David Bartels

David Bartels is deputy chief counsel of the SEC’s Division of Investment Management. He also has served as senior policy advisor to Director Dalia Blass; in the Investment Adviser Regulation Office, where he worked on rulemaking; as branch chief in the Exemptive Applications and Chief Counsel’s Offices; and as counsel to Commissioner Kara M. Stein. David also worked at Sullivan & Cromwell LLP. He has a law degree from Yale Law School and a bachelor’s degree from SUNY Buffalo.

Sarah A. Bessin

Sarah A. Bessin joined ICI in 2011, and is associate general counsel. She served in many roles in her more than 10 years at the SEC, including as assistant director of the Office of Investment Adviser Regulation in the SEC’s Division of Investment Management, and assistant chief counsel in the Division of Enforcement. She spent more than five years at Shearman & Sterling LLP. She has a BA from the University of Michigan and a JD, cum laude, from the University of Michigan Law School.

Ed Black

Ed Black is co-head of Ropes & Gray’s technology, media, telecommunications practice group and actively participates in the data, privacy, cybersecurity group. He is a corporate and intellectual property attorney who represents technology, media, financial services, investment management, and consumer branded products companies. Ed remains active with many trade and professional associations, where he is a frequent speaker on many topics.

Dalia Osman Blass

Dalia Osman Blass is the director of the SEC’s Division of Investment Management; she has also served in other roles at the SEC. She returned to the SEC in September 2017 from private practice. Earlier in her career, Dalia practiced corporate law in New York and London. Dalia earned a JD from Columbia University School of Law. She received her BA in international studies from the American University and studied political science at the American University in Cairo.

Thomas C. Bogle

Thomas C. Bogle is a partner at Dechert LLP, where he advises financial services companies on a wide range of matters, including in the firm’s anti–money laundering and sanctions compliance practice. Thomas has been recognized in The Legal 500 (US) in the area of mutual/registered funds, in The Best Lawyers in America for mutual funds law, as a “Rising Star” for investment funds by Euromoney/Legal Media Group, and as one of Fund Action’s Rising Stars of 2014.

Samantha Brutlag

Samantha Brutlag is senior counsel in the SEC’s Investment Management Division. She has been in IM’s Disclosure Review and Accounting Office since 2015. Before that, Sam was an attorney in the New York office of O’Melveny & Myers LLP. She graduated from the University of Pennsylvania Law School and also received her undergraduate degree from the University of Pennsylvania.

Walt Burkley

Walt Burkley is senior vice president and senior counsel at Capital Group, where he has had 20 years of investment industry experience. Walt has oversight responsibilities within the firm’s public policy, ESG, and fund governance efforts. He also practiced corporate and securities law at O’Melveny & Myers. He holds a JD from Vanderbilt Law School and a bachelor’s degree in philosophy from Dartmouth College. He is a member of the California State Bar.

Stephen T. Cohen

Stephen T. Cohen focuses primarily on representing mutual funds and their investment advisers and boards with respect to a wide variety of regulatory, compliance, and securities law issues. Stephen advises mutual funds on developing, organizing, and registering new funds under the federal securities laws; complying with state blue sky registration issues; reorganizing and merging funds; preparing shareholder proxy materials; and seeking SEC exemptive orders and other informal regulatory relief.

Sara P. Crovitz

Sara P. Crovitz provides counsel on investment company and investment adviser regulation, and serves as counsel to independent trustees. Sara was also deputy chief counsel and associate director at the SEC, where she worked for 21 years. In the Division of Investment Management, she worked with a team to issue exemptive orders, no-action/interpretive letters, IM Guidance Updates, and other guidance, including guidance related to custody, fund governance, and affiliated transactions.

Lauren Davides

Lauren Davides joined State Street in 2013 and currently leads regulatory and market insights. She oversees internal and external education on US asset manager regulations, and on global market trends. Lauren is a CPA in Massachusetts and has a bachelor’s degrees in accounting and finance from the University of Illinois Urbana-Champaign. She cochairs the MSCPA Registered Investment Companies Committee and is a member of multiple industry association committees, including ICI, NICSA, and ARRC.

Lauren Davides

Gregory C. Davis is a partner in the asset management group, and co-managing partner. Greg focuses on the representation of investment management industry clients. He has experience with the formation and compliance maintenance of investment advisers/companies, registered investment companies’ boards of directors, various privately offered investment pools, venture capital financings, and mergers and acquisitions involving both publicly and privately held companies.

Timothy W. Diggins

Timothy W. Diggins has been a partner in the asset management group at Ropes & Gray partner since 1992, where he focuses on financial services and mutual funds, securities, derivatives, and public offerings. Tim advises mutual funds, investment advisers, institutional investors, sovereign wealth funds, and endowments on regulatory matters, investment advisory arrangements, international investments, arbitrage strategies, foreign currency transactions, and tax strategies.

Dorothy M. Donohue

Dorothy M. Donohue is deputy general counsel, securities regulation, at ICI and has been a member of ICI’s legal staff since 2002. Earlier, served at the SEC, where she was assistant chief counsel and 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.

Bridget D. Farrell

Bridget D. Farrell joined ICI in 2019, and is assistant general counsel. She also worked in the Office of Chief Counsel of the SEC Division of Economic and Risk Analysis and the Investment Adviser Regulation Office. She was also a compliance officer for Morgan Stanley Investment Management, and a litigation and securities lawyer at Linklaters LLP and Gibson, Dunn & Crutcher LLP. She has a BA from the College of William & Mary and a JD, cum laude, from the University of Pennsylvania Law School.

Laura E. Flores

Laura E. Flores focuses on the regulation of investment companies and investment advisers. She counsels investment advisers, funds, and their sponsors and boards on regulatory, transactional, compliance, and operational issues, and on advertising and communications, investment adviser registration, and separately managed account programs. Laura was also a partner at another international law firm, where she served on the diversity committee, and assistant general counsel at a global bank.

Maria R. Gattuso

Maria R. Gattuso is Deloitte’s lead regulatory advisory principal in the investment management and wealth industries. She focuses on regulatory and compliance matters for clients such as investment advisers, wealth managers, broker-dealers, mutual fund complexes, hedge funds, and private equity funds. Maria has served as a cochair of the 100 Women in Hedge Funds Legal Peer Advisory Council and the Women’s Investment Management Forum. She has served as an adjunct professor of law at Georgetown.

Sean Graber

Sean Graber advises companies in the securities industry on investment management matters.
He also serves as counsel to mutual fund boards, and he advises insurance companies on regulatory matters. Sean counsels clients on regulatory and transactional investment management matters such as development of new products and services, registration and compliance issues, SEC enforcement actions, mergers and acquisitions, and interpretive and “no-action” letter requests and SEC exemptive orders.

David Grim

David Grim is a partner at Stradley Ronon Stevens & Young. Dave spent more than 20 years at the SEC’s Division of Investment Management, where he was deputy director and assistant chief counsel, and finally, director. He was awarded the Supervisory Excellence Award, Capital Markets Award, as a member of the Asset-Backed Securities Rulemaking Team, Law & Policy Award for Dodd-Frank implementation, and the Asset-Management Relations Award for leadership of division reorganization.

Bob Grohowski

Bob Grohowski is vice president and legislative and regulatory affairs senior legal counsel at T. Rowe Price, where he helps coordinate engagement in policy initiatives. Bob also served as general counsel of the Investment Adviser Association, and at ICI in various domestic and international roles. He began his career in private practice. He has a BA in foreign affairs and a JD from the University of Virginia, where he was on the editorial board for the Virginia Journal of International Law.

Megan C. Johnson

Megan C. Johnson advises investment companies and their investment advisers and other service providers on corporate, regulatory, and business matters. She advises mutual funds and their boards on ’40 Act issues such as affiliation issues, fund structuring and reorganizations, ongoing compliance and regulatory matters, disclosure, and fiduciary oversight matters. Before joining Dechert, Megan was employed as counsel at a large investment management firm.

Anthony S. Kelly

Anthony S. Kelly focuses on trial, investigations, and securities litigation, with an emphasis on the asset management industry. As a former cochief of the SEC Enforcement Division’s Asset Management Unit, Anthony has a thorough background in supervising investigations of misconduct by investment advisers and service providers to mutual funds, ETFs, private funds, and other investment products. At the SEC, he oversaw investigations and enforcement actions on asset management-related issues.

Keith T. Kirk

Keith T. Kirk serves as DoubleLine’s enterprise risk officer as a member of DoubleLine’s risk management team; he previously was CCO and deputy general counsel. He also worked at Metropolitan West Asset Management, LLC (MetWest), and the Metropolitan West Funds, Montgomery Asset Management, and NASD Regulation. He has a BS from Penn State, an MBA from San Jose State University, and a JD from Golden Gate University. Keith is a member of the California and District of Columbia bars.

David A. Kotler

David A. Kotler advises clients on corporate and commercial litigation matters involving the financial markets, with a particular focus on investment advisers, hedge funds, and other financial services firms both within and outside the mutual fund industry. David also frequently counsels boards and senior management on a variety of litigation-related matters. He is also coauthor of Mutual Fund Litigation and Insurance Guide.

Timothy W. Levin

Timothy W. Levin, leader of the firm’s investment management practice, counsels investment
advisers and other financial services firms. He also advises fund managers in connection with organization, registration, and ongoing regulatory compliance and represents managers and sponsors of unregistered pooled investment vehicles. Since 2008, Chambers USA has recognized Timothy for his work. Timothy is the editor of Morgan Lewis Hedge Fund Deskbook.

Jennifer Marietta-Westberg

Jennifer Marietta-Westberg consults on economic and financial issues and regulatory investigations. She is on the SEC’s Investor Advisory Committee. She worked for 10 years at the SEC, including as deputy chief economist and deputy director of the Division of Economic and Risk Analysis, where she managed economic analysis in support of policy for asset management, broker-dealers, credit rating agencies, and market microstructure. She also was an assistant professor at Michigan State University.

John McGuire

John McGuire counsels clients on investment company and investment adviser regulatory issues, and on new products and services; registration and compliance issues; SEC, FINRA, and state investigations and enforcement actions; mergers and acquisitions involving investment companies and investment advisers; interpretive and “no-action” letter requests; and SEC exemptive orders. John served at the SEC in its Investment Management Division. He has been recognized as by Chambers USA since 2005.

Christopher Menconi

Christopher Menconi advises investment companies and their investment advisers and boards of directors on regulatory, compliance, organizational and operational matters. He also advises insurance companies on the regulation of variable insurance products under the federal securities laws. He has authored several articles on securities regulatory issues. Chris has also served as an adjunct professor of law at the Catholic University of America Columbus School of Law.

Amanda McGrady Morrison

Amanda McGrady Morrison is co-head of the firm’s private equity industry group and has significant experience leading leveraged buyouts, dispositions of companies, recapitalizations and restructurings, corporate governance matters, and fund formation, internal operations, and transactions. She has been recognized by Chambers USA: America’s Leading Lawyers for Business and the International Financial Law Review. Amanda is also cochair of the firm’s Women’s Forum.

Teresa M. Nilsen

Teresa M. Nilsen is president, chief operating officer, director, and secretary of Hennessy Advisors, Inc., with general responsibility for the supervision, direction, management, and control of day to day operations. She is also executive vice president and secretary of Hennessy Funds Trust. Terry joined Hennessy in 1989 and, alongside founder Neil Hennessy, helped build the company from its inception. Terry received a BA in economics from the University of California, Davis.

C. Dabney O’Riordan

C. Dabney O’Riordan is cochief of the Asset Management Unit of the SEC’s Division of Enforcement. She joined the SEC in 2005 as a staff attorney; she also served as counsel to the director of the Division of Enforcement and assistant director supervising AMU investigations. Before that, Dabney was an associate at Munger, Tolles & Olson LLP, and served as a law clerk in the US Court of Appeals for the Ninth Circuit. She has JD from UCLA, and her undergraduate degree from Wellesley College.

Sue Pereira

Sue Pereira is vice president and senior counsel at MFS Investment Management.® She advises the firm in regulatory, product development, investment compliance, and proxy voting. She also serves as assistant clerk and assistant secretary to the US MFS® funds complex. She was an associate in the law firm of Bingham McCutchen LLP, and Preti, Flaherty, Beliveau & Pachios LLP. Sue has a BA, summa cum laude, from Providence College and a JD, magna cum laude, from University of Maine.

Jeremy Phillips

Jeremy Phillips is a partner with PwC’s financial markets practice. He has more than 15 years of experience delivering valuation, accounting, risk management, and governance services to a variety of asset management and other financial services organizations. Jeremy is a CPA in New York State. He has a BBA from James Madison University in finance and international business and an MBA from New York University, the Stern School of Business.

Paulita Pike

Paulita Pike is a partner in the asset management group at Ropes & Gray. Paulita represents mutual funds or their boards as well as investment advisers and fund service providers throughout the country. She is an adjunct professor at Notre Dame Law School and Northwestern Pritzker School of Law, where she teaches courses, along with Paul Dykstra, on mutual fund regulation.

Margaret H. Raymond

Margaret H. Raymond is vice president and managing counsel at T. Rowe Price. She has more than 30 years’ experience with retirement plans and service providers, including senior vice president and deputy general counsel at Fidelity Investments, and a trial attorney at the DOL and at Sullivan & Worcester. Margaret has a BA from Rice University and a JD, magna cum laude, from Boston University. She is a member of the Executive Board and Policy Board of the American Benefits Council.

Julie M. Riewe

Julie M. Riewe is a litigation partner and a member of Debevoise & Plimpton’s white collar and regulatory defense group. Her practice focuses on securities-related enforcement and compliance issues and internal investigations. Julie also served in various positions at the SEC, and as a law clerk to an appeals court judge. Julie has a JD and MPP from Duke University School of Law, and an AB from Duke University.

Emily Westerberg Russell

Emily Westerberg Russell is chief counsel of the SEC’s Division of Trading and Markets; before that, she served in the Office of Chief Counsel for a decade, and was a senior associate in the financial institutions group at WilmerHale. Emily received her JD from Columbia University School of Law, where she served as executive editor of the Columbia Journal of Transnational Law. She earned her BA, summa cum laude, in economics and international relations from Colgate University.

Tamara K. Salmon

Tamara K. Salmon (“Tami”) is associate general counsel of ICI, 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 including 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.

Traci Simpson

Traci Simpson is head of mutual funds product management for UBS. She has more than 30 years of financial services expertise at American Express, MetLife, and predecessor companies to Bank of America and J.P. Morgan Chase. Traci holds an MBA in marketing/international business from NYU, a BS from Rutgers, and Series 7 and 66 FINRA licenses. She is also a participant in the Securities Industry Institute (SII) Executive Development Program sponsored by SIFMA and the Wharton School of Business.

Kristin Snyder

Kristin Snyder is deputy director of OCIE, national associate director of the Investment Adviser/Investment Company Examination Program, and associate regional director in the SEC’s San Francisco office, where she leads the examinations program. She also served as a branch chief and a senior counsel in the San Francisco office’s enforcement program. Kristin practiced with Sidley Austin Brown & Wood LLP. She has a JD from UC Hastings College of the Law and a bachelor’s degree from UC Davis.

Paul Schott Stevens

Since June 2004, Paul Schott Stevens has served as president and CEO of ICI; earlier, he was also ICI general counsel. He worked at Dechert LLP and served in the government as special assistant for national security affairs to President Ronald Reagan and chief of staff of the National Security Council. He was awarded the Defense Department’s Medal for Distinguished Public Service. He received a BA, magna cum laude, from Yale University, and a JD from the University of Virginia’s School of Law.

Sarah G. ten Siethoff

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. Sarah received her JD from Yale Law School, her MA in international relations from Yale University, and her BA from the University of Virginia.

Matthew Thornton

Matthew Thornton is ICI assistant general counsel. He focuses on valuation, liquidity, stress testing, corporate governance/proxy voting, advertising/social media, fixed income, anti–money laundering, target date funds, disclosure, and investment advisory matters. He was an associate in Dechert’s financial services group. Before practicing law, he worked in the financial services industry. He has a BA in economics from the University of Notre Dame and a JD from Georgetown University Law Center.