2021 MFIMC

2021 Virtual Mutual Funds and Investment Management Conference Speaker Bios

March 15 // March 17 // March 19

Speaker Bios  |  Sponsor Speaker Bios

Speaker Bios


Rashmi Airan is a small business owner, a lawyer, volunteer, runner, cyclist, professor, and entrepreneur. Most importantly, she is a devoted mother of two. Rashmi was named Kent Scholar for honors at Columbia Law School. Before that, Rashmi worked for Morgan Stanley after graduating with honors from the University of North Carolina at Chapel Hill. She has worked at national law firms and as a government attorney. It is her mission to study and share the need for ethical vigilance and ethical decisionmaking. She shares how she powerfully overcame adversity—as a woman, mother, professional, and community activist. Rashmi speaks on ethical leadership and decisionmaking, corporate culture, and overcoming adversity. She grew up in Miami with her parents of Indian origin.


Kathleen T. Barr is an independent director and compliance chair for William Blair Funds, an independent director for Professionally Managed Portfolios, and an independent director for Muzinich BDC.

Before becoming an independent director, Kathie was co-owner and president of the former Productive Capital Management, Inc. She also served as senior managing director, chief administrative officer, and chief compliance officer for PNC Funds and the predecessor Allegiant Funds. Together with the adviser where she served as chief administrative officer, her responsibilities included compliance, financial, and regulatory administration, operations, and enterprise risk management. Before becoming chief compliance officer, Kathie had been responsible for distribution, marketing, and product management. Kathie has more than 35 years’ experience in the financial services, asset management, and capital markets industries; a former licensure of FINRA 7, 24, 51, 63, and 63; and holds a BBA from the University of Pittsburgh.


John E. Baumgardner Jr. has been and remains engaged in a wide variety of corporate and securities matters, primarily in the investment management area. He is also a member of the firm’s financial services, investment management, broker-dealer and commodities, futures, and derivatives groups.

John has represented issuers, independent trustees, advisers, and underwriters of dozens of US-registered, publicly offered open- and closed-end investment companies, and currently concentrates on independent trustee engagements. He has represented the Investment Company Institute, the principal trade association of the mutual funds industry, on some of its most important projects.

John has been a speaker or panelist at conferences sponsored by the Practising Law Institute, Investment Company Institute, and the New York City Bar Association. He was former chair of the Committee on Investment Management Regulation of the association and is the chair of the association’s Committee on the Investment of Funds.

John has been named in The Best Lawyers in America for more than 15 years. He has also been recognized as a leading lawyer by numerous publications.


Ndenisarya M. Bregasi is a partner in the investment management group of K&L Gates and is based in the Washington, DC, office. Her practice focuses on the representation of investment companies, their independent directors and trustees, and investment advisers on a full range of regulatory, compliance, and transactional matters. Ndenisarya works with investment company complexes and investment advisers of all sizes and is particularly focused on serving the needs of each individual client.

Ndenisarya serves as cochair of the DC office Associates Committee and as a DC hiring partner for entry-level associates.

Ndenisarya was recently selected by Fund Action and Fund Directions as a Rising Star of Mutual Funds. Each year, colleagues in the industry identify self-starters who have risen quickly to further the development of their company and the mutual funds community as a whole. Fund Action and Fund Directions subsequently determine winners based on an advanced set of criteria relating to leadership and outstanding contributions to the mutual fund industry.


Stephanie A. Capistron is a partner in Dechert’s financial services group. Stephanie advises US-registered investment companies and their investment advisers on a wide variety of regulatory, compliance, and corporate matters, including the development and launch of new funds, regulatory and compliance matters relating to existing funds, fund reorganizations, and requests for exemptive relief from the Securities and Exchange Commission.

Stephanie has significant experience helping mutual fund sponsors launch exchange-traded fund business lines, including advice with respect to fund structure, disclosure and listing requirements, and development of compliance programs for exchange-traded funds.

Stephanie was recently ranked in Chambers USA as an “Up and Coming” Lawyer for Hedge & Mutual Funds in Massachusetts. The directory notes that she is “praised as a terrific lawyer” and “noted for her considerable skill in advising on complex compliance, governance, and fund development matters.” Stephanie was awarded “Best in Investment Funds” by Euromoney Legal Media Group in its Americas Rising Stars Awards (2019) and was short-listed for the same award in 2018. She has also been recognized in The Legal 500 (US) in the area of mutual/registered funds.


Amy R. Doberman has more than 25 years of experience providing legal advice to asset management and wealth management clients. She counsels investment advisers on regulatory requirements relating to mutual funds and ETFs, wrap programs, retirement products, and separate accounts with respect to a wide variety of issues, including registration requirements, trading issues, affiliated transactions, advertising, and product development. She advises retail broker-dealers and fund complexes on share class and distribution issues, as well as sales practices and due diligence efforts. Amy also assists in managing SEC examinations and representing clients in enforcement matters involving investment advisers, mutual funds, and ETFs.

Amy spent almost seven years at the SEC in the Enforcement and Investment Management Divisions, ultimately serving as an assistant chief counsel of the Division of Investment Management. She also has had extensive in-house experience, serving as general counsel of large asset management firms, and has been active in the Investment Company Institute. Amy is currently a member of the NYC Bar Committee on Investment Management Regulation.


John Fitzgerald, deputy general counsel of Lord, Abbett & Co. LLC, is responsible for legal support of Lord Abbett’s US mutual funds, SMA programs, retail distribution efforts, and general corporate operations. John joined Lord Abbett in 2018. Before joining Lord Abbett, John served as the deputy head of US funds legal, executive director, and assistant general counsel at JPMorgan Asset Management from 2005 to 2018. John was an associate at Willkie Farr & Gallagher LLP and Sutherland Asbill & Brennan LLP. He has worked in the financial services industry since 2000. He earned a BA in history from the University of Michigan and a JD from the George Washington University Law School.


Mark Holland is one of the most experienced mutual fund litigators in the country. For more than 35 years, he has defended investment advisers, underwriters, and independent trustees in shareholder litigation arising under the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and state law. He also has advised mutual fund boards and special committees in numerous investigations.

Many of the cases Mark has argued and won have set important precedents for the investment industry. These include Olmsted v. PruCo. (2d. Cir. 2001), the first case holding that no implied private rights of action exist under the 1940 Act; In re Reserve Primary Fund Litig. (S.D.N.Y. 2011), the first case involving a money market fund “breaking the buck”; Riley v. MLPF&S (11 Cir. 2004), the first case holding that mutual fund shares are subject to the Securities Litigation Uniform Standards Act; Green v. FAM (3 Cir. 2003), the first case to grant summary judgment under Section 36(b) of the 1940 Act; and Olesh v. Dreyfus Corp. (E.D.N.Y. 1994), the first case applying Section 15(f) of the 1940 Act to the acquisition of a mutual fund adviser. He represented Alliance Bernstein in the market timing litigation, In re Mutual Funds Investment Litig., (D. Md. 2004), and Merrill Lynch Investment Management in the research reports class actions, In re Merrill Lynch & Co. Research Reports Litig. (S.D.N.Y. 2003). As an associate, he worked on Gartenberg v. MLAM (2d. Cir. 1984) and Krinsk v. FAM (2d Cir. 1989), two of the first cases tried under Section 36(b) of the 1940 Act.

Mark also has extensive experience representing issuers and investment banks in securities fraud cases, including defending Merrill Lynch in the In re IPO Securities Litig. (2d. Cir. 2006) class action; Citigroup in the In re Parmalat Sec. Litig. (S.D.N.Y. 2006) class action; and Countrywide in cases brought by two monoline insurers, MBIA and Syncora, alleging fraud and breach of contract in connection with mortgage-backed securities, MIBIA v. Countrywide, 29 Misc. 1220 (N.Y. Sup. 2013).


Thomas T. Kim is managing director of the Independent Directors Council. In leading IDC, Tom advances the education, communication, and public policy priorities of independent directors on the boards of regulated investment companies. Before joining IDC, he served as senior vice president at the Mortgage Bankers Association, where he led strategy, public policy, governance, and member engagement across the organization’s commercial real estate finance membership. Previously, he managed regulatory and policy matters affecting mortgage investments and capital markets as associate general counsel at Freddie Mac. Tom is a veteran of ICI, having served as associate counsel at the Institute earlier in his career. He received his BA, summa cum laude, from the University of California, Irvine; JD from the UCLA School of Law, where he served as a law review editor; and LLM, with distinction, from the Georgetown University Law Center.


Allison Herren Lee was appointed by President Donald Trump to the US Securities and Exchange Commission, unanimously confirmed by the US Senate, and sworn into office on July 8, 2019. Allison was designated acting chair of the Commission by President Joseph R. Biden Jr. on January 21, 2021.

Allison brings to the SEC more than two decades of experience as a securities law practitioner. Most recently, she has written, lectured, and taught courses internationally in Spain and Italy on financial regulation and corporate law. Allison served for more than a decade in various roles at the SEC, including as counsel to Commissioner Kara Stein, and as senior counsel in the Division of Enforcement’s Complex Financial Instruments Unit. In addition, she has served as a special assistant US Attorney, was a member of the American Bar Association’s former Committee on Public Company Disclosure, and participated on a USAID project in Armenia, assisting in the drafting of periodic reporting and disclosure provisions for a comprehensive law of the Republic of Armenia on Securities Market Regulation.

Prior to government service, Allison was a partner at Sherman & Howard LLC, focusing on securities, antitrust, and commercial litigation. A member of the Colorado bar, she holds a bachelor’s degree in business from the University of Colorado and a JD from the University of Denver College of Law, where she was salutatorian, a Chancellor’s Scholar, and served on the Law Review.


Bruce G. Leto is cochair of Stradley Ronon’s investment management practice group and former chair of the group from 1994 through 2017. Bruce counsels investment companies, investment advisers, independent trustees, and broker-dealers on securities and corporate matters relating to pooled investment products, including registered and unregistered, open-end, and closed-end investment companies. He advises his clients on registration, transactional, and compliance matters. Among many other projects, Bruce recently supervised one of the top 15 fund groups in the United States on two transformational acquisitions. These included the acquisition of an ETF business, involving the reorganization of 67 ETFs onto the client’s platform, and the acquisition of an asset management business with 104 mutual funds and ETFs, as well as collective trusts, UCITS, separate accounts, and private accounts.

Bruce has been included in the annual editions of The Best Lawyers in America each year since 2007 and was named as a leader nationally (ranked in “Band One” beginning in 2014) in “investment funds: registered funds” in the 2009 through 2019 editions of Chambers USA: America’s Leading Lawyers for Business. Bruce has also been given special mention in the Legal 500 from 2010 to 2019 and is a current member of its Hall of Fame. Notably, in July 2019, Bruce was named to The Business Journals’ list of 100 executives making an impact on the industry, published in the Philadelphia Business Journal’s “Influencers of Law” feature. Bruce was appointed to the Advisory Board of Board IQ in 2007 and has served in that capacity since then. He attended Haverford College and received his JD from Villanova University.


Kate McKinley is a senior vice president and general counsel of State Street Global Advisors. In this role, Kate is responsible for the global legal affairs of Global Advisors and oversees a team of experienced attorneys and paralegals located in Boston, Stamford, London, Dublin, Munich, Krakow, Tokyo, Hong Kong, and Sydney. Kate is also a member of the executive management group.

Prior to taking on this role, Kate was the chief operating officer of the Americas institutional client group. Kate partnered with the head of the institutional client group in developing the strategic direction, daily management, and operation of the firm's institutional business, and oversaw the execution of business strategy and transformation of the firm's institutional client relationship management and servicing model.

Prior to her role as COO, Kate served as deputy general counsel at Global Advisors and led legal support for the institutional and intermediary distribution channels. In addition, Kate provided legal support to the global DC business as well as the investment solutions group and advised on general fiduciary, securities law, and ERISA-related matters.

Prior to joining Global Advisors in 2010, Kate was assistant general counsel at Bank of America, where she supported Columbia Management's mutual funds and hedge funds, institutional and intermediary distribution channels, and registered investment adviser. Prior to working at Bank of America, Kate was an associate in the investment management group at WilmerHale LLP, representing fund boards of trustees, investment advisers, and broker-dealers, as well as mutual funds, hedge funds, and other pooled investment vehicles.

Kate earned her JD from Boston College Law School and a BA in English from Boston College.


Naseem Nixon is vice president and associate counsel at Capital Group, where she has responsibilities within the firm’s regulatory policy, retail and institutional client services, and fund governance efforts. Prior to joining Capital Group, Naseem served in the Division of Investment Management for several years, most recently as senior policy adviser to the director. She also practiced as an associate with Eversheds Sutherland in Washington, DC. Naseem received her JD from Brigham Young University J. Reuben Clark Law School and her bachelor’s degree in public policy studies from Duke University.


Susan M. Olson is general counsel of the Investment Company Institute, serving as the Institute's chief legal officer, with responsibility for the full range of legal and regulatory matters affecting the Institute and its members. She joined ICI as senior counsel, international affairs, in 2007, and served as chief counsel of ICI Global since 2014. Before joining ICI, Olson served in the Division of Investment Management at the SEC. At the SEC, Olson worked in the international branch of the division’s Office of the Chief Counsel, where she resolved legal issues arising under the Investment Company Act and the Investment Advisers Act, and provided guidance for trade negotiations. She also participated as an SEC representative on the International Organization of Securities Commission (IOSCO) Standing Committee 5, focusing on the regulation of mutual funds and other collective investment vehicles. Before joining the Commission, Olson worked in private practice. She received her undergraduate degree from Wellesley College and her law degree from the University of Virginia.


Scott E. Page’s research focuses on the function of diversity in complex social systems, the potential for collective intelligence, and the design of institutions for a complex world.

A recipient of a Guggenheim Fellowship, a fellowship at the Center for Advanced Studies in the Behavioral Sciences at Stanford, Scott was elected a fellow of the American Academy of Arts and Sciences in 2011, and in 2019, he was awarded a Distinguished University Professorship from the University of Michigan.


Anna Palmer is a New York Times best-selling author who has been writing about congressional leadership, the lobbying industry, presidential campaigns, and the politics of governing for more than 15 years. She is the cofounder and CEO of Punchbowl News, a news community focused on power, people, and politics in Washington. Named after the Secret Service’s nickname for the Capitol, the company covers the congressional leadership and the White House, and tracks the industries and companies trying to influence them.

From 2016 to 2020, Palmer was the coauthor, along with Jake Sherman, of the top-rated POLITICO Playbook franchise, where they chronicled President Donald Trump’s first term and his relationship with top congressional leaders. Under their leadership, the platform more than doubled in revenue and tripled its readership. They also created a widely acclaimed daily podcast, afternoon newsletter, and event series where they interviewed top political and business leaders across the country about pressing issues of the day. Palmer joined POLITICO in 2011 and was its senior Washington correspondent. She also led Women Rule, a nation-leading platform aimed at expanding leadership opportunities for women and hosted the critically acclaimed Women Rule podcast.

In speeches, Palmer offers a candid analysis filled with colorful anecdotes about what’s driving politics and policy inside the nation’s capital. She has a unique perspective that comes from more than a decade of covering Congress, political campaigns, the White House, and working in the Washington press corp. With incomparable access to the highest offices in Washington, Palmer is an expert on the policies, players, and personalities driving politics today. She has spoken and moderated conversations at the World Economic Forum, the Milken Institute Global Forum, UN General Assembly, Aspen Ideas Festival, Texas Tribune Festival, and SXSW, and is a frequent political commentator on CNN, Fox News, NBC, and MSNBC.

In 2019, Palmer and Sherman authored The Hill to Die On: The Battle for Congress and the future of Trump’s America, which was the inside story of Congress in the first two years of Donald Trump’s presidency. An instant New York Times and national best-seller, Trevor Noah of The Daily Show said the book turned “Congress into a Game of Thrones book.”

Prior to writing POLITICO, Palmer covered House leadership and lobbying as a staff writer for Roll Call, and got her start in Washington journalism as a lobbying business reporter for the industry newsletter Influence. She has also worked at Legal Times, where she covered the intersection of money and politics for the legal and lobbying industry, first as a staff writer and then as an editor. A native of North Dakota, she is a graduate from St. Olaf College.


Eric J. Pan is the president and chief executive officer of the Investment Company Institute. He took office as the 10th chief executive in ICI’s history on November 9, 2020.

Pan was previously a managing director of Rock Creek Global Advisors LLC, an international economic policy advisory firm in Washington, DC, and a senior research fellow at the Center for Law and Economic Studies at Columbia Law School in New York.

Pan served as the director of the Office of International Affairs at the US Commodity Futures Trading Commission from 2015 to 2019 and head of international regulatory policy at the US Securities and Exchange Commission from 2011 to 2015. He represented both market regulators in international standard-setting bodies, including the International Organization of Securities Commissions and Financial Stability Board, and in regulatory dialogues with European and Asian counterparts.

Before entering government service, Pan was the director of the Heyman Center on Corporate Governance and a professor at the Benjamin N. Cardozo School of Law in New York, where he wrote extensively about financial regulation and corporate law. He also practiced corporate and international law with Covington & Burling in Washington, DC.

Pan is a graduate of Harvard College, the University of Edinburgh, and the Harvard Law School. He is a member of the American Law Institute and an adjunct professor at Columbia Law School.


Katherine (Katie) M. Primas is the chief compliance officer (CCO) of Dodge & Cox and the Dodge & Cox Funds, which has more than $325 billion in assets under management. She joined the firm in 2004 and is responsible for the compliance and operational risk efforts on a global basis. Prior to joining Dodge & Cox, Katie was a director in internal audit with the Charles Schwab Corporation. Katie started her career with Franklin Templeton in 1996 and held various positions in compliance, where she was responsible for mutual fund compliance and regulatory reporting. Katie received her BS in business administration from the University of San Francisco and her MBA from the College of Notre Dame. Katie is a Certified Internal Auditor, cochair of the Bay Area Chief Compliance Officer Group, a member of the Investment Adviser Association’s Nominating Committee, chair of the Investment Company Institute’s CCO Committee, and a member of the Investment Company Institute’s CCO Advisory Issues Committee and Risk Advisory Committee.


Amy D. Roy is a partner in the securities litigation group of Ropes & Gray, where she has practiced since 2007. Amy represents financial services firms, including investment advisers and mutual funds, and other clients in securities litigation and other complex business disputes in courts around the country. Amy focuses her practice on the investment management industry and has experience in litigating many of the leading issues facing the mutual fund industry, including excessive fee claims and subprime-related losses. In addition to active litigation matters, she regularly advises clients in federal and state government investigations.


Jake Sherman is a New York Times best-selling author who has been covering national politics for more than a decade—focused on Congress, the congressional leadership, and the politics of legislating. He is the cofounder of Punchbowl News, a news community focused on power, people, and politics in Washington. Named after the Secret Service’s nickname for the Capitol, the company covers the congressional leadership and the White House, and tracks the industries and companies trying to influence them.

From 2016 to 2020, Sherman was the coauthor, along with Anna Palmer, of the top-rated POLITICO Playbook franchise, where they chronicled President Donald Trump’s first term and his relationship with top congressional leaders. Under their leadership, the platform more than doubled in revenue and tripled its readership. They also created a widely acclaimed daily podcast, afternoon newsletter, and event series where they interviewed top political and business leaders across the country about pressing issues of the day.

In speeches, Sherman offers a candid analysis filled with colorful anecdotes about what’s driving politics and policy inside the nation’s capital. He has a unique perspective that comes from more than a decade of covering Congress, political campaigns, the White House, and working in the Washington press corp. With incomparable access to the highest offices in Washington, Sherman is an expert on the policies, players, and personalities driving politics today.

In 2019, Sherman and Palmer authored The Hill to Die On: The Battle for Congress and the future of Trump’s America, which was the inside story of Congress in the first two years of Donald Trump’s presidency. An instant New York Times and national best-seller, Trevor Noah of The Daily Show said the book turned “Congress into a Game of Thrones book.”

Sherman joined POLITICO in 2009, covering congressional leadership and all of the major legislative battles of the Obama and Trump presidencies, and has traveled the country and the world reporting on power and politics. He has chronicled the rise and fall of four speakers of the House and is viewed as a leading authority on the politics of governing. He is a political contributor to MSNBC and NBC News and appears on television from the Capitol almost daily.

Sherman is a Connecticut native, and a graduate of The George Washington University—where he edited The GW Hatchet—and Columbia University’s Graduate School of Journalism. He lives in Washington with his wife and two children and listens to an unhealthy amount of Grateful Dead and Phish.


Sarah G. ten Siethoff is the associate director for the Rulemaking Office of the SEC’s Division of Investment Management. She leads the development of policy and rulemaking relating to investment advisers and investment companies. Before joining the SEC, Sarah was an associate with Cleary Gottlieb Steen & Hamilton LLP in their New York and Washington, DC, offices. Sarah received her JD from Yale Law School, her MA in international relations from Yale University, and her BA from the University of Virginia.


Julia S. Ulstrup is vice president and general counsel of ICI Mutual. She joined ICIM Services, a wholly owned subsidiary of ICI Mutual, in 2002. After law school, Julia joined the Washington, DC, office of Dechert Price & Rhoads (now Dechert LLP) as an associate. She also served as senior counsel in the Office of Chief Counsel in the Division of Investment Management at the SEC. Julia received her JD from the Georgetown University Law Center and her BA from Wellesley College. She is a member of the Maryland and District of Columbia bars.


Matt Wolfe leads the compliance and legal functions for GuideStone Capital Management, LLC and GuideStone Funds. He administers the firm’s federal securities law compliance programs, including the development and maintenance of all compliance policies and procedures; compliance testing to detect any violations of laws, regulations, policies, or procedures; and annual compliance reviews as required by Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisers Act of 1940. Matt also designs the due diligence program and oversight of compliance by the funds’ subadvisers, principal underwriter, administrator, and transfer agent, and performs onsite reviews.

Prior to joining GuideStone in 2015, Matt was a vice president and assistant general counsel at Goldman Sachs. Prior to Goldman Sachs, he served as an associate in the financial services group of Dechert LLP.

Matt holds a BA in history from Miami University in Oxford, Ohio, and a JD from New York University School of Law. He is a member of the state bars of New York and Texas.

Sponsor Speaker Bios


Advisory Senior Manager
Grant Thornton

Charmone Adams is an advisory senior manager with Grant Thornton LLP and is based in the New York Office. Since joining the firm, Charmone has been working closely with many SEC and FINRA regulated entities. He has more than 12 years’ experience in financial services and in alternative investments and his portfolio contains US and UK based fund managers (e.g., private equity), investment advisory firms, brokers, and asset management companies. In recent years, his focus has been on providing clients with guidance on key risk, regulations, internal controls, and internal audit.

Charmone holds a BS in business administration from Central State University and an MBA in finance from Franklin University. In addition, he holds a Certified Public Accountant (CPA) license with the state of New York and is a Certified Fraud Examiner (CFE).


Director, Research
BNY Mellon Data and Analytics Solutions

Scott Anderson is a director with BNY Mellon’s data and analytics solutions group. He is responsible for research and thought leadership delivered to clients in the form of industry summaries, presentations, and special reports. He develops research and analysis that delivers insights into the national broker-dealer and Pershing space, detailing trends within specific investment vehicles, investment styles, programs, and products. Prior to joining BNY Mellon in 2009, Scott spent four years at PNC Global Investment Servicing as a member of the marketing and distribution services team. Before that, he worked at Arnold Worldwide, a national advertising agency, in the strategic analytics group. Scott earned a BA in economics from the University of Massachusetts.


K&L Gates

Kane Barnett has extensive experience advising Australian and international clients on fund formation, investments in funds, and investments by and transactions involving funds. He advises across a broad range of asset classes, including listed and unlisted real estate, infrastructure, and private equity funds. Kane regularly assists foreign investors with structuring their investments in Australian infrastructure and real estate assets. His experience also includes advising on major strategic corporate transactions, including mergers and acquisitions of listed and unlisted funds and fund managers, and initial public offerings and secondary raisings by listed entities. He also provides advice to clients on the Australian regulatory regime and accessing the Australian market in general.


Grant Thornton

Dennis Bell is a partner and the national special attestation reporting service leader for Grant Thornton's risk advisory practice. He also serves as a member of the firm’s National Special Attestation Report Solutions Task Force.

Dennis has more than 25 years of business, process, and technology risk advisory experience in serving scores of clients from both an internal and external audit capacity. Dennis’s experience also includes performing hundreds of SOC engagements throughout his career. During his career, Dennis has served in the public accounting sector with Grant Thornton and a Big Four firm, leading and providing risk-related services in areas such as SOC attestation procedures, Sarbanes-Oxley advisory services, outsourced internal auditing services, external audit support, technology auditing, and risk management. He has broad industry knowledge and is an expert in internal control, IT risk management, Sarbanes-Oxley compliance, and SOC attestation. Dennis sat on the AICPA SOC 1 Task Force and assisted with crafting the current guidance. He has executed more than 400 SOC engagements throughout his career.


Chair, Blockchain and Cryptocurrencies
Thompson Hine

Cassandra W. Borchers is a partner in the corporate transactions and securities practice group and chair of Thompson Hine’s blockchain and cryptocurrencies group. She counsels clients on regulatory and compliance matters, including all aspects of federal and state securities law and related issues, such as registration, regulatory reporting, cryptocurrency, private fund, and mutual fund matters, including mutual funds, closed-end funds, real estate funds, qualified opportunity zone funds, private equity funds, debt funds, hedge funds, and venture capital funds.

Cassandra’s practice has focused primarily on securities, finance and venture capital, cryptocurrency and blockchain matters, corporate representation and governance matters, and all aspects of counseling emerging companies. She has assisted private and public companies, including mutual funds, in securities offerings, commodity pools, private equity issues, formation, registration, mergers, and reorganizations. She has represented both issuing companies and investors in a variety of transactions, digital token sales, and securities offerings.


Morgan Lewis

G. Jeffrey Boujoukos is the leader of Morgan Lewis’s securities enforcement practice. The former regional director of the Philadelphia Regional Office of the US Securities and Exchange Commission (SEC), Jeff defends public companies, financial services clients, and their executives in SEC, self-regulatory organization (SRO), and state enforcement matters. Combining his government and private practice experience, Jeff advises clients in collaboration with Morgan Lewis’s securities, white collar defense, and investment management practices. He is admitted in Pennsylvania and Massachusetts only, and his practice is supervised by DC Bar members.


Head of Distribution Business Intelligence and Analytics
Principal Global Investors

Ken Burd joined PGI in September 2019 and leads the distribution business intelligence and analytics team supporting US retail and institutional distribution and marketing teams. Prior to joining Principal, Ken spent eight years at Macquarie Asset Management (formerly Delaware Investments), where he led the distribution intelligence and sales enablement (DISE) team. Prior to leading the DISE team, Ken managed the internal and hybrid sales teams and served as the COO of US retail and institutional distribution. Ken spent time at three other asset managers over his 20-year career, including Fidelity Investments, Evergreen Investments (Wells Fargo Asset Mgmt.), and Oppenheimerfunds (Invesco), where he held various sales and sales management positions.

Ken earned his bachelor’s degree from Pennsylvania State University and an MBA from Fairleigh Dickinson University; he is currently completing a doctoral program at Capella University, specializing in strategy and innovation. Ken lives in Chatham, New Jersey, with his wife and 16-year-old son.


Managing Director
Global Head of Middle Office Operations and EMEA Region Head for Securities Services Operations

Colman joined Citi in 2002 and since then has held a number of senior management roles in Fund Accounting, Relationship Management, Transfer Agency and Middle Office Operations.

He currently Heads the Global Middle Office Operations team for Citi’s Securities Services Business and in 2020 took on responsibility for EMEA Securities Services Operations. He has worked in the financial services industry for the past 24 years and prior to joining Citi, Colman worked for Bankers Trust and RBS Trust Bank.

Colman is a member of the Association of Chartered Certified Accountants and completed his Master’s degree in economics at University College Dublin. He also holds a Bachelor’s degree in economics and politics from University College Dublin.


Partner, Financial Services (Washington, DC)

James V. Catano has extensive experience counseling mutual fund complexes, investment advisers, and insurance companies on a wide range of securities, regulatory, corporate, disclosure, transactional, and other financial services matters. These matters include complex fund reorganization transactions, the preparation of registration and proxy statements, ongoing compliance and regulatory matters, and seeking exemptive, interpretive, and no-action relief from the SEC or its staff. James also advises clients on the development, regulation, sale, and administration of a variety of investment products, including open-end and closed-end mutual funds, money market funds, exchange-traded funds, and variable and fixed life insurance and annuity products. In addition, he advises boards of directors/trustees of US-registered investment companies on fund governance and fiduciary matters.


Vice President of Outsourcing Services

Virginia Chapman serves as vice president of outsourcing services for NRS, and is at the helm of the blue sky services practice, providing overall direction and leadership to the group and ensuring client engagements are delivered expertly in a timely and consistent manner, with the highest levels of customer satisfaction.

Joining NRS as part of the acquisition of Boston Compliance Systems, Inc. (BCSI), Virginia brings 35 years of experience in compliance in general, blue sky Laws in particular, along with an eye for innovative technology. Her leadership and overall responsibilities focusing specifically on all aspects of the technology have led to the innovative blue sky solution that is at the heart of fund administration operations and investment companies.

In addition, Virginia is well known within key circles at NASAA, the Investment Company Institute, and the National Investment Company Services Association; participating and providing her expertise for panels, sessions, and committees on blue sky compliance, and the evolution of the industry.

Virginia holds a bachelor’s degree from Marywood University, and has completed course work in business and finance at Harvard Extension School and Bentley University.


Kessler Topaz Meltzer & Check

Darren J. Check, a partner of the firm, manages Kessler Topaz’s portfolio monitoring and claims filing service, SecuritiesTracker, and works closely with the firm’s litigators and new matter development department. He consults with institutional investors from around the world with regard to implementing systems to best identify, analyze, and monetize claims they have in shareholder litigation.

In addition, Darren assists the firm’s clients in evaluating opportunities to take an active role in shareholder litigation, arbitration, and other loss recovery methods. This includes US-based litigation and arbitration, as well as actions in an increasing number of jurisdictions around the globe. With an increasingly complex investment and legal landscape, Darren has experience advising on traditional class actions, direct actions (opt-outs), non-US opt-in actions, fiduciary actions, appraisal actions, and arbitrations, to name a few. Over the last 20 years, Darren has become a trusted adviser to hedge funds, mutual fund managers, asset managers, insurance companies, sovereign wealth funds, central banks, and pension funds throughout North America, Europe, Asia, Australia, and the Middle East.

Darren regularly speaks on the subjects of shareholder litigation, corporate governance, investor activism, and recovery of investment losses at conferences around the world. He has also been actively involved in the precedent setting Shell and Fortis settlements in the Netherlands, the Olympus shareholder case in Japan, direct actions against Petrobras and Merck, and securities class actions against Bank of America, Lehman Brothers, Royal Bank of Scotland (UK), and Hewlett-Packard. Currently Darren represents investors in numerous high-profile actions in the United States, the Netherlands, Germany, France, Japan, and Australia.

Darren received his law degree from Temple University School of Law and is a graduate of Franklin & Marshall College. He is admitted to practice in numerous state and federal courts across the United States.


Principal, International Tax Services

Danielle Clark is a member of Ernst & Young LLP’s international tax and transaction services (ITTS) practice within the financial services office. She is the sector leader for the wealth and asset management practice within ITS and is the alternative business model leader for ITS in the Americas. Her experience covers a broad range of sectors in the financial services industry, including insurance, banks, broker-dealers, and investment funds.


Senior Director

John Closson is a senior director with Broadridge, focusing on marketing and regulatory content automation. Prior to joining Broadridge, John served as chief strategy officer with Appatura (acquired by Broadridge in 2019). With more than 20 years of experience helping asset managers optimize atomized content for regulatory and marketing platforms, John has enabled clients to drive transformation, reduce risk, and cost while improving accuracy in their communications.


Head of North America
Columbia Threadneedle Investments

Scott E. Couto is the head of North America for Columbia Threadneedle Investments. He brings more than 27 years of industry experience and oversees a number of the firm’s US business lines, including US intermediary, private client advisory, product, and marketing, with a primary focus on delivering for clients across all the channels the firm serves.

Before joining the company, Scott was president of Fidelity Institutional Asset Management and held executive positions across distribution, product, and marketing at Fidelity Investments.

Prior to that, he held roles as chief operating officer of the intermediary business, global head of product management and development, and managing director of investment product management at Evergreen Investment Management Company, LLC. He also held investment strategy and product management executive roles at Liberty Funds.

In his role, Scott is a member of the global heads group at Columbia Threadneedle and the Ameriprise financial executive leadership team.

He is a Chartered Financial Analyst and received a bachelor’s degree in finance and investments from Babson College.


Stradley Ronon

Sara Crovitz provides counsel on all aspects of investment company and investment adviser regulation. Sara is also part of a team serving as counsel to independent trustees of a number of business development companies and closed-end funds.

Prior to joining Stradley Ronon, Sara was deputy chief counsel and associate director at the US Securities and Exchange Commission in Washington, DC. She worked at the SEC for 21 years, including 17 years in the Division of Investment Management focusing on issues under the Investment Company and Investment Advisers Acts of 1940. While in the division, she supervised the provision of significant legal guidance to the investment management industry through no-action and interpretive letters, exemptive applications, IM guidance updates, and other written and oral means.

For many years, Sara also led the division's international efforts, including numerous IOSCO and FSB work streams, along with more recent MiFID II guidance. She spoke on panels for the International Bar Association and the Investment Company Institute. Sara also worked extensively to provide investment management-related guidance to other SEC divisions and offices, including Enforcement, Trading and Markets, Corporation Finance, OCIE, General Counsel, and International Affairs.


Thompson Hine

Andrew J. Davalla is a partner in Thompson Hine’s corporate transactions and securities and investment management practice groups. With more than 15 years of in-house industry experience, most recently as senior vice president and counsel for a global investment management firm, he has a keen understanding and appreciation of issues from the investment manager’s perspective.

Andrew has extensive experience in providing ongoing representation of and advice to open-end investment companies, exchange-traded funds (ETFs), interval funds, and their independent directors/trustees. His experience also includes advising on the full range of securities and compliance issues related to fund development and structuring, investment management agreements, third-party service agreements, corporate governance, fund mergers, and acquisitions involving investment advisers. Having served in the role of privacy officer, he also gained valuable experience with data privacy and information security issues.

Andrew is licensed to practice in Ohio and New York.


Willkie Farr & Gallagher

Laura L. Delanoy is a partner in the corporate and financial services department and the cochair of the Women’s Professional Development Committee. She has significant experience in mergers and acquisitions involving public and private companies and in capital markets transactions involving public and private offerings of debt and equity securities.



Paul Delligatti is a partner in Goodwin’s financial industry and investment management practices, where he focuses on representing investment advisers, registered investment companies and their independent directors, and other pooled investment vehicles. His investment company clients include open-end and closed-end funds, multi-class funds, funds of funds, interval funds, and funds utilizing manager of managers structures.


Global Services Officer
ACA Group

Carlo di Florio is the global chief services officer of ACA Group. At ACA, Carlo is responsible for defining and executing the vision for ACA’s governance, risk, and compliance (GRC) service offerings. His responsibilities include oversight, management, and strategic growth of ACA’s global regulatory compliance, cybersecurity and risk, AML and financial crimes, and performance practices.

Prior to joining ACA, Carlo worked for more than 25 years in executive leadership roles at PricewaterhouseCoopers (PwC), where he was a partner in the financial services risk and regulatory practice; the Securities and Exchange Commission (SEC), where he was the director of the Office of Compliance Inspections and Examinations (OCIE); and the Financial Industry Regulatory Authority (FINRA), where he was the chief risk and strategy officer. In these roles, Carlo led the design and implementation of large-scale regulatory compliance improvements, technology and data analytics transformations, and risk management program enhancements.

Carlo also serves as copresident and governor of the Risk Management Association (RMA) NY Chapter and as adjunct professor at Columbia University, master of science program in enterprise risk management. Carlo has been named one of the 100 Most Influential Leaders in Corporate Governance by the Association of Corporate Directors; one of the Top Trailblazers & Pioneers in Governance, Risk & Compliance by The National Law Journal; and one of the Most Influential People in Finance by Worth Magazine.


Cochair of the Investment Management Litigation group
Stradley Ronon

Keith Dutill is a trial lawyer with a national practice focused on high stakes litigation, including securities fraud, investment management, and intellectual property disputes. He is an elected fellow of the American College of Trial Lawyers and has been consistently listed by The Best Lawyers in America in multiple substantive litigation fields. Chambers USA: America’s Leading Lawyers for Business has identified him as a leader in commercial litigation in Pennsylvania and as “particularly well known for his work in the financial services arena.” He has tried more than 50 cases to conclusion. Keith has represented mutual funds, investment advisers, and directors in a variety of litigation matters, and routinely counsels fund clients on their rights as shareholders in securities cases in the United States and overseas.

Keith served two terms on Stradley Ronon’s Board of Directors and is currently cochair of the investment management litigation group. He has been an active leader nationally among the trial bar, serving four terms as cochair of the Trial Practice Committee of the American Bar Association Section of Litigation. He also cochaired the ABA committee responsible for national training programs for trial lawyers. Keith has taught courtroom skills to trial lawyers in seminars and workshops across the country.


Alliant Insurance Services, Inc

Tyler Entwistle is a director at Alliant. Tyler specializes in servicing and marketing the professional liability coverages for investment fund and investment advisory clients.

Tyler has more than 16 years of risk management and insurance brokerage experience. Prior to joining Crystal, he was a project manager/consultant for Coors Brewing Company, where he was responsible for due diligence and market assessments for potential international joint ventures and acquisitions. He has also worked as a national accounts marketer/account executive at Aon in the financial services group.

Tyler holds a BA from Cornell College in international relations and an MBA in finance from the University of Denver.


Troutman Pepper

John Falco has counseled clients on a number of issues, including: the formation and reorganization of mutual funds, business development companies (BDCs), and closed-end funds; the registration and listing requirements for closed-end funds and exchange-traded funds (ETFs); managed futures mutual funds; issues related to the use of derivatives and swap agreements; proxy contests involving closed-end funds and activist shareholders; distribution and networking related contracts for mutual funds, investment advisers, and broker-dealers; compliance advice, mock SEC examinations, and internal investigations; and mutual fund investment adviser marketing and advertising. John represents clients in a number of regulatory matters and has served as counsel to an SEC receivership. Before joining the firm, John was a manager of regulatory administration with a third-party service provider to mutual funds and other pooled investment products.


Partner, Antitrust (Washington, DC)

Craig G. Falls navigates companies through the constantly evolving antitrust landscape, helping them tailor business practices and agreements to minimize antitrust risk, representing them in government investigations and private antitrust litigation, and obtaining antitrust clearances for their strategic acquisitions and mergers.

In recent years, Craig has been counseling members of the asset management industry on the compliance risks presented by the “common ownership” hypothesis, which posits that institutional investors may be discouraging competition by holding shares in multiple companies in the same industry. Craig has helped to shape the industry’s advocacy in response to the theory and has guided industry participants in analyzing and preparing for potential changes to antitrust policy that could arise as a result.


Senior Vice President
Alliant Financial Institutions

Ryan Farnsworth is a senior vice president with Alliant Financial Institutions. Ryan leads a team of risk advisers and insurance brokers who specialize in advising large complex financial institutions, including investment managers, mutual funds, and alternative asset managers with respect to risk and insurance matters.

Ryan has handled management and professional liability insurance placements for global investment managers, private equity, Fortune 500 companies, and other financial institutions firms throughout his career. Ryan also possesses a diverse background of experience working through complex claims and related litigation within the investment management industry.

Ryan graduated from Brigham Young University with a bachelor’s degree in finance and speaks fluent Spanish. He also holds an Associate in Risk Management designation from The Institutes.


Thompson Hine

Craig A. Foster regularly assists registered investment advisers with all aspects of their operations, including formation, registration, licensing, disclosure, privacy, client contracts, employee agreements, compliance programs, and website and advertising review. In addition, Craig frequently helps advisers navigate and respond to regulatory examinations and conduct annual compliance reviews.

Craig also advises investment company clients on a regular basis. Craig has substantial experience in organizing and launching funds, drafting prospectuses and service provider agreements, advising fund boards, seeking exemptive relief, responding to inquiries from regulators, and coordinating with fund service providers. Craig has also helped many funds prepare and deliver proxy materials to shareholders and has assisted in the successful completion of a number of fund reorganizations.

In addition, Craig, who has earned the International Association of Privacy Professionals (IAPP) Certified Information Privacy Professional/United States (CIPP/US) credential, counsels investment management and other clients on compliance with state, federal, and international laws governing information privacy and security.


Managing Director
BlackRock, Global Financial Reporting

Ann Frechette is a managing director responsible for BlackRock’s global financial reporting team that delivers financial statements to fund shareholders and regulatory agencies. She works from BlackRock’s Delaware office and supports a majority of the pooled Investment vehicles where BlackRock serves as investment adviser. This includes funds registered on various global exchanges, alternatives products, and trust funds in North America and various products in EMEA. She is the executive sponsor of the BlackRock’s Women’s Network and member of the Steering Committee on Inclusion & Diversity for BlackRock. Lastly, she serves as a board member for Cradles to Crayons serving the Philadelphia market.

Prior to joining BlackRock, Ann was the global director of internal audit at Citco Fund Services and held this role for six years. Her primary responsibilities included managing the audit team to perform risk based audits and manage the SOC 1 project. From 2002 to 2007, Ann worked at PNC/PFPC, where she held a few roles during her tenure. She started as director of internal audit then became senior vice president/senior director for the finance area within the transfer agency. Ann started her career with Ernst & Young, where she spent more than 11 years in the Philadelphia audit practice working in the financial services industry specializing in audits of banks, trust companies, and funds.

Ann graduated with honors from Drexel University in Philadelphia with a bachelor's degree in accounting.


Audit Director

Michael J. Galante Jr. is currently a director within the internal audit services team at SEI and has been in that role since 2007. Prior to that, he spent a year at Independence Blue Cross (2006 to 2007), which was preceded by a three-year stretch at PricewaterhouseCoopers LLP (2003 to 2006). Prior to PricewaterhouseCoopers LLP, Michael spent three years working as an accountant at Mac Alpine Carll & Co. (2001 to 2003). Michael received his MBA in finance and BS in accounting from Mount St. Mary’s College. He is a CPA and CIA.


Executive Vice President, Director of Mutual Fund Accounting and Administration
UMB Fund Services

Terrance P. (Terry) Gallagher has managed UMB Fund Services’ registered fund accounting, administration, and tax functions since 2007.

Terry is also president and trustee of the Investment Managers Series Trust II, and is trustee/director to a number of closed-end funds offered under UMB’s Registered Fund Solutions platform.

Terry has more than 35 years of mutual fund industry experience. He served as SVP/compliance director with Unified Fund Services and spent 12 years with AAL as CFO of the investment adviser and as broker-dealer and treasurer of AAL Mutual Funds.

As a founding partner of the Academy of Financial Services Studies and Precision Marketing Partners, LLC, Terry was responsible for the development and delivery of all fund accounting and administration training. He has provided training to many of the industry’s top mutual fund companies and service providers. While a member of the ICI’s Accounting Policy Committee, he helped author several industry white papers.

Terry is a CPA and a member of the American Institute of Certified Public Accountants (AICPA). He holds a law degree from DePaul University and a bachelor’s degree from Western Illinois University.


Director, North America Head of Fund Services and Middle Office

Jon Gezotis is a director of product management for Citi’s middle office and fund services business in North America. In his role, Jon is responsible for the strategy of the businesses inclusive of all commercial oversight, the innovative direction for the business, all new regulatory product solution designs, and operational enhancements. His scope ranges from the progress and use of new robotics to establishing strategic vendor partnerships, all to deliver on industry demands and client needs. He also oversees all new business opportunities and has legal and commercial responsibility of the businesses in North America.

Prior to his current role, Jon worked at J.P. Morgan for 15 years, where he held several positions within operations, client management, and product management for the North American region of the fund services business. This experience covered most back-office services, including fund accounting, administration, financial reporting, and transfer agency oversight. Jon began his career at Brown Brothers Harriman, where he worked in fund services. Jon has a BS in business administration from Northeastern University and holds a master’s degree from Harvard University, where he currently teaches several classes as a graduate level TA.


Willkie Farr & Gallagher LLP

Elliot J. Gluck is a partner in the asset management group of Willkie Farr & Gallagher LLP. Elliot’s practice focuses on representing mutual funds, closed-end funds, exchange-traded funds, and their investment advisers. He has extensive experience in counseling on the organization and operation of registered investment companies, corporate governance, and regulatory compliance. Elliot serves as fund counsel to some of the largest fund complexes in the mutual fund industry, as well as midsize and smaller fund groups. Elliot regularly advises closed-end funds in capital markets transactions. He also provides counsel to investment advisers and their parent companies in connection with mergers and acquisitions of their asset management businesses.

Elliot is ranked nationally as Up and Coming for Investment Funds: Registered Funds in Chambers USA (2020). In 2016, he was selected as a Rising Star of Mutual Funds at the Mutual Fund Industry Awards.


Morgan Lewis

Sean Graber advises companies in the securities industry on investment management matters. Investment advisers, mutual funds, closed-end funds, private investment companies, registered funds of hedge funds, and exchange-traded funds seek his advice on organizational issues, registration, and ongoing regulatory compliance matters. He also serves as counsel to the boards of directors of mutual funds, and he advises insurance companies on regulatory matters relating to variable insurance products.

Sean counsels clients on regulatory and transactional investment management matters. These include the development of new products and services, US federal and state registration and compliance issues, and US Securities and Exchange Commission (SEC) enforcement actions. He advises clients on mergers and acquisitions involving investment companies and investment advisers, and addresses interpretive and “no-action” letter requests, SEC exemptive orders, and related matters.


Stradley Ronon

David W. Grim provides counsel on all aspects of investment management law. Dave assists clients with a unique perspective developed during his more than 20 years of public service in the US Securities and Exchange Commission’s Division of Investment Management, including his time as one of only a small number of people who has served as the top regulator of the asset management industry.

Dave joined the Division of Investment Management in 1995 directly from law school and rose to become its leader. He developed regulatory policy and legal guidance for investment advisers and investment companies, including mutual funds, exchange-traded funds, closed-end funds, variable insurance products, unit investment trusts, and business development companies. Prior to his appointment as director, Dave served in a number of capacities throughout the division, including deputy director and assistant chief counsel.


Associate General Counsel
Charles Schwab & Co. Inc.

Lowell H. Haky, associate general counsel for Charles Schwab & Co., Inc., manages both affirmative recovery and complex defense litigation for Schwab and its affiliated entities, including Schwab Funds. Prior to joining Schwab, Lowell was in private practice with Zelle & Larson, LLP, focusing on securities litigation, arbitration, and regulatory enforcement matters.


Morgan Lewis

Thomas S. Harman represents investment advisers (both publicly and privately held), mutual funds, closed-end funds, interval funds, unit investment trusts, and private investment funds on a variety of legal and compliance issues. Tom represents the board of directors of several fund families, including the board of several business development companies. He also advises issuers with respect to the availability of exemption from the Investment Company Act of 1940.

Tom previously served as chief counsel and then associate director (chief counsel) of the SEC’s Division of Investment Management.


Willkie Farr & Gallagher

Benjamin J. Haskin is a partner in the asset management group at Willkie Farr & Gallagher. Benjamin advises mutual funds, exchange-traded funds, private and offshore funds, investment advisers, and broker-dealers on a wide range of investment management issues, including compliance, corporate governance, enforcement, and regulatory matters. He represents fund boards of directors and regularly conducts internal reviews on behalf of investment companies and investment advisers. He additionally advises investment managers on matters related to the purchase and sale of advisory businesses and other consolidation transactions. Chambers USA 2020 ranks Benjamin among the leading individuals practicing in the area of Investment Funds: Registered Funds. He is also recognized in Best Lawyers 2020 in the area of Mutual Funds Law and The Legal 500 US 2019 in the area of Investment Fund Formation and Management: Mutual/Registered Funds


Vice President, Marketing and Regulatory Communications Solutions

Ed Hrybenko is a vice president at Broadridge in its marketing and regulatory communication solutions group with extensive expertise in regulatory communications, marketing operations, campaign management, analytics, sales enablement technology, and digital marketing. Prior to joining Broadridge, Ed spent more than 25 years in the asset management industry, most recently as senior vice president of marketing operations at OppenheimerFunds. Ed’s experience also includes product management and marketing roles at American Express and Dreyfus Funds.


President of Global Investment Companies

Eric Johnson is president of global investment companies at DFIN. Prior to his current role, he served as senior vice president at R.R. Donnelley leading the global investment markets business. Prior to joining the company, Eric began his career as an accountant at Ernst & Young. Eric received a BA in accounting and finance at Gettysburg College and earned an MBA from Penn State University. Eric serves on local community boards of youth sports organizations on a volunteer basis.


Senior Manager, Advisory Services

Matthew J. Korchinsky is a New York–based senior manager in Ernst & Young’s wealth and asset management (WAM) practice, focusing on regulatory and compliance matters. He brings more than 10 years of experience and has significant knowledge of all aspects of asset management from front to back. Matt has assisted clients in the registered fund, hedge fund, and private equity fund industries with assessments of their operating models and implementation of improvements that enhance overall market positioning and firm economics.


Director of Product Marketing and Financial Services Industry Principal

Arthy Kumar is the director of product marketing and financial services industry expert at Workiva. She drives the go-to-market strategy, execution, and success of reporting and compliance solutions for banking, investment, and insurance companies. Arthy’s previous roles at Workiva include director of program management for investments and subject matter expert. Before joining Workiva in 2012, Arthy spent 14 years at Vanguard and MetLife. Her experience includes financial planning, portfolio analysis, relationship management of large institutional clients, and people management. She is a CFP® (Certified Financial Planner™) professional and a Chartered Financial Consultant (ChFC).


Sales Director

Kirk Littleton has 35+ years of mutual fund industry experience ranging from business development to product management to pre-sales to implementations. His work experience includes more than 25 years in sales and product leadership roles with the two primary US fund accounting solution providers—FIS (SunGard) and Eagle STAR (BNY Mellon), as well as serving as managing director for global outsourcing at BNY Mellon. Most recently, Kirk was with InvestCloud, focused on trading, accounting, and other wealth management solutions sales. Prior to that, he also led business development for five years at Ultimus Fund Solutions.


K&L Gates

Hilger von Livonius is a partner at K&L Gates in the Munich office and advises on banking, investment, and insurance regulatory matters. Apart from general regulatory and code of conduct issues, he has a specific focus on investment funds and debt capital markets (DCM), structured financial products, and derivatives. In these fields, he advises manufacturers of retail products and solutions for institutional investors in connection with the issuance of financial products. He also advises institutional market participants such as investment funds, insurance companies, and pension funds on their investments, in particular in the areas of real estate and other real assets, private debt, and alternative investments.


Morgan Lewis

Christine Lombardo advises investment managers and broker-dealers on financial regulatory matters. She concentrates her practice on securities regulation for a broad range of financial firms, including retail asset managers, private fund managers, family offices, broker-dealers, other professional traders, and high-net-worth individuals. Christine also counsels legal, compliance, and business personnel on the structure, operation, and distribution of advisory programs, including digital advisory offerings, and investment products, including hedge funds, private equity funds, venture capital funds, real estate funds, and other alternative investment products.

Christine also counsels financial firms through examinations by industry regulators, as well as on enforcement related matters. Before joining Morgan Lewis, she was an associate at an international law firm in New York and worked for the Division of Enforcement at FINRA.


Vice President, Head of Investment Tax
Dimensional Fund Advisors

Joy Lopez serves as a senior member of Dimensional’s finance team. As head of investment tax, she is responsible for both global investment products tax and adviser corporate tax reporting requirements. In addition, Joy manages the EU reclaim process, regular tax reclaims, and other global tax filing obligations.

Prior to joining Dimensional in 2013, Joy spent six years with PIMCO as vice president and tax manager for the US and Canadian mutual funds. Joy holds a BBA and MS in accounting from Texas A&M University, College Station, and is a Certified Public Accountant in the state of Texas.


Executive Director
ISS Securities Class Action Services

Jeff Lubitz is executive director of ISS Securities Class Action Services, a wholly owned subsidiary of Institutional Shareholder Services. With 10 years of experience at ISS, Jeff works closely with many of the world’s leading mutual funds, registered investment advisers, hedge funds, and pension funds to help deliver critical asset recovery solutions with a dual goal of maximizing settlement recoveries and mitigating risk. Jeff is managing editor of all SCAS thought leadership, overseeing the production of webinars, white papers, reports, and a newly created client update, “This Week in Securities Class Actions.” Jeff is a frequent speaker on the complex topic of global securities litigation and related matters with recent appearances across the United States, Europe, and Australia. Jeff is also a contributor to the press with his expert commentary featured in Reuters, Fortune Magazine, Bloomberg Law, Law360, and elsewhere. Jeff received his BA from the American University and an MBA from the A. B. Freeman School of Business at Tulane University.


Global Co-Head of Sales
BNY Mellon

Jane Mancini is global co-head of sales for BNY Mellon’s asset servicing business. Asset servicing delivers investment administration, operational, and technology solutions to alternative investment managers, asset managers, asset owners, insurance companies, banks, and broker-dealers. In this role, Jane is responsible for overseeing business development, designing go-to-market strategies, and overseeing enterprise growth initiatives.

Jane was most recently a senior vice president for State Street Corp., leading its global client solutions sales team. Previously, as head of the asset management sector, State Street’s largest segment, Jane directed a business development team of more than 500 asset management firms in North America. She also founded and led the bank’s corporate CEO leadership series and was a global advisory board member for the Professional Women’s Network.

In a career spanning more than 30 years, Jane has held a variety of leadership roles. These include: managing partner of I-Pension Investments, (RIA); executive vice president and head of distribution for Guggenheim (formerly Rydex) Investments, where she achieved record sales and assets under management; managing director and head of the $50 billion insurance business for Putnam Investments; president of SunLife U.S. Distributors (annuities and retirement business); and senior vice president and head of insurance product and distribution for MFS Investment Management (annuities, institutional, and insurance trust business).

In 2013, Jane was inducted as a Hall of Fame member of the Insured Retirement Institute, where she served as chairman. She currently serves on the boards of several schools and charitable organizations.

Jane earned a BS in journalism from Suffolk University in Massachusetts.


Senior Vice President, Senior Client Service Manager
UMB Fund Services

Ann Maurer oversees the overall customer experience for UMB Fund Services clients, acting as the primary client contact for service delivery from the various operating units. As part of her role, she leads the conversion or start-up process for new clients. In addition, she acts as the liaison and lead communicator with clients regarding strategic/business opportunities.

In addition to her senior client service manager responsibilities, Ann serves as product manager and secretary for the company’s Registered Fund Solutions platform.

Ann brings problem resolution skills and in-depth product and systems knowledge to her role. She has worked with a variety of investment companies, including open-end funds, closed-end funds, registered funds of funds, hedge funds, and REITs.

Since joining UMB in 1996, Ann has worked in several capacities in client services, product management, and the transfer agency. Before joining UMB in 1996, she spent two years with a national broker-dealer clearing corporation.

Ann has a BA in economics from the University of Wisconsin–Madison and an MBA from Cardinal Stritch University. She also holds the Series 6 and 26 securities licenses.


Morgan Lewis

Amy McDonald represents registered funds and investment advisers in a number of areas, including US Securities and Exchange Commission (SEC) filings, regulatory and compliance issues, and corporate matters.

Before joining Morgan Lewis, Amy served as legal counsel to the exchange-traded funds of a New York–based asset manager. Prior to that, Amy served in various legal, regulatory, and compliance roles for a Boston-based investment adviser/fund complex. Amy began her legal career as an associate in the financial services group of an international law firm, resident in Boston.


K&L Gates

Michelle Moran is a partner in the firm's London office, and is a practice group coordinator of the global asset management and investment funds practice group. Michelle advises European and US clients on the establishment, authorization, and management of retail and institutional investment funds in the United Kingdom, Ireland, Luxembourg, and Jersey. These include UCITS, hedge funds, private funds, investment trusts, real estate funds, segregated institutional portfolios, and exchange-traded funds. She has worked on a wide variety of transactions involving investment managers, brokers, custodians, fund service providers, and operating platforms. Michelle's extensive regulatory experience includes having participated on the EU Commission working groups responsible for formulating proposals to change UCITS legislation as well as representing numerous financial institutions on sensitive issues involving EU regulators in both contentious and non-contentious matters.


Stradley Ronon

Michael Mundt is nationally recognized for his work in the area of exchange-traded funds (ETFs). He assists clients with all phases of the complex regulatory process required to introduce and operate index-based and actively managed ETFs, as well as next generation exchange-traded products. More generally, he counsels investment advisers and investment companies on a wide range of issues arising under the Investment Company Act of 1940 and other federal securities laws.

Prior to joining Stradley, Mike worked at the US Securities and Exchange Commission for almost 14 years, ultimately serving as an assistant director in the Division of Investment Management. While at the SEC, Mike had a leading role in ETF policy issues and supervised the office that reviewed exemptive applications under the Investment Company Act. This experience gives him unique insight into the SEC regulation of the investment management industry.

Before working at the SEC, Mike served as assistant counsel at ICI Mutual Insurance Company, the captive insurance company for the mutual fund industry, where he worked on insurance and risk management issues for funds and their investment advisers.


Managing Director, Sales and Business Development

Jay F. Nusblatt has worked in the mutual fund industry for more than 30 years with a focus on fund administration, regulatory reporting, and client management. At DFIN, Jay is responsible for the growth and development of the Arc Suite’s SaaS solutions within the mutual fund industry. Previously, Jay served as managing director and head of US fund accounting and administration for BNY Mellon’s asset servicing group.


Morgan Lewis

John J. “Jack” O’Brien counsels registered and private funds and fund managers in connection with organizational, offering, transactional, and compliance matters. He regularly works with a variety of different fund structures, including open-end and closed-end funds, exchange-traded funds, and hedge funds. He also counsels investment adviser and broker-dealer clients on various matters, particularly with respect to registration and disclosure, marketing regulations, pay-to-play issues, and transactions in exchange-traded funds.


Managing Director
ACA Group

Erik Olsen is a managing director at ACA Group. Erik is a senior member of the firm’s Investment Company Division, where he focuses on the mutual fund industry, providing ongoing and customized regulatory compliance consulting and compliance program review services to registered investment companies, their investment advisers and subadvisers, and other service providers. Erik joined ACA in 2012 as a senior principal consultant.

Prior to ACA, Erik was a compliance director at Legg Mason. In that role, he headed the firm’s Global compliance examinations team, overseeing compliance program and risk control reviews of Legg Mason’s worldwide investment advisory affiliates and distribution units. Before Legg Mason, Erik served as a securities compliance examiner in the US Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (Investment Adviser/Investment Company). As an examiner, he conducted regulatory examinations of registered investment advisers and registered investment companies. At the SEC, Erik also helped launch the CCO Outreach Program. In 2005, he received the Chairman’s Award of Excellence.

Prior to the SEC, Erik worked in the mutual funds legal and accounting departments of Deutsche Asset Management. Erik led the domestic equities fund accounting team, where he managed the daily accounting and processing of mutual fund net asset values and the semiannual creation of fund financial statements. Erik also served in the legal department, where he reviewed and drafted registration documents and participated in board of director meetings.

Erik is a Certified Fraud Examiner. He earned a BBA in finance from Loyola College (now Loyola University Maryland).


K&L Gates

Scott Peterman is a partner in the firm's Hong Kong office. He is a member of the asset management and investment funds practice. Scott represents private fund sponsors and investors, including pan-Asian private equity funds, venture capital funds, infrastructure and real estate funds, Hong Kong authorized funds, and emerging market ETFs.


Executive Vice President, Executive Director Registered Funds
UMB Fund Services

Maureen Quill leads the registered fund servicing business of UMB Fund Services. In this role, she provides leadership and oversight to the company’s registered fund service lines.

In addition to her leadership role with UMBFS, Maureen serves as president and trustee of the Investment Managers Series Trust, UMBFS’ turnkey solution for starting/servicing a mutual fund.

During her time with UMBFS, Maureen has held roles of increasing responsibility. She served as chief operating officer after leading the transfer agency for many years.

Before joining UMBFS in 1996, she spent 11 years with Kemper, holding positions with both Kemper Service Company and Kemper Clearing Corporation.

Maureen has a bachelor’s degree in management and finance from Saint Mary’s College, Notre Dame, Indiana. She holds the Series 7, 24, and 63 securities licenses.

Maureen was honored by the Milwaukee Business Journal as one of their “Women of Influence.” She has also received UMB Financial Corporation’s highest recognition, the Leadership Award.


ACA Group

Jack Radar joined ACA in June 2005 and now serves as a partner as well as a practice leader for ACA’s diversified financial clients and prospects. In this role, he scopes, manages, and delivers products and solutions for multi-line financial services firms such as banks, insurance companies, asset management firms, and registered fund complexes. His primary responsibilities also include managing client relationships and projects and providing customized advice on compliance issues based on client-specific risks and conflicts. Jack participates in webcasts and speaks at industry conferences on current compliance issues, and writes articles on these topics for publication in widely read industry periodicals.

Jack earned his BS (cum laude) in finance with a concentration in financial accounting from the Virginia Polytechnic Institute and State University (Virginia Tech).



Danielle Reyes is a counsel in Goodwin’s financial industry group and consumer financial services, fintech, and banking practices. She also serves as cochair of the firm’s corporate social responsibility law and policy practice.


Former Director, NSA
Operating Partner, Team8

Admiral Michael S. Rogers retired from the US Navy in 2018 after 37 years of naval service rising to the rank of four-star admiral. He culminated his career with a four-year tour as commander, US Cyber Command and director, National Security Agency. Mike is a graduate of Auburn University and also holds an MS in national security. He is a distinguished graduate of the National War College and a graduate of highest distinction from the Naval War College. He is an MIT Seminar XXI fellow and a Harvard Senior Executive in National Security alum.

During his service in uniform, Mike held positions afloat and ashore around the globe focusing on cyber, intelligence, maritime operations, and national security. His joint service was extensive, including duty with the chairman of the Joint Chiefs of Staff, the Joint Chiefs of Staff, and US Indo Pacific Command. Mike commanded at the unit, Fleet, and service component levels in the Navy.

He is currently supporting various companies in the private sector, speaking to business groups, and working internationally in the cyber and national security arenas.


Grant Thornton LLP

Adam Ross is a principal in Grant Thornton’s advisory services practice. He has more than 20 years of experience helping organizations large and small, public and private, domestic and global. His focus has been on working with clients to increase awareness on risk, improve internal controls, and enhance the efficiency and effectiveness of their business and information technology (IT) environments, operations, and organization structure.


Partner, Privacy and Cybersecurity (Boston)

Brenda R. Sharton, partner and cochair of Dechert’s global privacy and cybersecurity practice, counsels public and private corporations and their boards in complex commercial litigation, arbitrations, and civil government/regulatory and enforcement matters.

Brenda has handled more than 500 data breach investigations and cyberattacks of every type and size for companies in every industry. She has handled some of the highest-profile data breaches brought by nation-states, organized crime, and other threat actors. She has defended companies in more than 100 privacy-related government investigations and enforcement actions brought by global and US regulators, as well as defended public and private companies in class-action litigation arising from those data breaches.

Brenda has 30 years of experience in all manner of complex commercial litigation, internal investigations, arbitrations, and civil government regulatory matters. She is experienced with virtually every type of civil claim brought against financial services institutions, banks, and asset managers and has a deep expertise in the financial services industry. Brenda has successfully tried cases to conclusion in federal and state courts throughout the country, and has represented clients in the full range of ADR procedures. She has defended government enforcement actions brought by federal and state regulators, including the SEC, FDIC, FTC, FINRA, DOL, OCC, and the CFPB, among others.


Senior Vice President
Northern Trust

Lisa Shea is a senior vice president in Northern Trust’s North American fund governance solutions group. Lisa focuses on supporting asset manager clients in regulatory and distribution matters. With more than 20 years of experience working with various registered and unregistered fund structures, Lisa’s practical knowledge of how US funds are governed, sold, and serviced provides clients with consultative support to help them navigate the evolving marketplace.

Lisa joined Northern Trust in 2001. Prior to her current role, she has held a number of leadership and management roles in the firm’s transfer agency and product management teams, including an assignment in its Ireland location. Prior to joining Northern Trust, Lisa has held management and client services roles with several asset management and brokerage clearing firms in the United States.

Lisa holds an MA from Montclair State University, and a BA from Rutgers, the State University of New Jersey. She formerly held FINRA Series 6, 7, 24, 26, and 63 licenses. Lisa is an ACAMS Certified Anti-Money Laundering Specialist.

Lisa currently serves as the industry cochair for the Investment Company Institute’s Transfer Agent Advisory Committee, and is a member of the ICI’s Operations, Small Funds, and Series Trust Committees.


Director, Head of Mutual Fund Administration, Chief Financial Officer, and Treasurer
Lazard Asset Management LLC

Christopher is a Director at Lazard Asset Management LLC and head of the Mutual Fund Administration department and serves as Chief Financial Officer and Treasurer of The Lazard Funds, Inc., Lazard Retirement Series, Inc. and Lazard Global Total Return & Income Fund, Inc. He began working in the investment field in 2008. Prior to joining Lazard in 2015, Christopher worked at PricewaterhouseCoopers LLP in their asset management audit group. Christopher has a B.B.A. in Finance and a B.B.A. in Accounting from Florida Atlantic University and is a CPA and a member of the AICPA in New York.


Willkie Farr & Gallagher

Patrick (Jay) Spinola Jr. is a partner in Willkie’s Asset Management Group with more than 20 years of experience counseling registered investment companies, their boards, and their sponsors. Jay focuses on the organization and offering of registered investment companies, and counseling funds and their sponsors in all aspects of their ongoing operations, including regulatory and compliance matters, disclosure issues, and restructuring and financing transactions. He has significant experience advising clients that offer specialized investment funds, such as exchange-traded funds (ETFs), registered funds of private funds, interval funds, and novel investment products. He frequently advises closed-end funds regarding secondary offerings and other capital markets transactions, along with strategies to address market discounts and dealings with activist investors. Jay serves as fund counsel to several major fund complexes and also represents independent directors. He has broad transactional experience involving funds and their advisers, including merger and acquisition transactions, fund reorganizations, and fund adoptions. He also advises fund sponsors on the development of financial products involving fund structures and regularly assists clients in the initial public offering of registered funds. Jay also has broad experience with secondary fund offerings, including shelf take-downs, rights offerings, and preferred stock. Jay is ranked nationally in Chambers USA for Investment Funds: Registered Funds and is also recommended by Legal 500 and is recognized by Best Lawyers for Mutual Funds Law.


Thompson Hine

Bibb Strench is a partner in the corporate transactions and securities practice group at Thompson Hine. He focuses on exchange-traded funds (ETFs), exchange-traded products (ETPs), closed-end funds, mutual funds, and investment advisers. Bibb provides advice on regulatory, compliance, entity formation, auditor independence, corporate governance, and other issues related to the operation of the aforementioned businesses. He has experience with unique fund structures and ETF products, smart contacts, and other blockchain innovations and start-up ETF firms.

Bibb began his career as a staff attorney in the Division of Investment Management of the US Securities and Exchange Commission, where he was principally responsible for granting exemptive orders and responding to no-action and interpretive requests under the Investment Company Act of 1940 and Investment Advisers Act of 1940. He has argued 1940 Act issues in federal and state courts, including the landmark mutual fund independent director case, Yacktman v. Carson, et al., and participated in the development of the Uniform Statutory Trust Entity Act.


Global Chief Operating Officer

Mike joined Standard Life as a graduate trainee in 1994 and is responsible for all aspects of Operations & Technology across the whole of Standard Life Aberdeen on a global basis. This includes the management of our major outsource providers like Citi, BNPP & DST. Mike also has overall responsibility for Platform Operations in the UK.

Mike previously had senior roles in Mutual Funds Operations, SLI Change Management and Investment Operations. He was appointed to the SLI Board as Executive Director of Operations in August 2010, a role which expanded with the merger of SLI and Aberdeen Asset Management in 2017. Mike took up his current appointment as Global Chief Operating Officer for Standard Life Aberdeen on 13 March 2019.


Senior Counsel, Litigation
The Vanguard Group, Inc.

Michael White is senior counsel, litigation, for The Vanguard Group, Inc. In that role, Michael manages complex litigation for Vanguard, which includes oversight of the firm’s eDiscovery, third-party litigation, and affirmative litigation practices. Before joining Vanguard, Michael was a litigation partner with the Seattle-based law firm Williams Kastner. Michael received his undergraduate degree from Dartmouth College and his law degree from Duke University.


Audit Partner, Philadelphia
Grant Thornton

Judd Wright is an audit partner at Grant Thornton, where he serves as the leader of the Atlantic Coast investment management practice as well as the national mutual fund sector leader. Judd possesses more than 20 years combined experience in the investment management industry and in addition to his leadership roles, he is responsible for the audits of open- and closed-end registered funds, alternative investment funds (including hedge funds, private equity funds, fund of funds), investment advisers, and collateral managers. Additionally, Judd also performs other attest engagements for investment advisers such as surprise securities examinations and GIPS verifications. Prior to joining Grant Thornton, Judd worked in the investment management services group at a Big Four Firm, where he supervised and managed audits of various investment companies and financial services companies (reporting under both US GAAP and IFRS).


Managing Partner

Nadav Zafrir is cofounder of Team8 and managing partner of Team8 Platform. He is focused on driving global growth for Team8 and is the architect of Team8’s relationships across the business, academic, and technology worlds. Prior to founding Team8, he served as commander of Unit 8200, Israel’s elite military technology unit, where he established the Israel Defense Force’s Cyber Command. Unit 8200 is recognized as the informal talent incubator for the nation’s renowned tech industry.

Nadav holds an LLB from the Herzliya Interdisciplinary Centre and an MBA from the Kellogg-Recanati International Executive MBA program at Tel Aviv University. He is a frequent speaker at global forums, including World Economic Forum, World50, TechCrunch Disrupt, and Google’s Zeitgeist.


Stradley Ronon

Christopher J. Zimmerman focuses his practice on assisting investment companies, investment advisers, and boards on various federal and state securities law matters. Among other things, he advises investment companies and investment advisers with respect to their organization, registration, and regulation. Specifically, Chris’s practice includes assisting clients with registration and regulation of new and existing funds, board-related issues, fund restructurings, securities lending issues, soft dollars by investment advisers, and the use of derivatives by investment companies.

Chris has obtained various exemptive orders from the SEC and has represented investment management clients in fund adoption transactions, including the acquisition of advisory businesses, internal fund reorganization and external adoption of mutual funds by other fund groups, registration with the SEC, and connection with proxy statements for various proposals, including advisory and/or change-of-control changes, management of managers structure approval, fund structure, and/or organization changes.