broadridge
• Chicago Clearing