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Downtown Luncheon:  Annual Compliance Panel

Event Description

Most investment management organizations are forging ahead with their risk and compliance initiatives, even as regulatory uncertainty will likely remain a significant and ongoing challenge. Even if lawmakers and regulators make certain definitive changes, investment management organizations must continue to drive the effectiveness and efficiency of their risk and compliance programs so they meet applicable laws, regulations, and supervisory expectations. And in most cases, they don't have the time or luxury of waiting to see how things will shake out.

Our panel of experts will discuss the current compliance landscape and provide their predictions for the future state of regulatory oversight in the industry. 

Panelists include:

Jeffrey Boujoukos
Regional Director, Division of Enforcement
U.S. Securities and Exchange Commission

Mr. Boujoukos is the Director of the U.S. Securities and Exchange Commission's Philadelphia Regional Office. In this capacity, Mr. Boujoukos supervises the Region's Examination and Enforcement programs in Pennsylvania, Delaware, Maryland, Virginia, West Virginia and the Districtof Columbia. From March 2014 to December 2016 he was the Associate Regional Director over Enforcement in the Philadelphia Office supervising the enforcement program for the Philadelphia Region. From April 2009 to March 2014, Mr. Boujoukos served as the Regional Trial Counsel in the Philadelphia Office, conducting litigation through trial and supervising actions pending in federal court and administrative proceedings. 

Prior to joining the Commission, Mr. Boujoukos was a partner in the law firm Morgan Lewis & Bockius LLP and a member of the firm's Litigation Section and Securities Litigation Practice Group. His practice focused on the representation of corporate and individual clients in securities and financial litigation and internal investigations. Mr. Boujoukos received his B.A. from Lehigh University and his J.D. from Temple University James E. Beasley School of Law, where he was a member of the Law Review and the Moot Court Honors Society.

Alan Gedrich
Partner
Stradley Ronon

Mr. Gedrich represents open and closed-end investment companies, ETFs, registered investment advisors, hedge funds, independent trustees of mutual funds, and investors in private and public funds. His practice also includesmergers and acquisitions of registered investment advisers and change of control transactions, public and private securities offerings, and general corporate work for businesses and not-for-profit organizations.

Prior to attending law school, Mr. Gedrich was employed by Coopers & Lybrand, CPAs (now PricewaterhouseCoopers, LLP) and earned his Certified Public Accountant (CPA) designation in Pennsylvania.

Mr. Gedrich received his B.S. from the Pennsylvania State University, and J.D. from the University of Pittsburgh School of Law.

Stefanie Little
Founder and Partner
Chenery Compliance Group

Stefanie Little is a Founder and Partner of Chenery Compliance Group. Additionally, she is Managing Partner of SEC Compliance Alliance. Ms. Little currently serves as the Chief Compliance Officer for several investment industry clients. She was previously affiliated with a legal andcompliance firm through which she acted as Chief Compliance Officer for a number of entities, including registered investment advisers and mutual funds. In conjunction with those roles, she developed and oversaw investment adviser and registered fund compliance programs, performed annual compliance reviews, conducted training and managed multiple SEC examinations. 

Prior to 2008, Ms. Little spent several years heading first the compliance, then the legal function, at Brandywine Global Investment Management, gaining extensive experience across a variety of investment products and vehicles. She has 16 years of experience in the investment management industry and is a graduate of Widener Law School and the University of Delaware's Lerner College of Business and Economics.

Registration:  

CFAP Members:  $25.00 
Non-Members:  $40.00

 

Speaker

 

Event Type

Society

Education Topic

 

Start Time

4/11/2018 12:00 PM

End Time

4/11/2018 1:30 PM

Event City

Philadelphia

Event State/Province

PA

Location Info

Convene Commerce Square
2001 Market St
Suite 210
Philadelphia, PA 19103

CE Credits

1

Member Price

$25.00

Non-Member Price

$40.00

Candidate Price

$25.00

Registration


Click here to register.

All Day Event

 

Recurrence

 

Attachments

Content Type: MyCFA Calendar
Created at 3/7/2018 9:14 AM by pconners@cfaphil.org
Last modified at 3/7/2018 9:14 AM by pconners@cfaphil.org