IA Watch: The Full 360 Degrees

Proven-in-Practice Guidance to Keep Your Compliance Program Sharp

Friday, June 7, 2019  |  Fairmont Dallas  |  Dallas, TX

Speakers

Kit Addleman

Kit Addleman

Partner
Haynes and Boone

Stephen Benton

Stephen Benton

Financial Counselor
Elder Financial Safety Center

Marshall Gandy

Marshall Gandy

Associate Director (Exams) Fort Worth Regional Office
Securities and Exchange Commission

Marshall Gandy

Kimberly Garber

CEO
CORE-CCO LLC

Tim Goodwin

Tim Goodwin

Partner
Greyline

Barry Greenberg

Barry Greenberg

General Counsel/CCO
Cushing Asset Management

Barry Greenberg

Barbara Gunn

Assistant Regional Director Asset Management Unit
SEC’s Fort Worth Regional Office

Kristi Heffron

Kristi Heffron

CCO
Cain Watters & Associates

Nathan Howard

Nathan Howard

COO/CCO
Private Capital Management

Leslie Jallans

Leslie Jallans

CCO
Next Financial Group

Laura Jirele-Borleske

Laura Jirele-Borleske

GIPS Officer/Compliance Specialist
Barrow Hanley

Stephen Johnson

Stephen Johnson

Chief Counsel
Schwab Advisor Services

Jennifer Lammers

Jennifer Lammers

CCO
Galliard Capital Management

Michael Minces

Lelia Long

Director
Vigilant Compliance LLC

Conrad Morrison

Conrad Morrison

CCO
Crow Holdings Capital

Conrad Morrison

Lori Nugent

Co-Chair
Privacy
Cybersecurity and Emerging Technology Team
Akerman LLP

David Prince

David Prince

General Counsel/CCO
Stephens Investment Management Group

Wes Stillman

Carl Seiler

Managing Director
Blue River Partners LLC

Wes Stillman

Wes Stillman

CEO
RightSize Solutions

David Woodcock

David Woodcock

Partner
Jones Day