2022 Investment Management Conference

Speaker Bios

JOHN ANSBACH

John Ansbach serves as vice president of engagement management in Stroz Friedberg’s Dallas office. In that role, John leads complex cybersecurity incident and breach response projects for organizations all over the world, including Fortune 100 companies and private equity firms. He also supports his clients in proactively building cyber resilience—through advisory, threat intelligence, and cybersecurity testing work—to resist and defend against cyberattacks, and in handling digital forensic investigations, electronic discovery, and litigation support matters overseeing data collection and processing projects.

John is a former in-house lawyer who has more than 10 years of litigation experience and another 10 years of experience serving as a chief legal officer and general counsel to companies with national and international footprints. Immediately prior to joining Stroz, John served as general counsel for a global technology company that supported commercial enterprises with cybersecurity, cloud, unified communication, and networking, storage, and compute solutions. In that capacity, John was responsible for all the legal affairs of the company, as well as the company’s information security; international operations and compliance; and internal audit and risk functions. He developed and implemented the company’s first formal information security program, building a team and implementing technical and nontechnical safeguards, processes, and controls to help keep the company, its employees, and customers secure.

John is a frequent speaker and author on topics related to cybersecurity and data privacy. He has appeared as an expert in his field on numerous radio and television programs, and he has authored numerous articles for Risk Management Magazine; the Association of Corporate Counsel; the American Law Institute; Texas Lawyer; Corporate Counsel magazine; and The Texas Lawbook. John serves on the cybersecurity advisory board of Southern Methodist University and is a member of the International Association of Privacy Professionals (IAPP).

John is a Certified Information Privacy Professional for the US private sector (CIPP/US). He is also a cum laude graduate of Texas A&M University, where he earned a BS in economics. He earned his law degree from The University of Texas School of Law in Austin.

KATHLEEN T. BARR

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.

WILLIAM A. BIRDTHISTLE

William A. Birdthistle is the director of the Securities and Exchange Commission’s Division of Investment Management. He leads the development of policy and rulemaking relating to investment advisers and investment companies.

Before joining the SEC, William joined the faculty at Chicago-Kent College of Law in 2006, and he earned the school’s Excellence in Teaching Award in 2010. He also has served as a visiting professor of law at the University of Chicago Law School, where he won the Award for Teaching Excellence in 2019 for teaching securities regulation. His research explores investment funds, securities regulation, and corporate governance, and he has served as counsel of record on multiple amicus briefs to the US Supreme Court.

William received his JD from Harvard Law School, where he served as managing editor of the Harvard Law Review, and received a BA, summa cum laude, in English and psychology from Duke University.

ANDY BLOCKER

Andy Blocker is global head of public policy and head of US government affairs at Invesco. In this role, he works across Invesco’s three regions—the Americas, EMEA (Europe, the Middle East, and Africa), and Asia-Pacific—to bring global strategic leadership and alignment to Invesco’s public policy positions and engagement. He also leverages the political and policy expertise of Invesco’s public policy teams around the globe to provide timely insight to clients and portfolio managers. In his US-focused role, Andy drives Invesco’s legislative and regulatory advocacy initiatives with policymakers, engages with clients and opinion leaders on public policy developments, and seeks to maximize Invesco’s reputation and influence among key policymakers and stakeholders.

Andy joined Invesco in 2018. Before joining the firm, he served as executive vice president of public policy and advocacy for the Securities Industry and Financial Markets Association, where he led a team engaging lawmakers and regulators on international, federal, and state issues affecting the financial services industry. Before that, Andy spent five years as managing director for UBS’s US office of public policy, focusing on lobbying, client service, and education for individual and institutional clients. He also served as vice president of government relations for the New York Stock Exchange, as managing director of government and international affairs for American Airlines, and for the White House as special assistant to the president for legislative affairs. Andy began his career as a financial analyst for Bell Atlantic Corporation. He has appeared on CNBC, CNBC Asia, Bloomberg, and Yahoo! Finance.

Andy earned a BA in economics from Harvard University and an MBA in international business from Georgetown University.

MARGARET CAREY

Margaret Carey is vice president and associate general counsel in Fidelity’s legal department, where she oversees disclosure strategy for Fidelity’s advisory products and services. She also leads Fidelity’s regulatory coordination program office, which coordinates with Fidelity stakeholders to develop strategies for engagement with regulatory initiatives.

Maggie joined Fidelity in 2004 and has served in a number of roles in its legal department, including leading support for the Fidelity Funds treasurer’s office and mutual fund product and disclosure.

Maggie is a graduate of Georgetown University Law Center and Franklin & Marshall College. She previously worked as an associate at Goodwin Procter LLP from 1999 to 2004.

MIKE CATLIN

Mike Catlin is the chief information security officer of the Capital Group Companies. In his role as CISO, Mike is responsible for strategy, delivery, and oversight of the security programs within Capital’s information technology organization. In addition to leading the security and risk teams, Mike is a senior business leader of technology services within the information technology group. In this role, he has responsibility for engineering and delivery of the Capital technology infrastructure. He also has overall responsibility for the quality management function. Mike is a member of the CG Risk Oversight Committee, the Information Security Steering Committee, and the Global Business Continuity Steering Committee.

Mike joined Capital in 1994 and has held management positions in both infrastructure and applications development. Before joining Capital, he was a lecturer at California State University, Fullerton, where he taught upper division and graduate courses in the computer science department. He also worked in the aerospace industry as a software developer on space and defense programs.

Mike holds a BS in business computer methods from California State University, Long Beach, and a MS in computer science from California State University, Fullerton.

NATASHA CAZENAVE

Natasha Cazenave has been executive director of ESMA since June 1, 2021. Before taking up her current role, she was managing director, head of the Policy and International Affairs Directorate at the French Autorité des Marchés Financiers (AMF), where she worked for more than 10 years in various roles.

During that period, at the international level, she was elected twice chair of IOSCO’s Policy Committee on investment management in 2012 and 2014. In February 2015, she was appointed cochair of the Financial Stability Board’s experts group on shadow banking.

Natasha began her career at Ernst & Young corporate finance as part of the valuation and business modeling team. She spent eight years working at Deminor, a consultancy firm specialized in the defense of minority shareholders rights, where she was in charge of collective actions for investors who suffered losses as a result of securities violations, and the promotion of best practices in the field of corporate governance. She holds a master’s degree from the Paris Dauphine University in banking, finance, and insurance.

MATT CHAMBERS

Matt Chambers is general counsel and chief compliance officer of Horizon Investments, LLC, a Charlotte, NC–based investment adviser that provides goals-based investment management strategies to financial advisers and their clients. He is also the chief compliance officer of Horizon Funds. He was formerly an attorney with Kilpatrick Townsend & Stockton LLP, where he focused his practice on investment company and investment adviser matters, as well as corporate and securities law. Matt regularly participates in speaking engagements on securities and compliance matters for industry groups, including ICI and NSCP. Matt has a BA from the University of North Carolina and a JD from the University of Georgia.

CHRISTIAN CLAYTON

Christian Clayton is an executive vice president and strategist in PIMCO’s Newport Beach office, responsible for closed-end funds, interval funds, and other alternative strategies and structures. Before joining PIMCO in 2014, he worked in the investment banking division at Citigroup in Hong Kong. He holds an MBA from the Marshall School of Business at the University of Southern California and a master’s degree in East Asian studies from Columbia University. Christian received an undergraduate degree from Brigham Young University.

EBEN P. COLBY

Eben P. Colby is a partner in Skadden, Arps, Slate, Meagher & Flom LLP’s Litigation Group, practicing out of the firm’s Boston office. His practice includes advising on a wide range of complex securities, corporate, and regulatory matters. He has litigated in trial and appellate courts, state and federal, around the United States—including jury and bench trials—as well as regulatory investigations, administrative proceedings, and private arbitrations and mediations. He particularly focuses on the mutual fund and asset management industry, having represented many of the largest firms in the industry’s most significant issues over the last two decades.

LANCE C. DIAL

With more than a decade of experience as senior in-house counsel with global investment managers, Lance C. Dial has a deep understanding of mutual fund law and operation and is fluent in the myriad regulations applicable to investment managers. He is well versed in the creation of investment products and environmental, social, and governance (ESG) and sustainability matters. Lance works extensively on regulatory policy matters engaging with various financial services regulators, including the US Securities and Exchange Commission, US Department of Labor, Internal Revenue Service, and US Department of Treasury.

Lance received his BA in history from University of Georgia; his JD, cum laude, from Boston University School of Law; and his MBA from Boston University, School of Management. He is a member of the bar in Massachusetts.

DOROTHY M. DONOHUE

Dorothy M. Donohue is deputy general counsel, securities regulation, at the Investment Company Institute and has been a member of the Institute’s legal staff since 2002. Earlier in her career, Dorothy was an associate counsel at ICI Mutual Insurance Company and held a number of positions at the SEC. While at the SEC, she was assistant chief counsel, as well as an attorney in both the Division of Investment Management’s Office of Investment Adviser Regulation and the Office of Disclosure and Review.

Dorothy received her JD, cum laude, from Georgetown University Law Center and her BA, summa cum laude, from Fordham University.

PETER DRISCOLL

Peter Driscoll joined PwC in the National Quality Organization (NQO) in Washington, DC, in September 2021. Although Pete is based in the NQO, he serves clients in the financial services sector.

As a partner, Pete brings to clients his vast expertise at the US Securities and Exchange Commission (SEC), including examinations of investment advisers, private funds, mutual funds, broker-dealers, and other market intermediaries. He also adds expertise in operational excellence, as he teams with others throughout NQO and the firm to promote standardization, centralization, and automation of aspects of PwC’s broker-dealer audit and attestation work.

Before joining PwC, Pete was the director of the Division of Examinations (formerly the Office of Compliance Inspections and Examinations) at the SEC, where he led a team of more than 1,000 accountants, attorneys, securities compliance examiners, and quantitative analysts responsible for overseeing SEC-registered participants in the financial markets. Pete spent approximately 20 years at the SEC gaining key exposure to market events and related risks, while establishing relationships and credibility at the SEC and across the marketplace, including with members of the compliance, risk, legal, and accounting professions.

Pete holds a JD and a BS in business administration with a major in accounting from St. Louis University. Pete is licensed to practice as a CPA and attorney in the state of Missouri.

KENNETH FANG

Kenneth Fang is associate general counsel at the Investment Company Institute. Previously, he served as vice president and legal counsel at ProShare Advisors LLC, an ETF sponsor. He joined ProShare Advisors after working in the investment management practice groups at Goodwin Procter LLP and Morrison & Foerster LLP. Early in his career, Ken held various positions in the SEC’s Division of Investment Management, including as senior counsel in the Office of Chief Counsel. At the SEC, Ken received the SEC Capital Markets Award.

Ken received his undergraduate degree from the University of Michigan, his JD from the University of Maryland School of Law, and his LLM (with distinction) from Georgetown University Law Center.

BRIDGET D. FARRELL

Bridget D. Farrell joined the Investment Company Institute in 2019 and is assistant general counsel. Previously, she worked in the Office of Chief Counsel of the SEC Division of Economic and Risk Analysis and the Investment Adviser Regulation Office of the SEC Division of Investment Management. Before joining the SEC, Bridget was a compliance officer for Morgan Stanley Investment Management. Bridget also advised clients on litigation and securities law issues in private practice at Linklaters LLP and Gibson, Dunn & Crutcher LLP. Bridget received her BA from the College of William & Mary and her JD, cum laude, from the University of Pennsylvania Law School.

HUGH FARRISH

Hugh Farrish is head of Americas ETF product for J.P. Morgan Asset Management, where he is responsible for ETF product strategy and development across J.P. Morgan’s US-listed ETF range.

Hugh joined J.P. Morgan in January 2018 from Quantitative Management Associates (QMA), a boutique quantitative equity manager within Prudential Investments, where he was head of product development. Before QMA, Hugh held a senior product role at ProShares, where he was responsible for dozens of ETF launches across equity, fixed income, and alternative asset classes. Hugh also spent time at Merrill Lynch working both on their ETN platform and within their alternative investment unit.

Hugh graduated with a JD from Fordham School of Law in New York and a BA in history from Washington & Lee University in Lexington, Virginia.

MARIAN FOWLER

Marian Fowler is a partner in the Investment Funds Regulatory Solutions Group of Kirkland & Ellis LLP in Washington, DC. She focuses her practice on advising investment advisers to private equity funds as well as business development companies. Marian counsels clients on the full spectrum of regulatory and legal issues involved in creating an advisory business, registering with the SEC, developing compliance programs, forming funds, marketing funds, structuring complex transactions, and navigating SEC examinations. With her regulatory background serving the key leaders at the SEC, Marian is uniquely suited to advise clients on policy and enforcement developments affecting the asset management industry.

Before joining Kirkland, Marian served as senior special counsel to the Director of the Division of Investment Management at the SEC in Washington, DC. Marian advised the division director on all division projects and priorities and also served as the liaison between the division and the chairman’s office and commissioners’ offices. Previously, Marian was senior counsel in the Investment Company Rulemaking Office in the Division of Investment Management, where she worked on SEC rulemakings and interpretive guidance.

Before joining the SEC, Marian was in private practice, where she served as counsel to investment advisers, investment companies, and boards of directors.

Marian received her BA in political science, summa cum laude, and Phi Beta Kappa from University of Oregon; her MPP from University of California, Los Angeles; and her JD, cum laude, from Georgetown University Law Center. She is a member of the District of Columbia and Massachusetts Bars.

KRISTEN FREEMAN

Kristen Freeman serves as lead investment company counsel at ProShares, which offers one of the largest lineups of ETFs and manages more than $60 billion in assets. Kristen is responsible for a team of professionals that provide legal support for ProShares’ ETF and mutual fund platforms. In her role, she collaborates with strategic business colleagues to develop innovative products that provide strategic and tactical opportunities for investors. Before joining ProShares in 2018, Kristen was in-house counsel at Voya Investment Management and an associate in the financial services group at Dechert LLP. Kristen holds a JD from Duke University School of Law and an MA in economics from Duke University.

JENNIFER R. GONZALEZ

Jennifer R. Gonzalez is a partner at K&L Gates LLP, where she concentrates her practice in the investment management area, representing open-end and closed-end investment companies, investment company boards, and investment advisers in transactional and regulatory matters. She counsels clients on the formation, reorganization, and termination of open-end and closed-end investment companies, obtaining exemptive relief and no-action relief, proxy solicitations, compliance matters, business development company (BDC) matters, and day-to-day regulatory issues. Jennifer has extensive experience representing closed-end investment companies in offerings of common and preferred stock, establishing, and refinancing various forms of leverage, issues relating to activist shareholders, proxy solicitations, tender offers, exchange matters, and other regulatory issues. In addition, she advises clients on state blue sky issues.

Jennifer received her AB in economics and women’s studies from Harvard University and her JD from Yale Law School. She is a member of the bar in the District of Columbia and Massachusetts.

BOB GROHOWSKI

Bob Grohowski is a vice president of T. Rowe Price Group, Inc. and T. Rowe Price Associates, Inc., and a managing legal counsel at the firm. Bob is the head of T. Rowe Price’s legislative and regulatory affairs team, which is responsible for coordinating T. Rowe Price’s engagement in public policy initiatives that are important to the firm.

Before joining T. Rowe Price in 2017, Bob was general counsel of the Investment Adviser Association. Before the IAA, Bob spent 17 years with the Investment Company Institute in a number of domestic and international roles. He actively participates in many industry committees and working groups, including as a member of the Maryland Chamber of Commerce’s Board and Executive Committee.

Bob began his career in private law practice with the firms now known as Kilpatrick Townsend and Eversheds Sutherland. He received a BA in foreign affairs from the University of Virginia. He also received his law degree from the University of Virginia, where he was a member of the editorial board for the Virginia Journal of International Law.

BRIAN L. HARRIS

Brian L. Harris is a managing director at State Street Global Advisors and the funds’ chief compliance officer. He is responsible for overseeing State Street Global Advisor’s 1940 Act registered mutual funds and exchange-traded funds compliance program as well as managing a team of compliance professionals responsible for third party service provider oversight and SEC, CFTC, and NFA regulatory filings and examinations. Brian is also responsible for overseeing State Street Global Advisors OCIO and alternative investments compliance program.

Before joining State Street Global Advisors, Brian was a senior vice president and global head of investment compliance at BofA Global Capital Management (BACM). In that position, Brian managed a team of compliance professionals responsible for ensuring that BACM’s registered mutual funds, Irish UCITS, and separately managed accounts were in compliance with all applicable securities laws, regulations, and investment guidelines. Brian also served as a member on various BACM corporate governance committees and subcommittees such as valuation, trading, investment oversight, credit review, and internal compliance controls.

Brian received his BS with a concentration in accounting at Merrimack College in 1995. Brian currently holds the Series 6 and 63 securities licenses.

MICHAEL F. HOGAN

Michael F. Hogan is a managing director and is responsible for the compliance functions supporting Schwab’s investment advisory businesses, including Charles Schwab Investment Management Inc. (CSIM), Charles Schwab Investment Advisory, Inc. (CSIA), and Schwab Private Client Investment Advisory, Inc. He has served as chief compliance officer for CSIM and the Schwab Funds, Laudus Funds, and Schwab ETFs since joining Schwab in July 2009.

Before joining Schwab, Mike was a director in regulatory compliance for Wellington Management Company LLP in Boston from 2007 to 2009, where he led the regulatory compliance team of the global compliance and operational risk management department. Before that, he spent more than 22 years at Brown Brothers Harriman & Co. in Boston, where he held various positions in compliance, legal, and operations.

Mike earned a JD from Suffolk University Law School in Boston and a BA from Bates College in Lewiston, Maine.

VANESSA L. HORTON

Vanessa L. Horton is the associate regional director in the IA/IC examination program and acting associate regional director for the broker-dealer program in Chicago, where she participates and manages teams that examine investment advisers, investment companies, broker-dealers, and private funds. Before joining the SEC, Vanessa spent more than 13 years in the private sector, where she most recently served as the chief compliance officer to a dually registered broker-dealer and investment adviser. Vanessa’s background is specifically in trading, operations, and compliance. Vanessa has held several FINRA securities licenses, including the Series 7, 24, 55, 65, and 63 and the Certified Fraud Examiner designation. She graduated from the University of Illinois at Urbana-Champaign Gies School of Business for undergraduate studies and DePaul University in Chicago for graduate studies. In addition to her specialized industry experience, Vanessa participates in multiple National Examination Program (NEP) and Commission-wide initiatives, including acting as a subject matter expert in the SEC’s National Exam Training program, Professional Development Cochair, People Committee, Executive Committee, the Diversity Council, and the Private Fund Special Working Group, among others.

MEB KEFLEZIGHI

Meb Keflezighi is the only runner in history to win the Boston Marathon, the New York City Marathon, and a medal at the Olympic Games. His powerful story from humble beginnings is chronicled in the New York Times best-selling book Run to Overcome. The most notable moment of Meb’s career occurred at the 2014 Boston Marathon, where he stormed to victory one year after bombs detonated at the finish line, becoming the first American to win the race since 1985. President Barack Obama placed a congratulatory call to Meb hours after the race, and the New York Times, the Wall Street Journal, and USA Today all ran simultaneous cover stories the following day. Widely credited as one of the most accomplished distance runners in US history, Meb competed in a total of 26 marathons during his professional racing career. Today, Meb serves as a global running ambassador to help others become the best versions of themselves.

ANTHONY S. KELLY

Anthony S. Kelly, a litigation partner in Dechert’s Washington, DC, office and former senior officer in the SEC’s Division of Enforcement, focuses his practice on securities enforcement, compliance, and regulatory matters. Anthony represents clients in investigations conducted by the SEC, FINRA, and other government and regulatory agencies. He also has experience conducting internal investigations. As a former cochief of the Enforcement Division’s Asset Management Unit at the SEC, Anthony oversaw investigations covering a wide range of asset management–related issues and gained a deep understanding of the regulatory issues that affect fund boards and investment advisers to mutual funds, ETFs, BDCs, private equity funds, hedge funds, and other investment vehicles. Anthony routinely advises asset management clients on compliance and regulatory matters. He also regularly guides both registered and private fund advisers through SEC exams by helping them prepare for the exam, navigate the exam process, and respond to the deficiency letter.

Before joining the SEC’s Enforcement Division, Anthony spent four years as an examiner in the broker-dealer group of the SEC’s Division of Examinations. While at the SEC, Anthony was awarded the Chairman’s Award for Excellence and the Ellen B. Ross Award, which acknowledge his exemplary commitment and performance in enforcing the federal securities laws.

THOMAS T. KIM

Thomas T. Kim comes to IDC from the Mortgage Bankers Association, where he was senior vice president responsible for strategy, public policy, and member engagement across MBA’s commercial real estate finance membership. He oversaw and spearheaded public policy on financial services regulation, portfolio lending, capital markets, securitization, and market liquidity matters.

In leading member engagement across commercial real estate finance sectors, Tom managed member committees, executive roundtables, content development for conferences and programs, industry standards, and best practices. He also oversaw governance across member constituencies, advising the Commercial Board of Governors.

Previously, Tom served as associate general counsel at Freddie Mac advising the company on regulations and policy affecting mortgage investments and capital markets. He also served as associate counsel at the Investment Company Institute, where he focused on legislative and regulatory matters that affect mutual funds and their shareholders.

Tom is a cofounder and board member of a nonprofit organization that combats human trafficking in developing countries, and served on the board of directors of MBA’s Opens Doors Foundation, which provides mortgage and rental assistance grants to families with critically ill children. Tom received his BA, summa cum laude, from the University of California, Irvine; his JD from the UCLA School of Law, where he served as a law review editor; and his LLM, with distinction, from the Georgetown Law Center.

KATHLEEN L. MELLODY

Kathleen L. Mellody joined ICI in January 2019 as the senior government affairs officer.

Before joining ICI, she served as head of federal affairs at The Hartford, where she led the legislative and regulatory work for the firm, including for the mutual fund businesses. Before her tenure there, she served in the Obama White House as special assistant to the president and Senate liaison for banking and finance issues. Kathleen also served as a deputy assistant secretary for legislative affairs in the Treasury Department working on banking, finance, and terrorist financing issues.

Before entering the administration, she served as counsel on the House Financial Services Committee, and as counsel in MetLife’s government affairs office. Kathleen graduated from Georgetown University and the George Mason University School of Law. She is a member of the Maryland and District of Columbia bar associations.

MICHELLE MESACK

Michelle Mesack is managing director and head of federal government relations at JPMorgan Chase. She is responsible for overseeing the firm’s interactions with the administration, Congress, and other policymakers and select regulators in Washington.

Michelle has more than two decades of experience in government, law, public policy, and public affairs. As senior counsel on the Senate Banking Committee, she served as lead adviser to the chairman on securities, capital markets, and insurance policy. She also served in several roles within the House of Representatives, including in House leadership.

In addition, Michelle has extensive private-sector experience. As a senior member of the Investment Company Institute government affairs team, she represented the interests of regulated investment funds and asset managers during a time of significant legislative and regulatory change for the financial services industry. Michelle is an investment management attorney and represented clients from the asset management industry for several years at K&L Gates.

Michelle holds a BA from the University of the South and a JD from the George Washington University School of Law.

SEAN M. MURPHY

Sean M. Murphy, a partner in the New York office of Milbank LLP and a member of the firm’s Litigation & Arbitration Group, is a trusted adviser to some of the largest financial institutions in the country. He is known for successfully defending clients in complex securities cases involving multi-jurisdictional class action and derivative litigation under state and federal securities laws, including claims under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. He has extensive experience representing investment advisers and mutual fund boards in litigation and regulatory investigations. And he represents clients in regulatory and enforcement proceedings before the SEC, CFTC, FINRA, and state regulators.

ABIGAIL MURRAY

Abigail Murray is the managing counsel of Janus Henderson Investors; she also currently serves as the vice president, chief legal officer, and secretary of the Janus Henderson mutual funds, a position she has held since 2020. In this role, Abby is responsible for providing or overseeing a full range of services to the mutual funds and their trustees. She has more than 20 years of experience providing regulatory, compliance, and corporate governance services to registered investment companies (including mutual funds, ETFs, and closed-end funds), independent trustees, and investment advisers. Before joining Janus Henderson, Abby was senior counsel at Invesco, where she provided services to the Invesco ETFs and supported the investment adviser; vice president and senior counsel at ALPS Fund Services, Inc., and assistant general counsel of ALPS Advisors, Inc., where she counseled a variety of proprietary and third-party funds and supported the investment adviser; an associate in the investment management practice at Vedder Price P.C., where she counseled registered funds, independent trustees, and a captive insurance provider; senior associate counsel at State Street Bank & Trust Company (formerly, Investors Bank & Trust), where she provided legal administration services; and Fidelity Investments, where she provided investment company and advisory services. Abby earned her BA, magna cum laude, from Western Michigan University in 1996 and her law degree from the University of Richmond, T.C. Williams School of Law, cum laude, in 1999.

SUSAN OLSON

Susan 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, Susan served in the Division of Investment Management at the Securities and Exchange Commission (SEC). At the SEC, Susan 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, Susan worked in private practice. She received her undergraduate degree from Wellesley College and her law degree from the University of Virginia.

DABNEY O’RIORDAN

Dabney O’Riordan has been a cochief of the SEC’s Division of Enforcement’s Asset Management Unit since June 2016. The AMU is a national, specialized unit of attorneys, industry experts, and paralegals dedicated to identifying misconduct in the asset management industry, including investment advisers to separately managed accounts, registered investment companies, and private funds. Dabney joined the SEC’s Los Angeles regional office in 2005 as a staff attorney and became a member of the AMU when it was first formed in 2010. In 2012, she was detailed to serve as counsel to the director of the Division of Enforcement. Thereafter, Dabney became an assistant director, supervising AMU investigations. Before joining the SEC, Dabney was a litigation associate at Munger, Tolles & Olson LLP, and served as a law clerk to the Honorable David R. Thompson of the US Court of Appeals for the Ninth Circuit. She received her JD from the University of California, Los Angeles, and her undergraduate degree from Wellesley College. Dabney is based in the Los Angeles, California.

CHRISTOPHER E. PALMER

Christopher E. Palmer is a partner and chair of Goodwin Procter’s financial industry group. For more than 30 years, Chris has worked with mutual funds, mutual fund independent directors, insurance companies, investment advisers, and other investment management industry participants. He advises clients on the development, regulatory approval, sale, and administration of a variety of investment products, including funds and variable annuity contracts. He advises mutual fund independent directors on legal, governance, and industry practice issues. He works with the Goodwin litigation team on mutual fund lawsuits and SEC enforcement matters.

Chris earned his JD, magna cum laude, from the Georgetown University Law Center, and his BA, egregia cum laude, from St. John’s University (Minnesota).

ERIC J. PAN

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.

Eric 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.

Eric 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, Eric 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.

Eric 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.

OZ PEARLMAN

Oz Pearlman is one of the most sought-after mentalists in the world. He developed an interest in magic at a young age and what started as a hobby ended up becoming a lifelong passion. After a couple of years spent working on Wall Street, Oz decided to pursue his dream and become a full-time entertainer. He has now been dazzling audiences with his mind reading ability for more than two decades!

Oz amazed the country on TV’s number one rated show, America’s Got Talent. Week after week, he performed mind-blowing mentalism routines never seen before and quickly became a fan favorite, winning third place out of thousands of acts. His client list reads like a who’s who of politicians, professional athletes, A-list celebrities, and Fortune 500 companies. Oz’s other television appearances have aired on both national and international networks, including dozens of appearances on the TODAY Show,Late Night with Jimmy Fallon, Harry Connick Jr. Show, Rachael Ray, Dr. Oz, CNBC Squawk Box, ABC World News, ESPN, CNBC, NFL Network, Bravo, Fox Business, and many more. In 2018, he joined an elite few, including David Blaine and David Copperfield, to have their own TV special on a major national network. Oz Knows aired on NBC multiples times to rave reviews. The following year he won an Emmy Award for that special.

When he isn’t blowing the minds of audiences around the world, Oz is an avid marathon and ultra-marathon runner, having completed such grueling races as the Badwater 135 Miler, Hawaii Ironman World Championships, Western States 100, and Spartathlon. He takes great pride in his marathon PR of 2:23:52 and has won dozens of races throughout the country.

Oz’s natural charisma and charm make him the perfect choice for corporate events and private parties alike. His unique blend of mind reading and mentalism create an interactive experience that is redefining the very nature of a magic show...one that truly needs to be seen to be believed!

ERIC S. PURPLE

Eric S. Purple is a partner in Stradley Ronon Stevens & Young LLP’s Washington, DC, office. Eric’s practice focuses on all aspects of investment company and investment adviser regulation. He represents a broad range of exchange-traded funds, mutual funds, closed-end investment companies, business development companies, and other pooled investment vehicles, their investment advisers, or their independent directors on matters arising under the US federal securities laws. Before entering private practice, Eric served for eight years in the US Securities and Exchange Commission’s Division of Investment Management. Before his government service, Eric served as the compliance officer of a small mutual fund complex and was the lead in-house counsel to an internet financial services start-up. Eric holds a BA from Vanderbilt University, a JD from the University of Alabama School of Law (where he served on the managing board of the Alabama Law Review), and an LLM in securities and financial regulation from Georgetown University Law Center.

PETER G. REALI

Peter G. Reali is a managing director and member of the responsible investing (RI) team at Nuveen, the investment management arm of TIAA.

Peter’s responsibilities include leading Nuveen’s stewardship activities to influence companies, issuers, and the broader market to advance ESG best practices. He is a member of the Principles for Responsible Investing (PRI) Stewardship Advisory Committee.

Before joining Nuveen, Peter led the corporate governance and proxy voting function at Lord, Abbett & Co and was on the corporate governance team at T. Rowe Price. From 2005 to 2013, he was the lead corporate governance analyst at TIAA-CREF.

He holds a BS in business administration from Fordham University.

PETER G. SALMON

Peter G. Salmon is senior director, technology and cybersecurity of the Investment Company Institute, responsible for the Institute’s Technology Committee, Chief Information Security Officer Committee, ICI Global’s Information Security Officer Committees, and ICI’s Business Continuity Committee. During the last 20 years, Peter was also responsible for the Institute’s Small Funds Committee, and End of Day Pricing Forum. Before joining ICI in 1999, Peter spent 11 years with The Nasdaq Stock Market, Inc., most recently as director of Nasdaq International Market Initiatives, Inc., where he was responsible for the general management of a Nasdaq subsidiary that assisted in the development of foreign equity markets from a technological and regulatory perspective.

Peter represents ICI on the Financial Services Sector Coordinating Council for Critical Infrastructure Protection and Homeland Security, United States Department of the Treasury, the Financial Services Information Sharing and Analysis Center, Federal Bureau of Investigation’s INFRAGARD (board member), and the National Cyber Forensics and Training Alliance. Peter is a graduate of Villanova University, where he earned a BA in economics, and The American University, where he earned a MA in economics. Peter has also earned Certificates in Financial Planning from Georgetown University and Cyber Threat Analysis from the National Cyber Forensics and Training Alliance.

TAMARA K. SALMON

Tamara K. Salmon is associate general counsel at the Investment Company Institute, where she handles a variety of state and federal legal and regulatory issues relating to mutual funds, 529 plans, broker-dealers, and investment advisers. Tami’s responsibilities include running ICI’s CCO, Chief Risk Officer, Internal Audit, International Compliance Advisory, and International Internal Audit Committees. She also provides support services to ICI’s CISO, Technology, and Transfer Agent Advisory Committees.

RICHARD C. SARHADDI

Richard C. Sarhaddi is the chief compliance officer of Just Invest, LLC, and head of advice compliance at Vanguard, where he leads the compliance team that supports Vanguard’s personalized indexing offer, direct investor advisory offers, Vanguard Personal Advisor Services and Vanguard Digital Advisor, and fintech division. Sarhaddi began his career as a ’40 Act attorney at Claymore Advisors (now part of Guggenheim Partners). Since then, he has focused his career on Advisers Act and broker-dealer issues for firms including optionsXpress, Inc. and Charles Schwab & Co., Inc. He received his BA in history from Marquette University and his JD from Chicago-Kent College of Law. Sarhaddi also serves as the cochair of the Investment Adviser Association’s Digital Adviser Committee.

CHRISTY SEARS

Christy Sears is chief compliance officer of the American Beacon Funds and American Beacon Advisors, Inc. Since 2017, she has also served as vice president of compliance for Resolute Investment Managers, Inc., a multi-affiliate asset management platform and parent company of American Beacon Advisors. She is responsible for compliance oversight of Resolute’s affiliated investment advisers and broker-dealer. Christy joined American Beacon Advisors in 1998 and was named chief compliance officer in 2004. Before joining American Beacon, she managed middle-office operations for an SEC-registered investment adviser and broker-dealer. Christy earned an MS in economics from Baylor University’s Hankamer School of Business, as well as a BA in economics and philosophy from Southern Methodist University.

ALISON STALOCH

Alison Staloch is CFO at Fundrise. She joined the company in April 2021, and she characterizes her workload as typical of a late-stage company. She’s focused on accounting and reporting, alongside more strategic work, like improving revenue models and managing diversity, equity, and inclusion goals. Before joining Fundrise, she served as the chief accountant of the Division of Investment Management at the US Securities and Exchange Commission from December 2017 to April 2021, and as assistant chief accountant from November 2015 to November 2017. From 2005 to 2015, she was with KPMG LLP in the asset management practice. Alison has a BA in psychology from Miami University and an MA from the Ohio State University.

JULIA TAYLOR KENNEDY

Julia Taylor Kennedy is an executive vice president at Coqual, leading cutting-edge research into the issues affecting today’s professional workforce with an eye toward solutions for a more inclusive and equitable global workplace and world. By leading and sharing Coqual’s research, Julia holds up a mirror to the way workplaces work today—and gives companies a way forward.

Julia is passionate about telling people’s stories and understanding their challenges and hopes. She enjoys presenting a new piece of research and getting the nods around the room that show Coqual has honored members of that audience’s experiences. She also loves to see a concept “click” for leaders, giving them new ways to see and shape the world around them.

She’s led and co-led many research studies at Coqual, including Being Black in Corporate America, a four-part series on The Power of Belonging, What #MeToo Means in Corporate America, The Sponsor Dividend, Disabilities and Inclusion, and Mission Critical: Unlocking the Value of Veterans in the Workforce.

Julia has spoken at the United Nations, the Conference Board, the Executive Leadership Council, New York City Bar’s Associate Leadership Institute, and many companies. She’s been featured in Harvard Business Review, Business Insider, Fortune, Scientific American, and the Washington Post; she also has appeared on Bloomberg TV, American Public Media’s Marketplace, Wharton Business Radio, and more.

Before joining Coqual, Julia hosted 51%, a nationally syndicated public radio program dedicated to the perspectives and stories of women in the United States, and she reported for NPR and NPR member stations. Outside of her work with Coqual, Julia is treasurer of the Board of Community Change, a nonprofit that advocates for and supports community organizing groups. She earned her bachelor’s in journalism at Northwestern University and master’s in international relations from Yale University.

SARAH G. TEN SIETHOFF

Sarah G. ten Siethoff is the associate director for the Division of Investment Management’s Rulemaking Office, a position she has held since 2018. Sarah joined the Division of Investment Management in 2008 and previously served in a variety of roles in its Rulemaking Office, including deputy associate director and assistant director.

Before joining the SEC, Sarah was an associate focusing on mergers and acquisitions 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

Julia S. Ulstrup is senior vice president and general counsel of ICI Mutual. Julia joined ICIM Services, a wholly owned subsidiary of ICI Mutual, in 2002. She received her JD from the Georgetown University Law Center and her BA from Wellesley College. 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 US Securities and Exchange Commission. Julia is a member of the Maryland and District of Columbia bars.

CHRISTOPHER WILSON

Christopher Wilson started in the mutual fund business in 1980 and served as president and CEO of Columbia Funds for Columbia Management (a division of Bank of America) from 2004 to 2009. He led the $400B+ integration of the Columbia, Nations, Galaxy, Liberty, Marsico, Stein Roe, and Acorn fund families into a single Columbia brand. Chris served as president and CEO of 11 fund families in the United States and he was a director for the offshore fund families Global Liquidity and Wanger Investments and BACMIL, based in Ireland. He held a variety of senior titles for the adviser, distributor, and service company within Columbia. In 2007, Money Management Executive named Chris the Mutual Fund Leader of the Year. Chris’s leadership of risk, compliance, audit, and governance services for the funds helped navigate the 2008 financial crisis for Columbia. In 2008, Barron’s ranked Columbia number one in five-year performance. Before joining Bank of America, Chris was the cofounder, president, and CEO of CDC IXIS Asset Management Services, Inc., formerly known as NVEST Services, LP. Before joining NVEST, Chris worked for nine years at Scudder, Stevens & Clark, where he was a principal. He started his career in 1980 at Fidelity, spending eight years in 13 roles beginning as a customer service representative.

Chris served on the Board of Directors for the ISO-NE (2011-2020) which manages the New England Power Grid, where he was a member of the Markets Committee, System Planning Committee, Nominating & Governance, HR & Comp (former chair), and chair of the Audit Committee, where he was lead director in developing a cybersecurity governance plan. From 2014 to 2016, Chris served on the TD Asset Management USA Board as an independent trustee. Chris joined the Board of Invesco Funds in 2017 and was elected independent board chair in 2020. Chris also served on the Board of EnAIble, Inc, an Applied Intelligence technology firm. He was formerly a member of the Board of Governors of the Investment Company Institute, served on the Governing Council of the Independent Directors Council and a former member of the Board of Directors of the National Investment Company Service Association (NICSA). He was a vice chair of the Board of Trustees and chair of the Finance Committee of Lesley University; a board member at Lake Forest College; and a board member at Carroll Center for the Blind. He was formerly a director at Unveil Corp and has served in a variety of board capacities at other educational and nonprofit institutions.

Chris received a BA from Lake Forest College in Illinois and supplemented his career with programs at Harvard and Wharton. He holds an Executive Master’s Professional Director certification from the American College of Corporate Directors. Chris completed the CERT Certificate in Cybersecurity Oversight from Carnegie Mellon University/NACD. In addition to his board work, Chris is a private investor in early stage companies. In 2013, Chris authored a book, BA to Boardroom with No BS, Skills for Life.

RANA J. WRIGHT

Rana J. Wright serves a partner, chief administrative officer, and general counsel of Harris Associates, where she is responsible for managing the legal, compliance, human resources, risk, and regulatory functions of Harris Associates globally. She is also the principal executive officer and president of the Oakmark Funds.

Before Harris, Rana served as associate general counsel and managing director at Bank of America, where she was the chief legal officer for BofA Global Capital Management, the asset management affiliate of Bank of America and chief counsel overseeing Merrill Lynch’s distribution of registered investment products. Rana led the team that was responsible for providing counsel, both strategic and legal, to business partners in the product, sales, and marketing functions.

She began her career at the global law firm Reed Smith LLP, where she represented mutual funds, broker-dealers, and investment advisers, counseling them on a panoply of regulatory, strategic, and transactional issues. While at Reed Smith, Rana was the vice chair of the firm’s global diversity and inclusion initiative. She earned a BA from the University of Pittsburgh and a JD from Duquesne University School of Law.